Monday, 

October 6, 2008 

Part V 

Environmental 

Protection Agency 

40 CFR Parts 262, 264, et al. 

Revisions to: The Requirements for 

Transboundary Shipments of Wastes 

Between OECD Countries, the 

Requirements for Export Shipments of 

Spent Lead-Acid Batteries, the 

Requirements on Submitting Exception 

Reports for Export Shipments of 

Hazardous Wastes, and the Requirements 

for Imports of Hazardous Wastes; 

Proposed Rule 

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58388 Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 

ENVIRONMENTAL PROTECTION 

AGENCY 

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

271 

[EPA–HQ–RCRA–2005–0018; FRL–8720–3] 

RIN 2050–AE93 

Revisions to: The Requirements for 

Transboundary Shipments of Wastes 

Between OECD Countries, the 

Requirements for Export Shipments of 

Spent Lead-Acid Batteries, the 

Requirements on Submitting 

Exception Reports for Export 

Shipments of Hazardous Wastes, and 

the Requirements for Imports of 

Hazardous Wastes 

AGENCY: Environmental Protection 

Agency. 

ACTION: Proposed rule. 

SUMMARY: This rule proposes to amend 

certain existing regulations promulgated 

under the hazardous waste provisions of 

the Resource Conservation and 

Recovery Act (RCRA) regarding the 

export and import of hazardous wastes 

from and into the United States. 

Specifically, we are proposing to 

modify: The requirements to implement 

the OECD framework concerning the 

transboundary movement of hazardous 

waste among countries belonging to the 

Organization for Economic Cooperation 

and Development (OECD), including 

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; 

the regulations regarding the 

management of spent lead-acid batteries 

being reclaimed to require appropriate 

notice and consent for those batteries 

intended for reclamation in a foreign 

country; the exception reporting 

requirements for hazardous waste 

exports to specify that all exception 

reports submitted to EPA be sent to the 

Office of Enforcement and Compliance 

Assurance’s Office of Federal Activities 

in Washington, DC rather than to the 

Administrator; and the hazardous waste 

import requirements such that U.S. 

importers would give the initial 

transporter a copy of the EPA-provided 

documentation confirming EPA’s 

consent to the import when they 

provide the RCRA hazardous waste 

manifest, and that the documentation 

would be submitted by the U.S. 

receiving facility to EPA along with the 

RCRA hazardous waste manifest within 

thirty days of import shipment delivery. 

Finally, separate from this proposed 

rule, EPA is publishing in http:// 

www.epa.gov/epawaste/hazard/ 

international/oecd-slab-rule.htm a draft 

guidance document on how U.S. 

receiving facilities may request EPA to 

identify them as pre-approved facilities 

to receive hazardous waste from OECD 

Member countries. 

DATES: Comments must be received on 

or before December 5, 2008. Under the 

Paperwork Reduction Act, comments on 

the information collection provisions 

must be received by OMB on or before 

November 5, 2008. 

ADDRESSES: Submit your comments, 

identified by Docket ID No. EPA–HQ– 

RCRA–2005–0018, by one of the 

following methods: 

• http://www.regulations.gov: Follow 

the on-line instructions for submitting 

comments. 

• E-mail: rcra-docket@epa.gov, 

Attention Docket No. EPA–HQ–RCRA– 

2005–0018. 

• Fax: (202) 566–9744, Attention 

Docket No. EPA–HQ–RCRA–2005–0018. 

• Mail: RCRA Docket No. EPA–HQ– 

RCRA–2005–0018, Environmental 

Protection Agency, Mail Code: 2822T, 

1200 Pennsylvania Avenue, NW., 

Washington, DC 20460. Please include a 

total of 2 copies. In addition, please 

mail a copy of your comments on the 

information collection provisions to the 

Office of Information and Regulatory 

Affairs, Office of Management and 

Budget (OMB), Attn: Desk Officer for 

EPA, 725 17th St. NW., Washington, DC 

20503. 

• Hand Delivery: RCRA Docket No. 

EPA–HQ–RCRA–2005–0018, EPA West 

Building, Room 3334, 1301 Constitution 

Ave., NW., Washington DC 20004. Such 

deliveries are only accepted during the 

Docket’s normal hours of operation, and 

special arrangements should be made 

for deliveries of boxed information. 

Instructions: Direct your comments to 

Docket ID No. EPA–HQ–RCRA–2005– 

0018. EPA’s policy is that all comments 

received will be included in the public 

docket without change and may be 

made available online at http:// 

www.regulations.gov, including any 

personal information provided, unless 

the comment includes information 

claimed to be Confidential Business 

Information (CBI) or other information 

whose disclosure is restricted by statute. 

Do not submit information that you 

consider to be CBI or otherwise 

protected through http:// 

www.regulations.gov or e-mail. The 

http://www.regulations.gov Web site is 

an ‘‘anonymous access’’ system, which 

means EPA will not know your identity 

or contact information unless you 

provide it in the body of your comment. 

If you send an e-mail comment directly 

to EPA without going through http:// 

www.regulations.gov, your e-mail 

address will be automatically captured 

and included as part of the comment 

that is placed in the public docket and 

made available on the Internet. If you 

submit an electronic comment, EPA 

recommends that you include your 

name and other contact information in 

the body of your comment and with any 

disk or CD–ROM you submit. If EPA 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, EPA may not be 

able to consider your comment. 

Electronic files should avoid the use of 

special characters, any form of 

encryption, and be free of any defects or 

viruses. 

Docket: All documents in the docket 

are listed in the http:// 

www.regulations.gov index. Although 

listed in the index, some information is 

not publicly available, e.g., CBI or other 

information whose disclosure is 

restricted by statute. Certain other 

material, such as copyrighted material, 

will be publicly available only in hard 

copy. Publicly available docket 

materials are available either 

electronically in http:// 

www.regulations.gov or in hard copy at 

the RCRA Docket, EPA/DC, EPA West, 

Room 3334, 1301 Constitution Avenue, 

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, Hazardous Waste 

Identification Division, Office of Solid 

Waste (5304P), Environmental 

Protection Agency, 1200 Pennsylvania 

Avenue, NW., Washington, DC 20460; 

telephone number: (703) 308–0005; fax 

number: (703) 308–0514; e-mail: 

coughlan.laura@epa.gov. 

SUPPLEMENTARY INFORMATION: The 

information presented in this preamble 

is organized as follows: 

I. General Information 

A. List of Acronyms Used in This Proposed 

Rule 

B. What are the statutory authorities for 

this proposed rule? 

C. Does this proposed rule apply to me? 

D. What is the purpose of this proposed 

rule? 

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Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 58389 

II. Background 

A. OECD Revisions 

B. SLAB Revisions 

C. Exception Report Revisions for Exports 

Under Subparts E and H of 40 CFR Part 

262 

D. Import Revisions 

III. Summary of This Proposed Rule and 

Changes 

A. Changes to 40 CFR Part 262, Subpart E 

B. Changes to 40 CFR 262.60(e), Subpart F 

C. Changes to 40 CFR Part 262, Subpart H 

D. Changes to 40 CFR 264.12(a)(2) and 40 

CFR 265.12(a)(2) 

E. Changes to 40 CFR 264.71(a)(3) and 40 

CFR 265.71(a)(3) 

F. Changes to 40 CFR 266.80(a) 

G. Changes to 40 CFR 271.1 

IV. Costs and Benefits of the Proposed Rule 

A. Introduction 

B. Analytical Scope 

C. Cost Impacts 

D. Benefits 

V. State Authorization 

A. Applicability of Rules in Authorized 

States 

B. Effect on State Authorization 

VI. Statutory and Executive Order Reviews 

A. Executive Order 12866: Regulatory 

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 

I. General Information 

A. List of Acronyms Used in This 

Proposed Rule 

Acronym Meaning 

BCI ........... Battery Council International 

CBI ........... Confidential Business Information 

CERCLA .. Comprehensive Environmental 

Response, Compensation, and 

Liability Act 

CFR ......... Code of Federal Regulations 

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 

SLAB ....... Spent Lead-Acid Battery 

Acronym Meaning 

SBREFA .. Small Business Regulatory Enforcement Fairness Act 

TRI ........... Toxics Release Inventory 

UMRA ...... Unfunded Mandates Reform Act 

B. What are the statutory authorities for 

this proposed rule? 

The authority to propose this rule is 

found in sections 1006, 1007, 2002(a), 

3001–3010, 3013–3015, and 3017 of the 

Solid Waste Disposal Act, as amended 

by the Resource Conservation and 

Recovery Act (RCRA), and as amended 

by the Hazardous and Solid Waste 

Amendments, 42 U.S.C. 6905, 6906, 

6912, 6921–6930, 6934–6936, and 6938. 

C. Does this proposed rule apply to me? 

1. OECD Revisions 

The OECD revisions in this proposed 

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 countries 

belonging to the Organization for 

Economic Cooperation and 

Development (OECD), except for Mexico 

and Canada. Any transboundary 

movement of hazardous wastes between 

the United States and either Mexico or 

Canada will continue to be regulated 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 

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 

Materials Recovery Facilities ........................................................................................................................................... 562920 4953 

2. SLAB Revisions 

The SLAB revisions in this proposed 

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, Long-Distance ................................................................................................................... 484230 4213 

Batteries, automotive, merchant wholesalers .................................................................................................................. 423120 5013 

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 

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58390 Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 

1The 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 170 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. More information on 

the Basel Convention may be found at http:// 

www.basel.int. 

Industry sector NAICS SIC 

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, Long-Distance, TL ................................................................................................................. 484121 4213 

General Freight Trucking, Long-Distance, LTL ............................................................................................................... 484122 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 

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 proposed 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 

Computer and Electronic Product Manufacturing ........................................................................................................... 334110 357 

Electrical Equipment, Appliance, and Component Manufacturing .................................................................................. 335 36 

Transportation Equipment Manufacturing ....................................................................................................................... 336 37 

Miscellaneous Manufacturing .......................................................................................................................................... 339 39 

Scrap and Waste Materials ............................................................................................................................................. 423930 5093 

4. Import Revisions 

The import revisions in this proposed 

rule affect all persons importing 

hazardous waste from a foreign country 

that must comply with 40 CFR part 262, 

subpart F, and 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 

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 Hauling, Long-Distance ................................................................................................................... 484230 4213 

Recyclable Material Wholesaler ...................................................................................................................................... 423930 5093 

Other Waste Collection .................................................................................................................................................... 562119 4212 

Recyclable Material Collection Services, Solid Waste Collection ................................................................................... 562111 4212 

General Freight Trucking, Long-Distance, TL ................................................................................................................. 484121 4213 

Scrap and Waste Materials ............................................................................................................................................. 423930 5093 

Materials 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 proposed rule to a particular entity, 

consult the person listed in the 

preceding section entitled FOR FURTHER

INFORMATION CONTACT. 

D. What is the purpose of this proposed 

rule? 

1. OECD Revisions 

This proposed rule is intended to 

implement the OECD’s ‘‘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’’ (hereinafter referred to as 

the Amended 2001 OECD Decision), 

which amended the OECD Decision 

(1992) on the same subject. The purpose 

of these revisions was to encourage 

consistency and harmonization between 

the OECD and the Basel Convention,1

which in turn, promotes economic 

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Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 58391 

2Basel Convention Training Manual: National 

Management Plans for Used Lead Acid Batteries, 

SBC No. 2004/5, 2004. 

3Technical Guidelines for the Environmentally 

Sound Management of Waste Lead-acid Batteries, 

SBC No. 2003/9, 2003. 

4The Commission for Environmental Cooperation 

is an international organization created by Canada, 

Mexico and the United States under the North 

American Agreement on Environmental 

Cooperation (NAAEC). The CEC was established to 

address regional environmental concerns, help 

prevent potential trade and environmental conflicts, 

and to promote the effective enforcement of 

environmental law. The Agreement complements 

the environmental provisions of the North 

American Free Trade Agreement (NAFTA). 

5Practices and Options for Environmentally 

Sound Management of Spent Lead-acid Batteries 

within North America, Commission for 

Environmental Cooperation, December 2007. 

6The Global Pursuit of the Sound Management of 

Chemicals, The World Bank, February 2004. 

7Adverse effects of the illicit movement and 

dumping of toxic and dangerous products and 

wastes on the enjoyment of human rights, U.N. 

Commission on Human Rights, Economic and 

Social Council, E/CN.4/2003/56/Add.1, 10 January 

2003, p. 17. 

efficiency and the recovery of waste in 

an environmentally sound manner. 

The Amended 2001 OECD Decision 

was supported by the United States and 

imposes legally binding commitments 

on the United States pursuant to 

Articles 5(a) and 6 of the OECD 

Convention. By consenting to the 

Decision, the United States Government 

has agreed to promulgate regulations 

necessary to ensure that the United 

States can uphold the agreement. 

Further, this proposed rule clarifies 

certain regulations to articulate more 

explicitly EPA’s original intent in those 

regulations and to eliminate any 

confusion on the part of the regulated 

community. 

2. SLAB Revisions 

EPA also proposes to amend the 

RCRA hazardous waste regulations for 

SLABs specified in 40 CFR part 266, 

subpart G by requiring notification and 

consent for the export of SLABs in order 

to ensure that SLABs are sent to 

reclamation facilities in countries that 

can manage them in an environmentally 

sound manner. The notification and 

consent requirements are intended to: 

(1) Reduce potential risk to human 

health and the environment, including 

potential risk from the transboundary 

movement of pollution from other 

countries to the U.S., and (2) harmonize 

the notice and consent procedures with 

international practice (see II.B.4) and 

with the RCRA universal waste 

regulations for the export of SLABs, 

resulting in a more uniform practice for 

notification and consent for SLABs. 

Notification of potential exports of 

hazardous waste destined for recovery 

in another country is a key component 

of multilateral environmental systems 

for appropriate governmental oversight 

to ensure proper management of the 

waste. The notification mechanism 

allows for all concerned countries (i.e., 

exporting, importing, and transit) to 

determine whether the hazardous waste 

can be handled safely based on the 

requirements of their waste management 

systems. Specifically, the importing 

country has the opportunity to confirm 

that the particular facility that is 

designated to receive the waste is 

qualified to manage it in a safe and 

environmentally sound manner, and has 

all appropriate approvals, permits, or 

licenses. Furthermore, the notice and 

consent process is the fundamental tool 

that is employed in transboundary 

waste arrangements to provide business 

certainty for legitimate trade. 

Risks to human health and the 

environment derived from improper 

SLAB recycling techniques are of major 

concern internationally. The Basel 

Convention has developed two guidance 

documents 2 3 to assist governments, 

transporters, and recyclers to achieve 

environmentally sound management of 

SLABs. Indeed, the Basel Convention 

considers transboundary movement of 

SLABs to be ‘‘illegal traffic’’ if it occurs 

without prior notification. Similar 

guidance was developed by the 

Commission for Environmental 

Cooperation 4 (CEC) for use by North 

American countries to promote sound 

management of SLABs.5 A 1996 OECD 

Ministerial Declaration on risk 

reduction from lead called on Member 

countries to take domestic and 

international action to reduce human 

exposure to lead from a variety of 

sources.6 Further, the Report of the 

Special Rapporteur of the U.N. 

Commission on Human Rights 7

expressed concerns that ‘‘the United 

States system does not impose export 

regulations on SLABs destined for 

recycling,’’ and suggests that ‘‘the 

recycling of lead-acid batteries is one of 

the greatest potential sources of risk, 

especially for exposed workers in the 

informal sector in many developing 

countries.’’ 

For economic and efficiency reasons, 

some highly industrialized countries 

may ship their SLABs to less 

industrialized countries for SLAB 

breaking, draining, component 

separation, slag generation and lead 

refining. Human health and 

environmental risk issues can arise 

when these recycling processes are 

performed with insufficient human 

health or environmental safety controls. 

The results could include: (1) 

Significant increases in elevated blood 

lead levels in facility workers and their 

families; (2) increases in uncontrolled 

releases of lead-laden slag to soil, 

surface water and ground water sources; 

and (3) lead air-emissions from lead 

smelting without the proper airemissions controls. 

EPA would like to focus on the use of 

preventative measures to decrease the 

proportionate risks to human health and 

the global environment. There are 

inherent human health and 

environmental hazards associated with 

a significant amount of SLABs being 

exported across borders without the 

knowledge and consent of receiving 

countries and/or SLABs being exported 

to countries with substandard smelting 

infrastructures. Amending the current 

RCRA hazardous waste regulations to 

include the notification and consent 

requirements would help ensure that 

SLABs are exported to countries with 

the capacity to handle them in an 

environmentally sound manner and to 

aid countries with tracking the 

movements and life-cycle management 

of SLABs inside their borders. EPA 

believes that the notification and 

consent approach is an effective way of 

preventing the export of SLABs to 

countries and to facilities that do not 

have the capability of safely managing 

the SLABs by providing the receiving 

country with the necessary information 

about the proposed shipment and 

requiring its consent before the export 

can proceed. In addition, by providing 

the receiving country with this 

information, they can monitor and track 

the export and the facility’s 

management of the SLABs for safe 

management. The purpose of the 

notification and consent requirements 

for SLABs destined for reclamation in 

this proposed rule is consistent with the 

purpose of the notification and consent 

requirements in RCRA section 3017. 

Congress, in enacting section 3017, 

considered it important to require 

notification and consent for exports of 

hazardous wastes. The legislative 

history for section 3017 indicates that 

Congress felt that prior notification of an 

export to the receiving country would 

allow that country to make an informed 

decision as to whether it would accept 

the waste and, if so, how it would safely 

manage that waste. Congress noted that 

problems, such as harm to human 

health and the environment arise when 

wastes are sent to countries that do not 

want to receive them, or lack sufficient 

information to manage them properly. 

EPA believes that the potential 

reduction in risk to human health and 

the environment with this proposed 

modification will outweigh the 

incremental increase in burden to SLAB 

exporters. Moreover, because the 

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58392 Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 

8The Office of Enforcement and Compliance 

Assurance is the office within EPA that implements 

the notice and consent scheme for hazardous waste 

transboundary shipments. 

notification and consent requirements 

are intended to ensure that the receiving 

country has the necessary advance 

knowledge of a proposed shipment of 

SLABs to a facility in that country, the 

country can properly consent (or object) 

to this shipment based on its knowledge 

of the capabilities of the particular 

facility and its ability to manage the 

batteries in a safe and environmentally 

sound manner. 

3. Exception Report Revisions for 

Exports Under Subparts E and H of 40 

CFR Part 262 

EPA proposes to amend the exception 

reporting requirements in 40 CFR part 

262, subparts E and H, to specify that all 

exception reports be submitted to the 

Office of Enforcement and Compliance 

Assurance’s Office of Federal Activities 

in Washington, DC rather than to the 

Administrator.8 The Agency proposes 

this change because it believes that a 

more specific address should assist in 

proper delivery of the exception report 

to the appropriate EPA office. The more 

general requirement in the existing 

regulation to send this report to the 

‘‘Administrator’’ may have not provided 

sufficiently specific instruction for those 

exporters trying to notify EPA of 

returned shipments, which could 

reduce EPA’s ability to provide 

oversight on such exports. Directing that 

all exception reports submitted to EPA 

pursuant to the requirements in 40 CFR 

part 262, subparts E and H, be sent to 

a specific address should ensure better 

oversight of (1) return shipments into 

the U.S. and (2) compliance with the 

exception report requirements without 

additional regulatory burden. 

4. Import Revisions 

Finally, EPA proposes to amend the 

import requirements specified in 40 

CFR part 262, subpart F. This change 

would require that the U.S. importer 

provide the transporter with a copy of 

documentation provided by EPA, 

confirming EPA’s consent to the 

hazardous waste import under a specific 

notice. This documentation would then 

accompany each RCRA hazardous waste 

manifested import shipment and be 

submitted by the receiving facility in the 

U.S. to EPA along with the RCRA 

hazardous waste manifest in accordance 

with §§ 264.71(a)(3) and 265.71(a)(3). 

While EPA currently requires that 

receiving facilities in the U.S. submit a 

copy of the hazardous waste manifest to 

EPA to document individual import 

shipments, it has been difficult for EPA 

to match an individual manifest for a 

hazardous waste import shipment with 

the related notice of intent to export 

from a foreign country for which EPA 

has provided consent. One major reason 

for this difficulty is because a given 

destination facility in the U.S. could be 

receiving the same hazardous waste 

from the same foreign exporter under 

more than one notice. Adding this 

requirement will enable EPA to better 

match the individual import shipments 

against the related notice from the 

foreign exporting country for which 

EPA has provided consent, and facilitate 

our oversight of such imports. 

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 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 proposed 

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 Web site for each 

Member country may be found at 

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

2. What OECD Decision formed the 

basis for the existing regulations in 40 

CFR part 262, subpart H? 

On March 30, 1992, the OECD 

Council adopted the ‘‘Decision of the 

Council C(92)39/FINAL Concerning the 

Control of Transfrontier Movements of 

Wastes Destined for Recovery’’ 

(hereinafter referred to as the 1992 

Decision), which applied to the 

transboundary movements of wastes 

destined for recovery operations 

between OECD Member countries. The 

1992 Decision provided a framework for 

OECD Member countries to control the 

transboundary movement of recoverable 

wastes in an environmentally sound and 

economically efficient manner. 

3. Why did EPA establish the existing 

regulations in 40 CFR part 262, subpart 

H? 

Due to the legally binding nature of 

the 1992 Decision, the United States, as 

an OECD Member country, was required 

to implement the terms of the decision 

in accordance with Articles 5(a) and 6 

of the OECD Convention. (A copy of the 

OECD Convention is included in the 

docket to this proposed rule.) In order 

to implement the specific provisions of 

the 1992 Decision, EPA published a 

final rule in the Federal Register 

entitled, ‘‘Imports and Exports of 

Hazardous Waste: Implementation of 

OECD Council Decision C(92)39 

Concerning the Control of Transfrontier 

Movements of Wastes Destined for 

Recovery Operations’’ (61 FR 16289, 

April 12, 1996)(hereafter referred to as 

EPA’s OECD rule). These regulations 

appear primarily in 40 CFR part 262, 

subpart H. 

4. What OECD Decisions form the basis 

of the revisions in this proposed rule? 

On June 14, 2001, the OECD Council 

amended the 1992 Decision by passing 

‘‘Revision of Decision C(92)30/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 Convention and to eliminate 

duplicative activities between the two 

international organizations as much as 

practical. These changes include 

significant 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 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 

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May 2002 as C(2001)107/FINAL. 

Finally, on March 30, 2004, the OECD 

Council adopted C(2004)20 (hereafter 

referred to as the 2004 OECD 

Amendment), which updated the OECD 

waste lists, entitled ‘‘Appendix 3: List of 

Wastes Subject to the Green Control 

Procedure’’ (hereafter referred to as the 

Green list) and ‘‘Appendix 4: List of 

Wastes Subject to the Amber Control 

Procedure’’ (hereafter referred to as the 

Amber List). To the extent possible, the 

Green and Amber Lists were revised 

based on the amendments made to 

Annexes II, VIII, and IX of the Basel 

Convention in November 2003. The 

OECD Council decisions are collectively 

referred to as the Amended 2001 OECD 

Decision. 

5. How does EPA propose to revise the 

existing regulations to implement the 

latest OECD Decisions? 

This rule proposes to amend EPA’s 

OECD rule to reflect the procedural and 

substantive amendments in the 2001 

OECD Decision, the applicable changes 

to the new notification and movement 

documents presented in the 2001 OECD 

Addendum, and the changes to the 

OECD waste lists as presented in the 

2004 OECD Amendment, collectively 

referred to as the Amended 2001 OECD 

Decision. This proposed rule also seeks 

to clarify certain existing regulatory 

provisions that have been identified as 

potentially ambiguous to the regulated 

community. 

As noted previously, OECD Council 

Decisions are international agreements 

that create binding commitments on the 

United States, unless otherwise 

provided in the Articles to the 1960 

Convention. Therefore, by consenting to 

the Amended 2001 OECD Decision, the 

United States Government has agreed to 

establish legal measures necessary to 

ensure that the United States can 

uphold the agreement. EPA believes that 

RCRA contains adequate authority to 

promulgate the requirements of the 

Amended 2001 OECD Decision. 

It is important to recognize that the 

OECD Decision allows a Member 

country to determine if a waste on an 

OECD list is hazardous based on its 

‘‘national procedures.’’ EPA has 

determined that a waste is hazardous 

under U.S. ‘‘national procedures’’—and 

therefore subject to the OECD provisions 

of Subpart H—if the waste meets the 

following requirements under RCRA: (a) 

Meets the Federal definition of 

hazardous waste in 40 CFR 261.3; and 

(b) is subject to either the Federal 

hazardous waste manifesting 

requirements in 40 CFR 262, or to the 

universal waste management standards 

of 40 CFR part 273, or to State 

requirements analogous to Part 273. 

This determination was set forth in 

§ 262.89(a), and additional discussion 

on how this provision impacts 

transboundary movements of wastes 

subject to RCRA exemptions, exclusions 

and recycling provisions can be found 

in the April 12, 1996, preamble to the 

original OECD rule (61 FR 16290– 

16316). 

6. How does EPA propose to implement 

future OECD revisions? 

(a) 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 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). 

In order to accommodate changes in 

OECD membership as quickly as 

possible, EPA intends to publish in the 

Federal Register any future 

amendments to the list of OECD 

Member countries set forth in 

§ 262.58(a)(1), as the OECD adds new 

Member countries or otherwise amends 

its list in the future. EPA intends to 

publish notices of these future 

amendments to § 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. 

(b) 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 United 

States), EPA intends to publish notices 

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 list. Public 

comment on such updates is 

unnecessary, as EPA would have no 

discretion to modify the OECD list. As 

discussed above, U.S. national 

procedures, rather than the OECD list, 

ultimately determine the applicability of 

Subpart H, recognizing that the OECD 

list will be relevant for exports to other 

OECD members. 

B. SLAB Revisions 

1. What are SLABs? 

Lead-acid batteries 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 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, and the 

corrosivity characteristic for the sulfuric 

acid electrolyte in the battery. 

Lead-acid batteries are typically 

composed of an outside plastic casing 

and six inner cells containing lead strips 

and positive and negative lead 

terminals. Each cell is made up of two 

lead frameworks, the positive plate 

being lead dioxide and the negative 

plate being spongy lead (a metallic lead 

in a high-surface-area porous structure). 

Each cell is filled with sulfuric acid as 

the electrolyte. When the battery is in 

use, the spongy lead, sulphuric acid, 

and lead dioxide react to produce an 

electrical current. Both electrodes are 

converted to lead sulfate, a process 

which is reversed during recharge. 

2. How are SLABs currently managed? 

Currently, SLABs are either reclaimed 

for their lead value or disposed of. The 

Battery Council International (BCI) 

reported a 99.2 percent domestic SLAB 

reclamation rate for the years 1999– 

2003, making lead-acid batteries one of 

the most recycled consumer products. 

When a SLAB is collected, it is sent to 

a reclaimer where the SLABs are 

cracked through various means, such as 

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9Cost Assessment for the Proposed Rule on 

Exports and Imports of Hazardous Waste Destined 

for Recovery Among OECD Countries and Exports 

of Spent Lead-Acid Batteries from the U.S. 

10Regeneration under 40 CFR part 266, subpart G, 

includes only replacing drained electrolyte fluids 

and replacing ‘‘bad’’ battery cells. (See 48 FR at 

14496.) 

a hammermill in order to separate out 

the lead, battery casing, plate separators, 

and sulfuric acid components into 

recycling streams and disposal streams. 

Specifically, the lead plates, lead oxide 

paste and other lead parts are cleaned 

and then melted together in smelting 

furnaces to produce lead ingots along 

with residual lead dross and slag. The 

residual lead dross and slag may be 

reclaimed further or disposed of in a 

landfill. Used sulphuric acid can be (1) 

Sent for acid regeneration, where the 

acid is cleaned for re-use as electrolyte 

in the battery manufacturing process, (2) 

neutralized and released into a public 

sewer system once it meets Clean Water 

Act standards, or (3) converted into 

sodium sulfate, an odorless white 

powder that’s used in laundry detergent, 

glass and textile manufacturing. If it is 

a plastic-cased battery, the plastic is 

either cleaned and recycled as new 

battery casings or disposed of at a 

landfill. If the battery casing is made of 

rubber or other materials, it can be used 

as a fuel at the smelter. Other materials 

from batteries are either recycled or 

disposed of in a landfill. 

Lead is a highly toxic heavy metal 

naturally occurring in the environment. 

For this reason, proper management of 

lead and lead-containing products is 

essential to the protection of human 

health and the environment. In the U.S., 

the Occupational Safety and Health 

Administration (OSHA) has developed 

standards to address and minimize 

workplace exposure to lead (29 CFR 

§ 1910.1025). These standards establish 

permissible exposure limits; exposure 

monitoring, respiratory protection and 

safety procedures; and proper warning 

and sign-age requirements for facilities 

processing lead. Proper ventilation, 

training and safety procedures also are 

necessary. In less developed countries, 

these precautions may be overlooked, 

leading to dangerous conditions. (See 

‘‘A Study of the Lead-Acid Battery 

Industry and Spent Lead-Acid Battery 

Exports,’’ June 2003, a copy of which is 

included in the RCRA docket 

established for this proposed rule.) 

Recent data show that the primary 

factors influencing decisions to export 

SLABs from the United States include 

the price of scrap lead, worldwide 

supply and demand for lead, and the 

relative price of virgin lead compared to 

the price of scrap lead. BCI estimates 

that in 1995, approximately 1,078,674 

tons of recoverable lead was available 

from batteries consumed domestically. 

BCI also reports that, based on 

Department of Commerce data, 

approximately 104,614 tons of battery 

scrap lead were exported in 1995. In 

contrast, approximately 269,171 metric 

tons of SLABs were exported in 2006 

based on more recent data from the 

International Trade Commission, 

Environment Canada, and Secretaria de 

Medio Ambiente y Recursos Naturales 

(SEMARNAT). Such a large increase in 

exports may be in large part due to 

recent increases in the domestic and 

international price of lead. 

According to the annual ‘‘Mineral 

Commodity Summaries’’ published by 

the U.S. Geological Survey (USGS), the 

average price of lead for North 

American producers increased by 77% 

from 43.7 cents/pound in 1999 to 77.8 

cents/pound in 2006. The average price 

as reported on the London Metal 

Exchange increased by 154% during 

those same years from 22.8 cents/pound 

to 58.0 cents/pound. In addition, while 

export shipments destined for locations 

in many countries are subject to duties 

or tariffs on any exported SLABs, 

Canadian and Mexican importers are 

allowed, under the conditions of the 

North American Free Trade Agreement 

(NAFTA), to import SLABs without the 

usual surcharge. Indeed, data show that 

Canada and Mexico are the major 

destination countries to which U.S. 

SLABs have been exported in recent 

years. For example, in 2006 U.S. SLAB 

exports to Mexico and Canada were 

estimated to be 199,000 metric tons and 

66,000 metric tons, respectively (based 

on data from Mexican and Canadian 

government sources). Comparing this 

information to data from the U.S. 

International Trade Commission, it is 

estimated that only 1.8% of SLAB 

exports are destined for countries other 

than Mexico or Canada. (See the EPA 

Cost Assessment 9 prepared in support 

of this proposed action.) 

3. How are SLABs currently regulated in 

the United States? 

Under the current Federal hazardous 

waste regulations established pursuant 

to RCRA, SLABs are hazardous wastes 

if the batteries exhibit one or more of 

the characteristics of hazardous waste 

provided in 40 CFR 261, subpart C (e.g., 

corrosivity (D001), or toxicity for lead 

(D008)). SLABs typically exhibit the 

toxicity characteristic for lead and, 

therefore, are defined as hazardous 

wastes. 

(a) SLABs Sent for Disposal Within the 

United States 

If a generator disposes, rather than 

reclaims, SLABs, the SLABs would need 

to be managed in compliance with the 

Subtitle C hazardous waste management 

regulations, which could include the 

part 273 universal waste rules. 

However, in all instances, SLABs that 

are disposed of must be managed at a 

RCRA Subtitle C disposal facility and 

are subject to the Land Disposal 

Restriction requirements of 40 CFR part 

268. 

The universal waste regulations, 

promulgated on May 11, 1995, were 

created to provide a streamlined set of 

management regulations governing the 

collection and management of certain 

widely generated hazardous wastes, 

such as spent batteries. For the purposes 

of the universal waste regulations, the 

definition of ‘‘battery’’ includes SLABs. 

While SLABs managed as universal 

waste may be drained of sulphuric acid, 

the battery casings must be intact. 

SLABs that have partially or wholly 

crushed casings cannot be managed as 

universal waste. 

A universal waste handler is required 

to ensure that the SLABs do not spill or 

leak and that they are stored in a 

structurally sound container. In 

addition, depending upon the amount of 

SLABs that are accumulated, a battery 

handler may be required to track 

shipments of the SLABs sent off-site for 

reclamation or other management. 

Universal waste handlers are not 

allowed to treat their waste; however, 

they can conduct certain activities (e.g., 

sorting, regeneration 10, etc.) provided 

the battery casings remain intact. 

Other general provisions to which all 

universal waste handlers are subject 

include labeling/marking, accumulation 

time limits, employee training, and 

response to releases of hazardous waste. 

Off-site shipments of universal wastes 

do not require a hazardous waste 

manifest, provided they are sent to 

another universal waste handler or a 

specified destination facility, and are 

shipped by an authorized universal 

waste transporter. 

(b) SLABs Sent for Reclamation Within 

the United States 

When reclaimed, SLABs are exempt 

from most of the RCRA Subtitle C 

hazardous waste regulations, but are 

subject to the regulations in part 266, 

subpart G. (See 40 CFR § 261.6(a)(2)(iv).) 

Alternatively, they can also be managed 

as a universal waste and subject to the 

universal waste regulations in 40 CFR 

part 273. Thus, generators that send 

SLABs off-site for reclamation may 

choose to manage their SLABs either as 

a universal waste, in accordance with 

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the management standards in 40 CFR 

part 273, or in accordance with the 

management standards in 40 CFR part 

266, subpart G. 

Under the provisions of 40 CFR part 

266, subpart G, persons who generate, 

collect, transport, or store SLABs for 

direct regeneration or reclamation are 

exempt from the bulk of the RCRA 

hazardous waste regulations (40 CFR 

parts 262 through 266, 270, 124 and the 

EPA notification and identification 

number requirements). However, 40 

CFR part 266, subpart G imposes certain 

requirements on reclaimers of SLABs 

who do not store prior to reclamation, 

and on facilities that store SLABs 

destined for reclamation, but do not 

conduct any reclamation. In addition, 

owners or operators of facilities that 

both store and reclaim SLABs are 

required to comply with the EPA 

notification and identification number 

requirements and all applicable 

hazardous waste management facility 

provisions in parts 264/265, 270, and 

124, and are subject to 40 CFR parts 261, 

§ 262.11, and applicable provisions 

under part 268. 

4. What international agreements apply 

to the export of SLABs? 

There are two major international 

agreements that expressly address the 

export of SLABs: (1) The Basel 

Convention on the Control of 

Transboundary Movements of 

Hazardous Wastes and Their Disposal 

(Basel Convention); and (2) the 

Amended 2001 OECD Decision (see 

II.A.4 for more information). This 

proposal would harmonize the EPA 

SLAB export requirements with both of 

these international agreements. 

As noted in footnote 1, the Basel 

Convention is a multilateral 

international agreement governing the 

transboundary movements of hazardous 

wastes. Among other things, the Basel 

Convention includes a requirement for 

notice and written consent for 

transboundary movements of hazardous 

waste between trading countries. SLABs 

are covered under the Basel Convention 

as a hazardous waste and are thus 

subject to the notice and consent 

requirements of the Basel Convention. 

The United States is a signatory to the 

Convention, but has not yet ratified it 

and is therefore not legally bound to its 

requirements. 

The Amended 2001 OECD Decision 

regulates the transboundary movements 

of hazardous wastes (e.g. wastes subject 

to Amber control procedures) destined 

for recovery within OECD Member 

countries. The Amended 2001 OECD 

Decision lists SLABs, whether whole or 

crushed, as subject to the Amber control 

procedures. 

Currently, under the RCRA hazardous 

waste regulations, SLABs can be 

managed either in accordance with the 

special regulations under 40 CFR part 

266, subpart G or in accordance with the 

universal waste regulations, as 

discussed above. Under part 266, 

subpart G, SLABs that are destined for 

reclamation are currently exempt from 

the RCRA export requirements in 40 

CFR part 262, subpart E and subpart H 

(including the notice and consent 

requirements). 

On the other hand, under 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 will be 

exported to an OECD Member country 

for recovery, the export requirements 

(including notice and consent) in 40 

CFR part 262, subpart H, apply. In 

addition, even in situations where U.S. 

exporters are not subject to the notice 

and consent requirements, U.S. 

exporters may still be required to notify 

the importing OECD Member country of 

their intention to export batteries, 

pursuant to contracts with foreign 

consignees. This is because SLABs, 

identified by the Amended 2001 OECD 

Decision as wastes subject to Amber 

control procedures, are generally 

considered to be hazardous waste under 

the national procedures of the importing 

Member countries. 

5. How does EPA propose to revise the 

SLAB regulations under 40 CFR part 

266, subpart G? 

EPA proposes to amend the SLAB 

regulations under 40 CFR part 266, 

subpart G, to require that exporters and 

transporters handling SLABs destined 

for reclamation in a foreign country to 

comply with the same requirements 

specified in the universal waste 

regulations under 40 CFR part 273. 

Specifically, an exporter who sends the 

SLABs to a foreign destination other 

than to those OECD countries specified 

in 40 CFR 262.58(a)(1) would have to: 

(a) Comply with the requirements 

applicable to a primary exporter in 40 

CFR 262.53, 262.56(a) (1) through (4), 

(6), 262.56(b) and 262.57; (b) 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 (c) 

provide a copy of the EPA 

Acknowledgment of Consent for the 

shipment to the transporter transporting 

the shipment for export. In addition, a 

transporter transporting a shipment of 

SLABs to a foreign destination other 

than to those OECD countries specified 

in 40 CFR 262.58(a)(1) would not be 

able to accept a shipment if the 

transporter knew the shipment does not 

conform to the EPA Acknowledgment of 

Consent, and would have to ensure that: 

(a) a copy of the EPA Acknowledgment 

of Consent accompanies the SLAB 

export shipment; and (b) the shipment 

is delivered to the facility designated by 

the person initiating the SLAB export 

shipment. 

For SLABs destined for reclamation in 

OECD countries specified in 40 CFR 

262.58(a)(1), exporters and transporters 

would be subject to the requirements of 

40 CFR part 262, subpart H, the 

requirements governing hazardous 

waste shipments to OECD countries. 

C. Exception Report Revisions for 

Exports Under Subparts E and H of 40 

CFR Part 262 

EPA proposes to replace ‘‘EPA 

Administrator’’ with ‘‘the Office of 

Enforcement and Compliance 

Assurance, Office of Federal Activities, 

International Compliance Assurance 

Division (2254A), Environmental 

Protection Agency, 1200 Pennsylvania 

Avenue, NW., Washington, DC 20460’’ 

in both § 262.55 and in § 262.87(b). 

By providing a specific address for the 

submission of all exception reports 

required by 40 CFR part 262, subparts 

E and H, EPA can ensure better 

oversight of (1) return shipments to the 

U.S. and (2) compliance with the 

exception reporting requirements 

without any additional regulatory 

burden for U.S. exporters. In this 

proposed rule, EPA is making very clear 

that submission of these export 

exception reports must be to the same 

specific EPA address that receives all 

export notifications and export annual 

reports, and with no substitution for 

comparable State agencies. States that 

are interested in receiving a parallel 

copy of the exception report will still be 

able to require the submission of a copy 

to their State Director in addition to 

sending it to the above federal address. 

D. Import Revisions 

EPA proposes to amend the import 

requirements specified in § 262.60(e) to 

require that the U.S. importer provide 

the transporter with a copy of the 

documentation confirming EPA’s 

consent to the hazardous waste import, 

specified under a notice submitted by 

the competent authority of the country 

of export. This documentation must 

accompany each RCRA hazardous waste 

shipment and be submitted by the U.S. 

receiving facility to EPA along with the 

RCRA hazardous waste manifest as 

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11The 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. 

required under §§ 264.71(a)(3) and 

265.71(a)(3). 

While EPA currently requires that 

U.S. receiving facilities submit a copy of 

the hazardous waste manifest to EPA to 

document individual hazardous waste 

import shipments, it has proved 

difficult to match individual hazardous 

waste import shipments against a given 

approved notice of intent to export from 

a foreign country. In part, this is because 

a given destination facility in the United 

States could be receiving the same 

hazardous waste from the same foreign 

exporter under more than one approved 

notice. Adding this requirement will 

enable EPA to match the submitted 

RCRA hazardous waste manifests for 

individual import shipments against the 

approved import notice that typically 

covers the twelve months of imports. 

Being able to do so will enable EPA to 

determine when any import shipments 

claiming coverage under that specific 

notice would or would not be in 

accordance with the terms of the 

approved notice, thus improving our 

oversight of such imports. 

EPA currently responds to specific 

notices of intent to export hazardous 

waste from a foreign country into the 

United States with either a written 

response (e.g., written consent or 

objection) or a tacit consent. Tacit 

consents are allowable for imports 

subject to EPA’s OECD regulations, as 

specified in 40 CFR part 262, subpart H. 

For such imports, the exporting country 

may assume tacit consent to the 

proposed shipments by EPA if no 

written response from EPA has been 

received by the exporting country thirty 

working days from the date EPA sends 

the exporting country a letter 

acknowledging receipt of the notice. 

Because EPA’s consents are currently 

either tacit or sent in writing only to the 

competent authority of the exporting 

country, EPA will need to provide or 

otherwise make available to U.S. 

importers documentation confirming 

the Agency’s consent. EPA is 

considering and soliciting comments on 

what would provide adequate 

documentation of the Agency’s written 

or tacit consent to a specific notice, and 

how best to provide that information to 

U.S. importers. 

III. Summary of This Proposed Rule 

and Changes 

A. Changes to 40 CFR Part 262, Subpart 

E 

This proposed rule amends the 

exception reporting requirements in 

§ 262.55 to specify that all exception 

reports be submitted to the Office of 

Enforcement and Compliance 

Assurance’s Office of Federal Activities 

in Washington, DC, rather than to the 

Administrator. In addition, the proposal 

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 one of the OECD Member countries 

listed in § 262.58(a)(1) are subject to the 

requirements of subpart H. Finally, the 

proposal 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. 

B. Changes to 40 CFR 262.60(e), Subpart 

F 

This proposed rule includes the 

requirement that a U.S. importer 

provide the transporter a copy of the 

documentation confirming EPA’s 

consent to the import of hazardous 

waste when the importer provides the 

transporter with an additional copy of 

the manifest. 

C. Changes to 40 CFR Part 262, Subpart 

H 

All but the last three changes listed 

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 

countries and to promote consistency 

with the Amended 2001 OECD 

Decision, this proposed rule adopts 

these changes in terminology. Thus, 

EPA proposes to change the following 

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.’’ 11

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-tier waste list (Green, 

Amber, 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 proposing to make 

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 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 

would be 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 instead. 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 

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12Section 262.81(j) in the proposed 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’’ for the purposes of the subpart. 

13Under 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. 

necessary to ensure 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 proposes to amend § 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 the new proposed 

§ 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) currently addresses 

the general notification requirements for 

unlisted wastes. This rule first proposes 

to renumber this section to § 262.83(c) 

since the current § 262.83(c) addresses 

‘‘red-list wastes’’ and is no longer 

needed. This proposal also replaces the 

term ‘‘unlisted wastes’’ with ‘‘wastes not 

covered in Appendices 3 and 4 of the 

OECD Decision, 12’’ 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 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 1992 Decision and EPA’s OECD 

rule did not include a provision that 

would exempt waste samples destined 

for laboratory analyses. The Amended 

2001 OECD Decision, however, would 

allow 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 if such samples are destined 

for laboratory analyses to assess its 

physical or chemical characteristics, or 

to determine its suitability for recovery 

operations. Therefore, we are proposing 

that if the waste sample is destined for 

laboratory analyses and meets certain 

specified conditions, then the waste is 

subject to the Green control procedures 

(e.g., the existing controls normally 

applied in commercial transactions). 

The Amended 2001 OECD Decision 

provides that the amount of waste 

qualifying for this exemption shall not 

be more than the minimum quantity 

reasonably needed to perform the 

analyses adequately in each particular 

case, but can never exceed 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. Thus, the 

proposed rule allows for waste samples 

that are sent for laboratory analyses to 

be exempt from the Amber control 

procedures provided they meet the same 

conditions as set forth in the Amended 

2001 OECD Decision. 

Information on exemptions and any 

other national requirements concerning 

movements of waste for laboratory 

analyses is available to the public via a 

Web site with information compiled by 

the OECD Environment Directorate, 

which can be accessed at http:// 

www.oecd.org/env/waste/. 

U.S. exporters should also be aware 

that even if their shipments qualify for 

the laboratory analyses exemption, some 

Member countries may elect to 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. U.S. exporters should 

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 proposed rule would implement 

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 (e.g., exporter, country 

of export, country of import), ensuring 

recovery of the waste has been 

completed. A valid certificate of 

recovery is defined as a written and 

dated statement that affirms that the 

waste materials were recovered and that 

any residuals generated from the 

recovery operation have been disposed 

of in the manner agreed to by the parties 

to the contract.13 This proposed 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 

waste by the recovery facility. Finally, 

this proposed rule requires that the 

recovery facility must send copies of the 

certificate of recovery 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 proposed 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 18 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 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 

handling 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 OECD 

Council Decisions 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 

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. 

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14Recovery operations R1 through R11 are 

defined as the following: R1, use as a fuel (other 

than in direct incineration) or other means to 

generate energy; R2, solvent reclamation/ 

regeneration; R3, recycling/reclamation of organic 

substances which are not used as solvents; R4, 

recycling/reclamation of metals and metal 

compounds; R5, recycling/reclamation of other 

inorganic materials; R6, regeneration of acids or 

bases; R7, recovery of components used for 

pollution abatement; R8, recovery of components 

used from catalysts; R9, used oil re-refining or other 

reuses of previously used oil; R10, land treatment 

resulting in benefit to agriculture or ecological 

improvement; and, R11, uses of residual materials 

obtained from any of the operations numbered R1– 

R10. 

6. Amendments to Notification 

Requirements 

The Amended 2001 OECD Decision 

introduced a series of notification 

requirements that require EPA to make 

conforming amendments to its OECD 

regulations. Specifically, this proposed 

rule would amend § 262.83(e) (which 

would be 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; 

(b) E-mail address for importer (if 

different from the importing recovery 

facility); 

(c) Address, telephone, fax, and email 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, 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 

hazardous waste imports. 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. 

This allows for simplified and 

accelerated notification procedures. Preapproval 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 consideration period for 

objection to transboundary movements 

to pre-approved facilities and 

lengthened the allowable coverage 

period for notifications. Specifically, the 

Decision established a consideration 

period of seven (7) working days during 

which time relevant competent 

authorities may object to transboundary 

movements of waste to pre-approved 

facilities. The Decision also established 

that the allowable coverage period for 

general notifications may extend up to 

three (3) years. Today’s proposed rule 

amends the current regulations to 

incorporate these changes in 

§ 262.83(b)(2)(ii) to reflect the seven (7) 

day consideration period and in 

§ 262.83(b)(2)(i) to reflect the allowable 

coverage period for notifications. 

8. New Procedures for the Pretreatment 

of Hazardous Wastes at R12/R13 

Recovery Facilities 

The Amended 2001 OECD Decision 

imposed new requirements for R12 and 

R13 recovery facilities, which we are 

proposing to incorporate in this 

proposal. R12 and R13 recovery 

facilities are transfer and storage 

facilities, respectively, that do not 

recover the wastes themselves. Because 

hazardous wastes destined for recovery 

may have to undergo treatment before a 

R1–R11 14 recovery facility actually 

recovers them, the OECD considers 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 waste 

and completes its recovery in an 

environmentally sound manner. 

When the notification document lists 

an R12/R13 recovery facility, we are 

proposing that 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. 

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. In 

addition, the R12/R13 recovery facility 

must retain the original movement 

document for three (3) years. Similarly, 

the R12/R13 recovery facility has to 

certify the completion of the R12/R13 

recovery operation by submitting a 

certificate of recovery as 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. The R12/R13 

recovery facility must 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 

transboundary movements 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 country, we are proposing that the 

R12/R13 recovery facility must obtain 

from the subsequent R1–R11 recovery 

facility a certification 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 certification 

of recovery is not fixed, but it must, at 

a minimum, identify the code number of 

the notification document and serial 

number of the movement documents to 

which it pertains. The R12/R13 recovery 

facility 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, we are 

proposing that a new notification must 

be made for the transboundary 

movement of hazardous waste by the 

R12/R13 recovery facility. The 

applicable procedures differ, however, 

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 also 

apply, but 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 transboundary 

movement, and consent must be 

obtained from the original country of 

export and the new countries of import, 

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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). 

This proposed 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: 

• 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 proposed 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 

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 Amber control 

procedures, the proposed 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 proposed rule 

would impose these requirements. 

10. New Provisions Regarding the 

Return and Re-Export of Hazardous 

Wastes Subject to the Amber Control 

Procedures 

This proposed rule proposes to adopt 

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 that is subject to the 

Amber control procedures 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 

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 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 

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, or such other 

period of time to which all concerned 

countries agree. 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 new 

country of transit, the competent 

authority of that country is to be 

notified and consent obtained in 

accordance with the normal Amber 

control procedures. 

(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 new exporter and, consequently, 

assumes all responsibilities as an 

exporter. In addition, the notification 

must also include the competent 

authority of the initial country of export 

who, in accordance with the Amber 

control procedures, may object to the reexport if the movement does not comply 

with the requirements set out by its 

domestic law. 

(c) Return of Hazardous Waste From 

Country of Transit to 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 

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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 

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. This proposal 

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 proposed rule updates 

§ 262.80(a) to reflect that export 

shipments of SLABs being managed 

under 40 CFR part 266, subpart G that 

are destined for recovery in one of the 

OECD 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 proposed 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 

prevalent examples of these types of 

revisions include changing ‘‘Subpart’’ to 

‘‘subpart,’’ ‘‘OECD member’’ to ‘‘OECD 

Member,’’ and ‘‘thirty days’’ to ‘‘thirty 

(30) days.’’ 

13. Change to the Submittal Address for 

Exception Reports 

This proposed rule amends the 

exception reporting requirements in 

§ 262.87(b) to specify that all exception 

reports are to be submitted to the Office 

of Enforcement and Compliance 

Assurance’s Office of Federal Activities 

in Washington, DC rather than the 

Administrator. 

D. Changes to 40 CFR 264.12(a)(2) and 

40 CFR 265.12(a)(2) 

This proposed rule also 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. 

E. Changes to 40 CFR 264.71(a)(3) and 

40 CFR 265.71(a)(3) 

This proposed rule also 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 the written 

documentation of EPA’s consent to the 

import along with a copy of the RCRA 

hazardous waste manifest for the 

shipment that they are currently 

required to submit to EPA 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. 

F. Changes to 40 CFR 266.80(a) 

The existing regulations at 40 CFR 

part 266, subpart G, ‘‘Spent Lead-Acid 

Batteries Being Reclaimed,’’ exempt 

exporters of SLABs destined for 

reclamation from the export 

requirements of 40 CFR part 262. EPA 

proposes to amend the table located at 

40 CFR 266.80 by including two 

additional rows to the current table. 

These additional rows will effectively 

require that exporters and transporters 

of SLABs being sent to a foreign country 

for reclamation will need to meet the 

universal waste requirements 

concerning the export of SLABs for 

reclamation. 

Specifically, exporters would need to 

either comply with the requirements in 

40 CFR part 262, subpart H when the 

shipments are destined to one 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): 

• 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 

would need to comply with the 

applicable requirements in 40 CFR part 

262, subpart H when the shipments are 

destined to one of the OECD Member 

countries listed in § 262.58(a)(1). For 

export shipments of SLABs not destined 

for one of the OECD Member countries 

listed in § 262.58(a)(1), the transporter 

would not be able to accept a shipment 

if the transporter knows the shipment 

does not conform to the EPA 

Acknowledgment of Consent, and 

would 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. 

EPA proposes to amend the table 

located at 40 CFR 266.80 in order to 

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 proposed 

rule would harmonize the export 

requirements for SLABs with the 

Amended 2001 OECD Decision and the 

Basel Convention. (Note that the 

exemption from the manifest 

requirements for exporters and 

transporters of SLABs for reclamation 

will continue to remain in effect.) 

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. 

1. Export Shipments of SLABs to OECD 

Member Countries 

We are proposing that exporters and 

transporters of SLABs destined for 

reclamation in one of the OECD Member 

countries listed in § 262.58(a)(1) would 

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 

proposed requirements, exporters and 

transporters should consult the 

regulatory text for 40 CFR part 262, 

subpart H in this proposal. In addition 

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to the proposed changes to 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 would be required to 

comply with the Amber control 

procedures in § 262.83. Under the 

Amber control procedures, an exporter 

must submit a complete notification of 

its intent to export to EPA 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 preapproved 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 if the shipment is going to 

a pre-approved facility in the country of 

import). 

A complete notification includes, but 

is not limited to: 

• Contact information and 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 points of entry and departure, 

through which the hazardous waste will 

be sent, and 

• A certification by the exporter that 

a contract or chain of contracts or 

equivalent arrangements among all 

parties to the proposed 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 preapproved 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. 

(b) Shipment Tracking 

Under § 262.84, export shipments of 

SLABs must be accompanied by a 

movement document from the initiation 

of the shipment until it reaches the final 

recovery facility. 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 

and the following: 

• Date movement commenced; 

• Name (if not the exporter), address, 

telephone and fax numbers, and e-mail 

of person originating the movement 

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 

documentation under § 262.84 will have 

to submit to the Office of Enforcement 

and Compliance Assurance’s Office of 

Federal Activities in Washington, DC, 

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) 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 

documentation under § 262.84 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, NW., Washington, DC 20460, if 

any of the following occurs: 

• He has not received a copy of the 

RCRA hazardous waste manifest signed 

by the transporter and noting the date 

and 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; 

• 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; 

• The waste 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 

documentation 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 countries concerned (e.g., export, 

transit, and import) for a period of at 

least three (3) years from the date the 

hazardous waste 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 documentation) 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 

• 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. 

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15As noted previously, this is equivalent to 

‘‘importer’’ in the proposed revisions to 40 CFR part 

262, subpart H. 

2. Export Shipments of SLABs to 

Countries Not Listed in § 262.58(a)(1) 

(a) Notification of Intent To Export 

We are proposing that exporters of 

SLABs destined for reclamation in 

countries not listed in § 262.58(a)(1) 

would be required to comply with the 

primary exporter notification 

requirements in § 262.53, and export the 

SLABs only upon 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 

would have 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 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 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 

consignee 15 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. 

(b) Shipment Documentation and 

Tracking 

We are proposing that 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 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 SLAB shipments are exempt 

from the RCRA hazardous waste 

manifest requirements. 

(c) Annual Reporting 

We are proposing that exporters of 

SLABs must follow the requirements 

applicable to a primary exporter 

detailed in § 262.56 ‘‘Annual reports’’ 

(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, we are proposing that 

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; 

• A copy of each confirmation of 

delivery of the SLAB shipment from the 

consignee 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. 

G. Changes to 40 CFR 271.1 

This proposed 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. 

IV. Costs and Benefits of the Proposed 

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 

proposed action evaluates costs, cost 

savings, benefits, and other impacts, 

such as environmental justice, 

children’s health, unfunded mandates, 

regulatory takings, and small entity 

impacts. To conduct this analysis, we 

developed and implemented a 

methodology for examining impacts, 

and followed appropriate guidelines 

and procedures for examining equity 

considerations, children’s health, and 

other impacts. 

B. Analytical Scope 

This analysis assesses the proposed 

integration of various OECD Council 

Decisions into 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 proposed export 

regulations for SLABs to OECD and nonOECD countries. Also incorporated into 

the analysis is the proposed 

requirements that importers of 

hazardous waste subject to 40 CFR part 

262, subpart F, provide to the initial 

transporter documentation necessary to 

confirm EPA’s consent to the import to 

accompany such manifested import 

shipments, and that the receiving 

facility submit to EPA a copy of that 

documentation when it submits to EPA 

the RCRA hazardous waste manifest for 

the import shipment. Finally, this action 

proposes a revision to the current 

language in §§ 262.55 and 262.87(b) that 

will require exception reports to be 

submitted directly to the Director, 

International Compliance and 

Assurance Division (ICAD), of the Office 

of Enforcement and Compliance 

Assurance (OECA), EPA Headquarters, 

rather than to the EPA Administrator. 

There is no discernable cost impact 

associated with this proposed 

requirement for exception reports to be 

submitted directly to the Director. 

First, we assess all potential cost 

impacts (positive and negative) of the 

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16Secretarı ́a de Medio Ambiente y Recursos 

Naturales (SEMARNAT). 

17Cost Assessment for the Proposed Rule on 

Exports and Imports of Hazardous Waste Destined 

for Recovery Among OECD Countries and Exports 

of Spent Lead-Acid Batteries from the U.S. 

proposed revisions to the OECD rule, 

including: 

• Exemptions for wastes destined for 

laboratory analyses, 

• The requirement to provide a 

certificate of recovery, 

• Information collection requirements 

associated with exchange and 

accumulation recovery operations, and 

• The notification requirements 

related to the return of wastes. 

Next, we assess all potential cost 

impacts (positive and negative) of the 

proposed 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 analyze the proposed 

requirements that importers of 

hazardous waste subject to 40 CFR part 

262, subpart F, provide to the initial 

transporter documentation necessary to 

confirm EPA’s consent to the import to 

accompany such manifested import 

shipments, and that the receiving 

facility submit to EPA a copy of that 

documentation when it submits to EPA 

the RCRA hazardous waste manifest for 

the import shipment. 

We also include an estimate for 

potentially affected entities to read the 

regulation, which is, by default, a 

necessary requirement for 

understanding the regulation. Cost 

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 proposed rule 

during the first year of implementation 

(i.e., including reading the rule) is 

estimated to be $14,472. This is a net 

impact estimate that includes a total net 

incremental cost increase to the 

regulated community of $13,634, 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 (i.e., excluding 

reading the rules) is estimated to be 

$9,678. 

The total incremental cost for the 

SLAB portion of the proposed rule 

during the first year of implementation 

(i.e., including reading the rule) is 

estimated at $851,000. 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 (i.e., 

excluding reading the rules) is estimated 

to be $404,000. 

The combined total cost of the 

proposed rule (OECD portion, plus 

SLAB portion, plus import consent 

documentation portion) is estimated at 

$919,000 for the first year. 

Approximately 92.5% of this total is 

attributable to the SLAB portion of the 

proposal, followed by the EPA import 

consent documentation requirements 

representing about 5.9% of the total. 

The OECD portion accounts for about 

1.6% of the total first year cost of the 

proposal. After the first year, the total 

incremental cost of the proposed 

rulemaking, omitting the cost of reading 

the rules, is estimated at $468,000. 

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 

SEMARNAT16 data. A full explanation 

of the data sources, analytical 

methodology, assumptions, and 

limitations associated with the findings 

presented above is presented in our Cost 

Assessment 17 document prepared in 

support of this proposed action. This 

document is available in the docket. 

Interested stakeholders are encouraged 

to read and comment on the analysis 

and findings presented in this 

document. 

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 enforcement 

capabilities. Specific benefits include 

the following: 

• The U.S. would meet its legal 

obligations to implement the Amended 

2001 OECD Decision. 

• Increased 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. 

• 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. 

V. State Authorization 

A. Applicability of Rules in Authorized 

States 

Under section 3006 of RCRA, EPA 

may authorize qualified States to 

administer their own hazardous waste 

programs in lieu of the federal program 

within the State. Following 

authorization, EPA retains enforcement 

authority under sections 3008, 3013, 

and 7003 of RCRA, although authorized 

States have primary enforcement 

responsibility. The standards and 

requirements for State authorization are 

found at 40 CFR part 271. 

Prior to enactment of the Hazardous 

and Solid Waste Amendments of 1984 

(HSWA), a State with final RCRA 

authorization administered its 

hazardous waste program entirely in 

lieu of EPA administering the federal 

program in that State. The federal 

requirements no longer applied in the 

authorized State, and EPA could not 

issue permits for any facilities in that 

State, since only the State was 

authorized to issue RCRA permits. 

When new, more stringent federal 

requirements were promulgated, the 

State was obligated to enact equivalent 

authorities within specified time frames. 

However, the new federal requirements 

did not take effect in an authorized State 

until the State adopted the federal 

requirements as State law. 

In contrast, under RCRA section 

3006(g) (42 U.S.C. 6926(g)), which was 

added by HSWA, new requirements and 

prohibitions imposed under HSWA 

authority take effect in authorized States 

at the same time that they take effect in 

unauthorized States. EPA is directed by 

the statute to implement these 

requirements and prohibitions in 

authorized States, including the 

issuance of permits, until the State is 

granted authorization to do so. While 

States must still adopt HSWA related 

provisions as State law to retain final 

authorization, EPA implements the 

HSWA provisions in authorized States 

until the States do so. 

Authorized States are required to 

modify their programs only when EPA 

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58404 Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 

18This $100 million threshold applies to both 

costs, and cost savings. 

19Cost Assessment for the Proposed Rule on 

Exports and Imports of Hazardous Waste Destined 

for Recovery Among OECD Countries and Exports 

of Spent Lead-Acid Batteries from the U.S. (Cost 

Assessment). 

enacts federal requirements that are 

more stringent or broader in scope than 

existing federal requirements. RCRA 

section 3009 allows the States to impose 

standards more stringent than those in 

the federal program (see also 40 CFR 

271.1). Therefore, authorized States 

may, but are not required to, adopt 

federal regulations, both HSWA and 

non-HSWA, that are considered less 

stringent than previous federal 

regulations. 

B. Effect on State Authorization 

Because of the Federal government’s 

special role in matters of foreign policy, 

EPA cannot 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 functions in subparts E or 

F, in accordance with 271.10, the State 

program must include requirements 

respecting international shipments 

equivalent to those at subparts E and F. 

States are also not authorized to 

administer the Federal government’s 

functions in subpart H, but in this case, 

States are not required to adopt those 

provisions. However, EPA would 

encourage 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, F and H, the import manifest 

submittal requirements in 264.71(a)(3) 

and 265.71(a)(3), or the domestic 

management provisions for SLABs in 40 

CFR part 266, subpart G. If or when a 

State chooses to adopt these import/ 

export provisions, when final, care 

should be taken not to replace Federal 

or international references with State 

terms. Moreover, if finalized, the 

provisions of today’s notice would take 

effect in all States upon the effective 

date of the final rule. 

VI. 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 rule, as proposed, 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 proposal is 

estimated to be $919,000 during the first 

year following rule implementation. 

Exporters are projected to account for 

approximately 68 percent of this total. 

Benefits of this action include the U.S. 

meeting its legal obligations to 

implement the Amended 2001 OECD 

Decision, 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 

proposal is significantly below the $100 

million threshold 18 established under 

part 3(f)(1) of the Order. Thus, this 

proposal 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 assessment 19 in 

support of this proposed rule. The 

RCRA docket established for today’s 

rulemaking maintains a copy of this 

document for public review. Interested 

persons are encouraged to read and 

comment on this document. 

B. Paperwork Reduction Act 

The information collection 

requirements in this proposed 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 Request (ICR) 

document prepared by EPA has been 

assigned EPA ICR number 2308.01. 

The proposal requires that the 

affected sources submit the following: 

• Under the proposed 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 waste; U.S. facilities that 

exchange or accumulate the 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 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 that cannot 

complete the intended recovery and 

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 

countries. 

• Under the proposed SLAB 

revisions: SLAB exporters will have to: 

Comply with the full subpart H 

requirements if going to 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 proposed import 

documentation revisions: U.S. receiving 

facilities will have to submit to EPA 

copies of 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 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. 

The estimated annual public reporting 

burden for the new paperwork 

requirements in the proposed rule is 

approximately 4.62 hours/year per 

respondent under the proposed OECD 

revisions; 20.73 hours/year per 

respondent under the proposed SLAB 

revisions; and 9.15 hours/year per 

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Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 58405 

respondent under the proposed import 

consent documentation. The annual 

public recordkeeping burden is 

estimated to average 10.20 hours/year 

per respondent under the proposed 

OECD revisions, and 0.25 hours/year 

per respondent under the proposed 

SLAB revisions. The total annual public 

burden is estimated to be 15,077 hours 

and $840,500 during the first year of 

implementation, and 9,024 hours and 

$389,600 after the first year. The capital 

and start-up 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. 

To comment on the Agency’s need for 

this information, the accuracy of the 

provided burden estimates, and any 

suggested methods for minimizing 

respondent burden, EPA has established 

a public docket for this rule, which 

includes this ICR, under Docket ID 

number EPA–HQ–RCRA–2005–0018. 

Submit any comments related to the ICR 

to EPA and OMB. See ADDRESSES

section at the beginning of this notice 

for where to submit comments to EPA. 

Send comments to OMB at the Office of 

Information and Regulatory Affairs, 

Office of Management and Budget, 725 

17th Street, NW., Washington, DC 

20503, Attention: Desk Office for EPA. 

Since OMB is required to make a 

decision concerning the ICR between 30 

and 60 days after October 6, 2008, a 

comment to OMB is best assured of 

having its full effect if OMB receives it 

by November 5, 2008. The final rule will 

respond to any OMB or public 

comments on the information collection 

requirements contained in this proposal. 

C. Regulatory Flexibility Act 

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 proposed rule on 

small entities, I certify that this action 

will not have a significant economic 

impact on a substantial number of small 

entities. In determining whether a rule 

has a significant economic impact on a 

substantial number of small entities, the 

impact of concern is any significant 

adverse economic impact on small 

entities. The primary purpose of the 

regulatory flexibility analyses is to 

identify and address regulatory 

alternatives ‘‘which minimize any 

significant economic impact of the rule 

on small entities,’’ (5 U.S.C. 603 and 

604). Thus, an agency may certify that 

a rule will not have a significant 

economic impact on a substantial 

number of small entities if the rule 

relieves regulatory burden, or otherwise 

has a positive economic effect on all of 

the small entities subject to the rule. 

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 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, as proposed. 

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. Our analysis specifically 

examined the potentially impacted 

small companies with fewer than 20 

employees. The average annual gross 

sales of these companies were found to 

range from $0.4 million to $4.1 million, 

depending upon NAICS sector. The 

annual compliance costs for these 

companies, as a percentage of average 

annual gross sales, was found to range 

from 0.01 percent to 0.08 percent. 

The reader is encouraged to review 

our regulatory flexibility screening 

analysis prepared in support of this 

determination. This analysis is 

incorporated into the Cost Assessment, 

which is available in the docket 

established for this proposal. We 

continue to be interested in the 

potential impacts of the proposed rule 

on small entities and welcome 

comments on issues related to such 

impacts. 

D. Unfunded Mandates Reform Act of 

1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), Public 

Law 104–4, establishes requirements for 

Federal agencies to assess the effects of 

their regulatory actions on State, local, 

and tribal governments and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘Federal mandates’’ that may 

result in expenditures to State, local, 

and tribal governments, in the aggregate, 

or to the private sector, of $100 million 

or more in any one year. Before 

promulgating an EPA rule for which a 

written statement is needed, section 205 

of the UMRA generally requires EPA to 

identify and consider a reasonable 

number of regulatory alternatives and 

adopt the least costly, most costeffective or least burdensome alternative 

that achieves the objectives of the rule. 

The provisions of section 205 do not 

apply when they are inconsistent with 

applicable law. Moreover, section 205 

allows EPA to adopt an alternative other 

than the least costly, most cost-effective 

or least burdensome alternative if the 

Administrator publishes with the final 

rule an explanation why that alternative 

was not adopted. Before EPA establishes 

any regulatory requirements that may 

significantly or uniquely affect small 

governments, including tribal 

governments, it must have developed 

under section 203 of the UMRA a small 

government agency plan. The plan must 

provide for notifying potentially 

affected small governments, enabling 

officials of affected small governments 

to have meaningful and timely input in 

the development of EPA regulatory 

proposals with significant Federal 

intergovernmental mandates, and 

informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

This proposal contains no Federal 

mandates (under the regulatory 

provisions of Title II of the UMRA) for 

State, local, or tribal governments, or the 

private sector, in large part because the 

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 

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Amended 2001 OECD Decision). In any 

event, EPA has determined that this 

rule, as proposed, does not contain a 

Federal mandate that may result in 

expenditures of $100 million or more 

for State, local, and tribal governments, 

in the aggregate, or the private sector in 

any one year. The total cost impacts of 

this proposed action are estimated to be 

$919,000 during the first year, and 

approximately $468,000 per year 

thereafter. 

Finally, EPA has determined that this 

rule contains no regulatory 

requirements that might significantly or 

uniquely affect small governments. 

Small governments are not affected by 

this action, as proposed. 

E. Executive Order 13132: Federalism 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ is defined in 

the Executive Order to include 

regulations that 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.’’ 

This proposed rule 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. This proposed 

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 rule. 

In the spirit of Executive Order 13132, 

and consistent with EPA policy to 

promote communications between EPA 

and State and local governments, EPA 

specifically solicits comment on this 

proposed rule from State and local 

officials. 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

Executive Order 13175, entitled 

‘‘Consultation and Coordination with 

Indian Tribal Governments’’ (65 FR 

67249, November 9, 2000), requires EPA 

to develop an accountable process to 

ensure ‘‘meaningful and timely input by 

tribal officials in the development of 

regulatory policies that have tribal 

implications.’’ This proposed 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 proposal. Thus, Executive Order 

13175 does not apply to this proposed 

rule. EPA specifically solicits additional 

comment on our determination under 

this Order and on this proposed rule 

from tribal officials. 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

Risks and Safety Risks 

Executive Order 13045, entitled 

‘‘Protection of Children from 

Environmental Health Risks and Safety 

Risks’’ (62 FR 19885, April 23, 1997), 

applies to any rule that: (1) Is 

determined to be ‘‘economically 

significant’’ as defined under Executive 

Order 12866, and (2) concerns an 

environmental health or safety risk that 

EPA has reason to believe may have a 

disproportionate effect on children. If 

the regulatory action meets both criteria, 

the Agency must evaluate the 

environmental health or safety effects of 

the planned rule on children, and 

explain why the planned regulation is 

preferable to other potentially effective 

and reasonably feasible alternatives 

considered by the Agency. 

This proposed rule is not subject to 

the Executive Order because it is not 

economically significant as defined in 

Executive Order 12866, and because the 

Agency does not have reason to believe 

the environmental health or safety risks 

addressed by this action present a 

disproportionate risk to children 

residing in the United States. 

H. Executive Order 13211: Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This proposed rule is not a 

‘‘significant energy action’’ as defined in 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use’’ (66 FR 28355 (May 

22, 2001)) because it is not likely to 

have a significant adverse effect on the 

supply, distribution, or use of energy. 

This rule, as proposed, will not 

seriously disrupt energy supply, 

distribution patterns, prices, imports or 

exports. In fact, this proposed rule is 

designed to improve regulatory 

efficiency and improve information 

collection, in part by implementing 

technical corrections 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 

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 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 proposed rulemaking does not 

involve technical standards. Therefore, 

EPA is not considering 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 

proposed 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. This 

proposal is designed to improve 

regulatory efficiency and improve 

information collection, in part by 

implementing technical corrections and 

clarifications to the existing regulations. 

List of Subjects 

40 CFR Part 262 

Environmental protection, Exports, 

Hazardous materials transportation, 

Hazardous waste, Imports, International 

organizations, Labeling, Packaging and 

containers, Recycling, Reporting and 

recordkeeping requirements. 

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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: September 19, 2008. 

Stephen L. Johnson, 

Administrator. 

For the reasons stated in the 

preamble, title 40, chapter 1 of the Code 

of Federal Regulations is proposed to be 

amended as follows. 

PART 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. 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, NW., Washington, DC 20460, if 

any of the following occurs: 

* * * * * 

3. Section 262.58 is revised to read as 

follows: 

§ 262.58 International agreements. 

(a) Any person who exports or 

imports hazardous waste subject to the 

Federal manifest requirements of part 

262, or subject to the universal waste 

management standards of 40 CFR part 

273, or subject to State requirements 

analogous to 40 CFR part 273, or exports 

spent lead-acid batteries subject to the 

spent lead-acid battery management 

standards of 40 CFR part 266, subpart G 

or subject to State requirements 

analogous to 40 CFR part 266, subpart 

G, to or from 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. 

(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 

Slovak Republic, South Korea, Spain, 

Sweden, Switzerland, Turkey, the 

United Kingdom, and the United States. 

(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. 

4. Section 262.60(e) is revised to read 

as follows: 

* * * * * 

(e) The importer must provide the 

transporter with an additional copy of 

the manifest and documentation 

confirming EPA’s consent to the import 

of hazardous waste to be submitted by 

the receiving facility to U.S. EPA in 

accordance with § 264.71(a)(3) and 

§ 265.71(a)(3) of this chapter. 

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. 

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 it meets the 

Federal definition of hazardous waste in 

40 CFR 261.3 and it is subject to either 

the Federal manifesting requirements at 

40 CFR part 262, subpart B, to the 

universal waste management standards 

of 40 CFR part 273 or to State 

requirements analogous to 40 CFR part 

273, or for exports only, if the waste is 

subject to 40 CFR part 266, subpart G or 

to State requirements analogous to 40 

CFR part 266, subpart G. 

(b) Any person (exporter, importer, or 

recovery facility operator) who mixes 

two or more wastes (including 

hazardous and non-hazardous wastes) 

or otherwise subjects two or more 

wastes (including hazardous and nonhazardous 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. 

(a) Competent authority means the 

regulatory authority or authorities of 

concerned countries having jurisdiction 

over transboundary movements of 

wastes destined for recovery operations. 

(b) Countries concerned means the 

OECD Member countries of export or 

import and any OECD Member 

countries of transit. 

(c) 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. 

(d) 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. 

(e) 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 

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movement of hazardous wastes is 

planned or takes place. 

(f) 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. 

(g) 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. 

(h) 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. 

(i) OECD means the Organization for 

Economic Cooperation and 

Development. 

(j) OECD Decision means the OECD 

‘‘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.’’ 

(k) 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. 

(l) 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. 

(m) Recovery operations means 

activities leading to resource recovery, 

recycling, reclamation, direct re-use or 

alternative uses, which include: 

R1 Use as a fuel (other than in direct 

incineration) or other means to 

generate energy 

R2 Solvent reclamation/regeneration 

R3 Recycling/reclamation of organic 

substances which are not used as 

solvents 

R4 Recycling/reclamation of metals 

and metal compounds 

R5 Recycling/reclamation of other 

inorganic materials 

R6 Regeneration of acids or bases 

R7 Recovery of components used for 

pollution abatement 

R8 Recovery of components used from 

catalysts 

R9 Used oil re-refining or other reuses 

of previously used oil 

R10 Land treatment resulting in 

benefit to agriculture or ecological 

improvement 

R11 Uses of residual materials 

obtained from any of the operations 

numbered R1–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 

(n) 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 national 

procedures of the United States, as 

defined in § 262.80(a). The two lists 

correspond to Appendices 3 and 4, 

respectively, of the OECD Decision and 

have been 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: 

(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. 

(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 

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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. 

(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). 

(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) Reexport 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 new 

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 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 reexported to a third country. The 

provisions of paragraph (c) of this 

section apply to any shipments to be reexported 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 § 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 new transit 

country, the return shipment may only 

occur after EPA provides notification to 

and obtains consent from the competent 

authority of the new 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, 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 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 

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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, 

NW., Washington, DC 20460, by mail, 

e-mail without digital signature 

followed by mail, or fax followed by 

mail. 

(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 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 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, 

NW., Washington, DC 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 concerned country 

(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 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 preapproved facility. The notification must 

indicate that the recovery facility is preapproved, 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 Activities, 

International Compliance Assurance 

Division (2254A), Environmental 

Protection Agency, 1200 Pennsylvania 

Avenue, NW., Washington, DC 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 concerned country objects to the 

shipment. 

(c) Wastes not covered in Appendices 

3 and 4 of the OECD Decision. Wastes 

destined for recovery operations, that 

have not been assigned to Appendices 3 

or 4 of the OECD Decision, but which 

are considered hazardous under U.S. 

national procedures as defined in 

§ 262.80(a), are subject to the 

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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 Appendices 3 

or 4 of the OECD Decision, 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 and fax numbers, 

and e-mail address; 

(3) Importing recovery facility name, 

address, telephone and fax numbers, email address, and technologies 

employed; 

(4) Importer name (if not the owner or 

operator of the recovery facility), 

address, telephone and fax numbers, 

and e-mail address; whether the 

importer will engage in waste exchange 

or storage, meeting the definition of R12 

or R13 recovery operations in 

§ 262.81(m), 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; 

(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 list (Part I or II of 

Appendix 3 or 4) of the OECD Decision, 

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) according to § 262.81(m). 

(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 legallyenforceable 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: lllllllllllllll

Signature: lllllllllllll

Date: llllllllllllllll

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. 

§ 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 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 and 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 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 pre-authorized 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: lllllllllllllll

Signature: lllllllllllll

Date: llllllllllllllll

(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 

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 

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Enforcement and Compliance 

Assurance, Office of Federal Activities, 

International Compliance Assurance 

Division (2254A), Environmental 

Protection Agency, 1200 Pennsylvania 

Avenue, NW., 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 under 

§ 262.81(m), 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 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: 

(1) The person having actual 

possession or physical control over the 

wastes will immediately inform the 

exporter and the competent authorities 

of 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 reexport 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 

concerned country, 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 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 

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 Pennsylvania Avenue, 

NW., 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 documentation 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 (Appendices 3 or 4 of the 

OECD Decision), DOT hazard class, the 

name and U.S. EPA 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 

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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 

documentation 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, 

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 documentation 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, NW., 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. (1) Persons who 

meet the definition of primary exporter 

in § 262.51 or who initiate the 

movement documentation under 

§ 262.84 shall keep the following 

records 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 

documentation) 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 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 processing the waste 

shipment. 

(2) The periods of retention referred to 

in this section are extended 

automatically during the course of any 

unresolved enforcement action 

regarding the regulated activity or as 

requested by the Administrator. 

§ 262.88 Pre-approval for U.S. recovery 

facilities [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, to the universal 

waste management standards of 40 CFR 

part 273, to State requirements 

analogous to 40 CFR part 273, to the 

export requirements in the spent leadacid battery management standards of 

40 CFR part 266, subpart G, or to 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. 

(c) The appropriate control 

procedures for hazardous wastes and 

hazardous waste mixtures are addressed 

in § 262.82. 

(d) The OECD waste lists, entitled 

‘‘List of Wastes Subject to the Green 

Control Procedure’’ and ‘‘List of Wastes 

Subject to the Amber Control 

Procedure,’’ are set forth in Appendix 3 

and Appendix 4, respectively, of the 

OECD Decision. These lists are 

incorporated by reference. These 

incorporations by reference were 

approved by the Director of the Federal 

Register in accordance with 5 U.S.C. 

552(a) and 1 CFR part 51 on [date of 

approval for incorporation by reference]. 

These materials are incorporated as they 

exist 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– 

HQ–RCRA–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 Andre ́ 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. 

PART 264—STANDARDS FOR 

OWNERS AND OPERATORS OF 

HAZARDOUS WASTE TREATMENT, 

STORAGE, AND DISPOSAL 

FACILITIES 

6. The authority citation for part 264 

continues to read as follows: 

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

and 6925. 

7. Section 264.12(a)(2) is revised 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. NW., Washington, DC 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 

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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. 

* * * * * 

8. Section 264.71(a)(3) is revised to 

read as follows: 

§ 264.71 Use of manifest system. 

(a)(1) * * * 

(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, 

NW., Washington, DC 20460. 

* * * * * 

PART 265—INTERIM STATUS 

STANDARDS FOR OWNERS AND 

OPERATORS OF HAZARDOUS WASTE 

TREATMENT, STORAGE, AND 

DISPOSAL FACILITIES 

9. 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. 

10. Section 265.12(a)(2) is revised to 

read as follows: 

§ 265.12 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, NW., Washington, DC 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. 

* * * * * 

11. Section 265.71(a)(3) is revised to 

read as follows: 

§ 265.71 Use of manifest system. 

(a)(1) * * * 

(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, 

NW., Washington, DC 20460 

* * * * * 

PART 266—STANDARDS FOR THE 

MANAGEMENT OF SPECIFIC 

HAZARDOUS WASTES AND SPECIFIC 

TYPES OF HAZARDOUS WASTE 

MANAGEMENT FACILITIES 

12. 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. 

13. In § 266.80(a) the table is revised 

to read as follows: 

§ 266.80 Applicability and requirements. 

(a) * * * 

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. 

(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. 

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Federal Register / Vol. 73, No. 194 / Monday, October 6, 2008 / Proposed Rules 58415 

If your batteries * * * And if you * * * Then you * * * And you * * * 

(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. 

(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 

14. The authority citation for part 271 

continues to read as follows: 

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

6926. 

15. Section 271.1(j) is amended by 

adding the following entries 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 of final 

rule in the Federal Register 

(FR)].

Exports of hazardous waste ......... [Insert FR page numbers] ............. [Insert date of X months from date 

of publication of final rule]. 

* * * * * 

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TABLE 2—SELF-IMPLEMENTING PROVISIONS OF THE HAZARDOUS AND SOLID WASTE AMENDMENTS OF 1984 

Effective date Self-implementing provision RCRA citation Federal Register reference 

* * * * * * * 

[Insert date X days after of publication of 

final rule in the Federal Register (FR)].

Exports of hazardous waste ................... 3017(a) [Insert Federal Register reference for 

publication of final rule]. 

* * * * * 

[FR Doc. E8–22536 Filed 10–3–08; 8:45 am] 

BILLING CODE 6560–50–P 

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