Document ID: EPA-HQ-RCRA-2011-1014-0001
Agency: epa
Document Type: Proposed Rule
Title: Revision to Export Provisions of Cathode Ray Tube Rule
Posted Date: 2012-03-15T04:00Z

[Federal Register Volume 77, Number 51 (Thursday, March 15, 2012)]
[Proposed Rules]
[Pages 15336-15343]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-6276]

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ENVIRONMENTAL PROTECTION AGENCY

4O CFR Parts 260 and 261

[EPA-HQ-RCRA-2011-1014, FRL-9646-4]
RIN 2050-AG68

Revision to the Export Provisions of the Cathode Ray Tube (CRT) 
Rule

AGENCY: Environmental Protection Agency.

ACTION: Proposed rule.

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SUMMARY: The Environmental Protection Agency (EPA or the Agency) is 
proposing to revise certain export provisions of the cathode ray tube 
(CRT) final rule published on July 28, 2006 (71 FR 42928). The proposed 
revisions will allow the Agency to better track exports of CRTs for 
reuse and recycling. Additionally, EPA would gather more information on 
shipments of CRTs that are sent for reuse.

DATES: Comments must be received on or before May 14, 2012.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
RCRA-2011-1014 by one of the following methods:
    www.regulations.gov: Follow the on-line instructions for submitting 
comments.
    Email: Comments may be sent by electronic mail (email) to RCRA-docket@epa.gov, Attention Docket ID No. EPA-HQ-RCRA-2011-1014.
    Fax: Fax comments to: 202-566-9744, Attention Docket ID No. EPA-HQ-
RCRA-2011-1014.
    Mail: Send comments to: OSWER Docket, EPA Docket Center, Mail Code 
5305T, Environmental Protection Agency, 1200 Pennsylvania Avenue NW., 
Washington, DC 20460, Attention Docket ID No. EPA-HQ-RCRA-2011-1014. 
Please include two copies of your comments. 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., Washington, DC 
20503.
    Hand delivery: Deliver two copies of your comments to: 
Environmental Protection Agency, EPA Docket Center, Room 3334, 1301 
Constitution Avenue NW., Washington, DC, Attention Docket ID No. EPA-
HQ-RCRA-2011-1014. 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 Number EPA-HQ-RCRA-
2011-1014. EPA's policy is that all comments received will be included 
in the public docket without change and may be made available online at 
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 www.regulations.gov or email. The 
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 email comment 
directly to EPA without going through www.regulations.gov, your email 
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 
www.regulations.gov index. Although listed in the index, some 
information is not publicly available, such as 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 
at www.regulations.gov or in hard copy at the OSWER Docket, EPA/DC, EPA 
West, Room 3334, 1301 Constitution Ave. NW., Washington, DC. The Public 
Reading Room is open from 8:30 a.m. to 4:30 p.m. Monday through Friday, 
excluding legal holidays. The telephone number for the Public Reading 
Room is (202) 566-1744 and the telephone number for the OSWER Docket is 
(202) 566-0270.

FOR FURTHER INFORMATION CONTACT: For more detailed information on 
specific aspects of this rulemaking, contact Marilyn Goode, Office of 
Resource Conservation and Recovery, Materials Recovery and Waste 
Management Division, MC 5304P, Environmental Protection Agency, 1200 
Pennsylvania Ave. NW., Washington, DC 20460, (703) 308-8800, 
(goode.marilyn@epa.gov).

SUPPLEMENTARY INFORMATION:

Does this action apply to me?

    Entities potentially affected by today's action include all persons 
who export used cathode ray tubes (CRTs) and CRT glass for reuse or 
recycling. This action does not affect households or conditionally 
exempt small quantity generators (CESQGs). Annual costs to CRT 
exporters and EPA for the reporting and recordkeeping requirements 
range from $7,300 to $11,500 per year.
    More detailed information on the potentially affected entities, 
industries, and industrial materials, as well as the economic impacts 
of this proposed rule, is presented in Section VIII of this preamble 
and in the Regulatory Impact Analysis available in the docket for this 
proposal.

What To Consider When Preparing Comments for EPA

    Submitting CBI. Do not submit this information to EPA through 
www.regulations.gov or email. Clearly mark all information that you 
claim to be CBI. For CBI information in a disk or CD-ROM that you mail 
to EPA, mark the outside of the disk or CD-ROM as CBI and then identify 
electronically within the disk or CD-ROM the specific information that 
is claimed as CBI. In addition to one complete version of the comment 
that includes information claimed as CBI, a copy of the comment that 
does not contain the information claimed as CBI must be submitted for 
inclusion in the public docket. Information so marked will not be 
disclosed, except in accordance with procedures set forth in 40 CFR 
part 2.
    Tips for Preparing Your Comments. When submitting comments, 
remember to:
     Identify the rulemaking by docket number and other 
identifying information (subject heading, Federal Register date and 
page number).
     Follow directions. The Agency may ask for commenters to 
respond to specific questions or organize comments by referencing a 
Code of Federal Regulations (CFR) part or section number.
     Explain why you agree or disagree; suggest alternatives 
and substitute language for your requested changes.

[[Page 15337]]

     Describe any assumptions and provide any technical 
information and/or data that you used.
     If estimating burden or costs, explain methods used to 
arrive at the estimate in sufficient detail to allow for it to be 
reproduced.
     Provide specific examples to illustrate any concerns and 
suggest alternatives.
     Make sure to submit comments by the comment period 
deadline identified above.

Preamble Outline

I. Statutory Authority
II. List of Abbreviations and Acronyms
III. What is the intent of this proposal?
IV. What is the scope of this proposal?
V. Background
VI. Proposed Changes to the CRT Rule
VII. State Authorization
VIII. Administrative Requirements for This Rulemaking

I. Statutory Authority

    These regulations are proposed under the authority of sections 
2002(a), 3001, 3002, 3004, and 3006 of the Solid Waste Disposal Act of 
1970, as amended by the Resource Conservation and Recovery Act of 1976 
(RCRA), as amended by the Hazardous and Solid Waste Amendments of 1984 
(HSWA), 42 U.S.C. 3007, 6912(a), 6921, 6922, 6924, 6926, 6927, and 
6938.

II. List of Abbreviations and Acronyms

CRT--Cathode Ray Tube
CFR--Code of Federal Regulations
EPA--Environmental Protection Agency
RCRA--Resource Conservation and Recovery Act
RIA--Regulatory Impact Analysis

III. What is the intent of this proposal?

    Today's proposal would revise the conditional exclusions from the 
Resource Conservation and Recovery Act (RCRA) regulations that apply to 
persons who export cathode ray tubes (CRTs) for reuse or recycling. The 
existing requirements were first promulgated on July 28, 2006 (71 FR 
42928). Since promulgation of these requirements, the Agency has 
realized the necessity of obtaining additional information on the 
export of this class of used electronics to better ensure their proper 
management. This notice is intended to propose changes to accomplish 
that goal.

IV. What is the scope of this proposal?

    Today's proposal would affect only the export provisions of the CRT 
rule, and would not affect any requirements applicable to the domestic 
management of used CRTs. In this notice, EPA is proposing to add a 
definition of ``CRT exporter'' to the CRT rule. This proposed 
definition is consistent with the intent of the original CRT rule, 
which was to ensure that EPA received proper notification of all 
shipments of CRTs exported for reuse or recycling. We are also 
proposing to revise the notifications that must be submitted to EPA 
when CRTs are exported for reuse or recycling, and to require annual 
reports from exporters of CRTs for recycling. These proposed changes 
are described in section VI of this preamble. EPA is seeking comment 
only on the changes proposed today, and is not reopening any other part 
of the rule for comment.

V. Background

    The Agency promulgated the CRT rule on July 28, 2006 (71 FR 42928). 
In that rule, EPA amended its regulations under RCRA to streamline the 
management requirements for used CRTs in an effort to encourage 
recycling and reuse of these materials rather than landfilling or 
possible incineration. The scope of the rule encompassed both used, 
intact CRTs and used, broken CRTs (i.e., glass that has been removed 
from its housing or casing with its vacuum released). Specifically, 
under 40 CFR 261.39, these materials are excluded from the definition 
of solid waste if certain conditions are met, including: (1) Used CRTs 
(intact or broken) sent for reuse and recycling are subject to the 
speculative accumulation requirements of 40 CFR 261.1(c)(8); (2) used, 
broken CRTs and CRT glass processors are subject to packaging and 
labeling requirements; and (3) CRT glass processors may not use 
temperatures high enough to volatilize lead. Persons who send CRTs for 
disposal are not eligible for the exclusion at 40 CFR 261.39, and may 
be required to handle their CRTs as hazardous waste from the point of 
generation, including the requirement to file a hazardous waste export 
notice under 40 CFR part 262 and the requirement to send the CRTs to a 
Subtitle C landfill.
    In addition to these domestic requirements, the CRT rule also 
contains requirements at 40 CFR 261.39(a)(5) for used CRTs (intact or 
broken) exported for recycling. In order for these CRTs to be excluded 
from the definition of solid waste, the exporter must meet certain 
conditions. In particular, exporters of used CRTs for recycling must 
notify EPA of an intended shipment 60 days before the shipment occurs. 
Notifications may cover exports extending over a 12-month or shorter 
period. The notification must include contact information about the 
exporter, the recycler, and an alternate recycler, as well as a 
description of the manner in which the CRTs will be recycled, frequency 
and rate of export, means of transport, total quantity of CRTs to be 
shipped, and information about which transit countries the shipments 
will pass through.
    When EPA receives this information, it notifies the receiving 
country and any transit countries. When the receiving country consents 
in writing to receive the CRTs, EPA forwards an Acknowledgement of 
Consent (AOC) to the exporter. The exporter may not ship the CRTs until 
he receives the AOC. If the receiving country does not consent or 
withdraws a prior consent, EPA will notify the exporter in writing, and 
the exporter may not allow any shipments or further shipments to 
proceed. Exporters must keep copies of notifications and AOCs for three 
years following receipt of the consent. Consent is not required from 
transit countries, but EPA notifies the exporter of any responses from 
these countries. Under 40 CFR 261.39(c), processed glass (i.e., glass 
that has been sorted or otherwise managed pursuant to the definition of 
``CRT processing'' in 40 CFR 260.10) is subject only to the speculative 
accumulation requirements and exporters of such materials are not 
subject to the export notice requirements of 40 CFR 261.39(a)(5).
    With respect to used intact CRTs that are exported for reuse, 40 
CFR 261.41 requires exporters to submit a one-time notification to EPA 
with contact information and a statement that they are exporting the 
CRTs for reuse. They must keep copies of normal business records 
demonstrating that each shipment will be reused. Records must be 
retained for three years from the date of export. Examples of normal 
business records include contracts, invoices, shipping documents, and 
other documents that identify the planned disposition of the materials.
    Since promulgation of the CRT rule in 2006, exports of CRTs, 
whether for reuse or recycling, have continued. As EPA implemented the 
rule, it became apparent that additional information is needed from the 
CRT exporter to better understand the flow of exported CRTs in order to 
ensure better management of these materials. To address this issue, EPA 
is today proposing certain changes to the CRT rule, which are explained 
in section VI below.

VI. Proposed Changes to the CRT Rule

A. Definition of ``CRT Exporter''

    In the preamble to the final CRT rule, the Agency stated that 
``persons taking

[[Page 15338]]

advantage of the exclusion that fail to meet one or more of its 
conditions may be subject to enforcement action and the CRTs may be 
considered to be hazardous waste from the point of their generation. 
EPA could choose to bring an enforcement action under RCRA Section 
3008(a) for all violations of the hazardous waste requirements 
occurring from the time a decision was made to recycle or dispose of 
the CRTs, through the time they are finally disposed of or reclaimed. 
EPA believes that this approach, which treats CRTs exhibiting a 
hazardous waste characteristic that do not conform to the conditions of 
the exclusion as hazardous waste from their point of generation, 
provides all handlers with an incentive to handle the CRTs consistent 
with the conditions. It also encourages each person to take appropriate 
steps to ensure that CRTs are safely handled and legitimately reused or 
recycled by others in the management chain'' (71 FR 42928 at 42943).
    When used CRTs are exported for recycling or reuse, there may be 
several persons involved from the time that a decision is made to 
export these materials up to the time that the actual export occurs. 
The trade in used electronics can take place along a chain of 
businesses that collect, refurbish, dismantle, recycle, and reprocess 
used electronic products and their components. For example, a state 
(e.g., Texas or Wisconsin) may contract with recycling facilities to 
collect and recycle used electronics, including used CRTs. The 
recycling facilities may separate out equipment that can be reused, 
while unusable equipment is disassembled, sorted, and shredded. The 
reusable equipment may be sold or donated domestically or exported, 
sometimes through a broker. If recycling occurs, various component 
parts may be sent to subcontractors for further processing and returned 
to the manufacturing stream. Some of the processing (e.g., circuit 
boards, plastics) is performed abroad. For example, CRT glass may be 
cleaned and sorted in Mexico and then sent to India where it is made 
back into new CRTs.
    If an exporter of used CRTs for recycling did not fulfill the 
export notice provisions of the CRT rule by notifying EPA, the 
receiving country would not receive notice that these materials were 
entering the country, and would be unable to provide consent. 
Similarly, if an exporter of used, intact CRTs filed a one-time reuse 
notice, but the CRTs were not functional and were subsequently recycled 
or even disposed, then EPA might rely on this mischaracterization 
without giving the receiving country the opportunity to consent to the 
shipments. In both of these situations, the competent authorities in 
the receiving countries would find it difficult to determine whether 
the imported CRTs were properly managed. Under the current EPA 
interpretation, intermediaries who participated in arranging for the 
CRT exports, as well as the actual entities that sent the CRT exports, 
may be liable under RCRA for exporting hazardous waste in violation of 
hazardous waste export requirements if they fail to fulfill the notice 
requirements, among other conditions, of the CRT rule.
    To eliminate any potential confusion over who is responsible for 
fulfilling CRT exporter duties, including submitting the export notices 
required under 40 CFR 261.39(a)(5) (for CRTs exported for recycling) 
and 40 CFR 261.41 (for CRTs exported for reuse), the Agency is today 
proposing to add a definition of ``CRT exporter'' to 40 CFR 260.10. The 
proposed definition states that a CRT exporter is ``any person in the 
United States who initiates a transaction to send used CRTs outside the 
United States or its territories for recycling or reuse, or any 
intermediary in the United States arranging for such export.'' The 
reference to ``any intermediary'' is modeled on the definition of 
``primary exporter'' of hazardous waste in 40 CFR 260.10. As described 
above, there may be multiple parties who participate in deciding 
whether CRTs will be exported for recycling or reuse, and in arranging 
for the export of these materials. To avoid duplicative submissions, 
the Agency expects only one person to perform the exporter duties under 
40 CFR 261.39(a)(5) and 40 CFR 261.41 (notifications to EPA, 
recordkeeping, and the annual reports that are proposed today and 
described below in this section of the preamble). However, all persons 
are jointly and severally liable for failing to comply with the 
exporter requirements. In other words, EPA has the authority to enforce 
the CRT rule export regulations against all persons associated with the 
export who meet the definition of ``CRT exporter.'' To avoid 
duplicative submittals, all relevant persons should assign these 
exporter responsibilities among themselves. This procedure is similar 
to the situation where several parties meet the RCRA definition of 
``generator'' (see 45 FR 72024, 72026, October 30, 1980).
    We are also proposing that the CRT exporter and any intermediary 
arranging for the export must be in the United States, because foreign-
based entities add to the possibility of confusion over fulfilling the 
export responsibilities, and it is more difficult to establish EPA 
jurisdiction over such persons.
    EPA emphasizes that this proposed definition is consistent with the 
intent of the CRT rule. The Agency requests comment on any alternative 
regulatory changes which might better accomplish that intent.

B. Proposed Changes to the Notification Required for Used CRTs Sent for 
Recycling

    The conditional exclusion in 40 CFR 261.39(a)(5) require exporters 
to submit a notice to EPA when exporting used CRTs for recycling. EPA 
then forwards the notice to the receiving country to obtain the consent 
of that country. The notice submitted to EPA must contain, among other 
items of information, the estimated frequency or rate at which the CRTs 
are to be exported and the period of time over which they are to be 
exported. The notice must also contain the estimated total quantity of 
CRTs (specified in kilograms) that the exporter expects to ship during 
the following 12 months or lesser period. However, there is currently 
no requirement to subsequently report the quantity of CRTs that were 
actually exported during the time period specified in the notice. 
Without this information, the Agency is unable to determine the actual 
quantity of CRTs that are exported in a given year, either by a 
particular exporter or in total. The notification requirements for 
exporters of hazardous waste under 40 CFR part 262 subparts E and H, 
for exporters of spent lead-acid batteries under 40 CFR 266.80(a)(6), 
and for exporters of universal waste under 40 CFR 273.20 or 273.40 all 
include a requirement to submit annual reports documenting the actual 
quantities of such materials that were exported. By reviewing annual 
reports, EPA can compare the amount of material that was actually 
exported to the estimates that were submitted earlier by these 
exporters when they provided the initial notification sent to the 
receiving country.
    Today the Agency is proposing to add a requirement (40 CFR 
261.39(a)(5)(x)) to require annual reports from exporters of used CRTs 
sent for recycling. In general, these reports would provide EPA with 
more accurate information on the total quantity of CRTs exported for 
recycling during the calendar year, and would also help determine 
whether CRTs exported for recycling are handled as commodities and not 
discarded. Additionally, EPA would be able to analyze shipments from 
specific exporters by comparing actual shipments in the annual report 
against proposed shipments in the export notice

[[Page 15339]]

to ensure that the shipments occurred under the terms approved by the 
receiving country. Finally, these reports would enable EPA to provide 
receiving countries with information that may assist them in 
determining the quantity of CRTs that were received in a particular 
country for recycling.
    Under today's proposal, the exporter must provide, no later than 
March 1 of each year, a report summarizing the quantities (in 
kilograms), frequency of shipment, and ultimate destination(s) (i.e., 
the facility or facilities where the recycling occurs) of all CRTs 
exported for recycling during the previous calendar year. Such reports 
must also include the name, EPA ID number (if applicable), mailing and 
site address of the CRT exporter, the calendar year covered by the 
report, and a certification signed by the exporter which 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.'' Under today's 
proposal, the annual reports would be submitted to the same EPA office 
to which the original notices were sent. Exporters would be required to 
keep copies of annual reports for a period of at least three years from 
the due date of the report.
    The Agency solicits comment on whether requiring such a report is 
sufficient to determine the actual quantity of CRTs that are exported 
in a given year. We also request comment on whether additional 
information is needed to accomplish this goal, and on whether the goal 
could be accomplished with less information, or in some other manner 
than an annual report.
    EPA is today proposing one other change to the notice required for 
CRTs exported for recycling. The current notice (40 CFR 
261.39(a)(5)(i)(F)) requires the exporter to state the name and address 
of the recycler and any alternate recycler. Because CRTs are sometimes 
exported to more than one recycler in the receiving country, we are 
proposing to replace this language with a requirement that the exporter 
state the name and address of the recycler or recyclers and the 
estimated quantity of CRTs to be sent to each facility, as well as the 
names of any alternate recyclers. In this way, EPA will be able to 
provide the receiving country with the most accurate information 
available about the ultimate fate of the CRTs when they reach that 
country.

C. Proposed Changes to the Notification Required for Used, Intact CRTs 
Exported for Reuse

    Currently, exporters who send used CRTs for reuse must submit a 
one-time notice with certain information under 40 CFR 261.41. The 
notice must be sent to the Regional Administrator. (The regulatory 
language does not specify which Regional Administrator, but it was the 
Agency's intent that the notice be sent to the Region from which the 
export takes place.) The notice must include a statement that the 
notifier plans to export used, intact CRTs for reuse. The notice must 
also include the notifier's name, address, and EPA ID number (if 
applicable), and the name and phone number of a contact person. Persons 
who export used, intact CRTs for reuse must keep copies of normal 
business records, such as contracts, demonstrating that each shipment 
of exported CRTs will be reused. This documentation must be retained 
for a period of at least three years from the date the CRTs were 
exported.
    Since promulgation of this requirement, the Agency has become aware 
that some CRTs allegedly exported for reuse are actually recycled in 
the receiving country, sometimes under unsafe conditions. Failure to 
file the notice required for CRTs sent for recycling deprives the 
Agency of its ability to notify the receiving country about the CRTs to 
be imported into that country and obtain its consent. In order to 
require exporters to submit more complete information about the 
purported reuse of the exported CRTs over a specific period of time, we 
are proposing to add items to the reuse notice at 40 CFR 261.41 that 
are modeled on those required in the notice for CRTs exported for 
recycling. In addition, today's proposal would replace the one-time 
notice provision with a requirement that the notice be submitted 
periodically, to cover exports for reuse expected over a twelve month 
or lesser period. EPA believes that this additional information in the 
notice for reuse would greatly improve tracking, and thus better 
management, of these CRTS that are claimed to be exported for reuse.
    Thus, under today's proposal, CRT exporters who export used, intact 
CRTs for reuse would be required to send a notification to EPA that 
would cover export activities extending over a twelve (12) month or 
lesser period. This notice would be sent to the same EPA office that 
receives notices for CRTs exported for recycling (the Office of 
Enforcement and Compliance Assurance). The notification would be in 
writing, signed by the exporter, and would have to contain:
     The name, mailing address, telephone number and EPA ID 
number (if applicable) of the exporter of the CRTs;
     The estimated frequency or rate at which the CRTs would be 
exported and the period of time over which they would be exported;
     The estimated total quantity of CRTs specified in 
kilograms;
     All points of entry to and departure from each transit 
country through which the CRTs would pass;
     A description of the approximate length of time the CRTs 
would remain in each country and the nature of their handling while 
there;
     A description of the means by which each shipment of the 
CRTs would be transported (e.g., mode of transportation vehicle, such 
as air, highway, rail, water, etc.), as well as the type(s) of 
container (drums, boxes, tanks, etc.);
     The name and address of the ultimate destination facility 
or facilities where the CRTs will be reused and the estimated quantity 
of CRTs to be sent to each facility, as well as the name of any 
alternate destination facility;
     A description of the manner in which the CRTs will be 
reused in the country that will be receiving the CRTs; and
     A certification signed by the exporter which states: ``I 
certify under penalty of law that the CRTs described in this notice are 
fully functioning or capable of being functional after refurbishment. 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.
    Because of the additional items proposed for the reuse notice, the 
Agency believes it is appropriate to extend the coverage of this notice 
to a specified period of time, i.e., a twelve-month or lesser period. 
This time period is preferable to the one-time notice previously 
required because it ensures that the necessary information in the 
notice is more accurate and current.
    The Agency solicits comment on whether the proposed notice could

[[Page 15340]]

effectively contain fewer items of information, or whether the goal 
could be accomplished in some other manner. In addition, the Agency 
requests comment on whether the proposed notice should be sent to the 
Regional Administrator (as is the case with 40 CFR 261.41) or to EPA 
Headquarters, where notices for CRTs exported for recycling are 
currently sent. The Agency believes that sending both types of notices 
to EPA Headquarters would facilitate retention and effective tracking 
of such notices, and will also be easier for those exporters who are 
required to submit notices for both reuse and recycling. However, we 
solicit comment on whether there are benefits in sending these notices 
to the EPA Regions.
    The Agency also solicits comment on whether to require exporters of 
CRTs for reuse to accompany all shipments of such CRTs with copies of 
the notice submitted pursuant to 40 CFR 261.41. If such a requirement 
were finalized, the Agency would require such exporters to submit a 
complete notification to EPA before the initial shipment is intended to 
be shipped off-site (e.g., 60 days before the planned shipment), so 
that the exporter would have time to submit a copy of the completed 
notice with the shipment. In this way, if officials of U.S. Customs 
examined a shipment of used CRTs exported for reuse, they would be able 
to quickly obtain more information from the exporter or from EPA, if 
necessary. The Agency solicits comment on the benefits of such a 
requirement and whether such benefits would outweigh the costs to the 
exporter.
    The Agency notes that 40 CFR 261.41(b) requires persons who export 
CRTs for reuse to keep copies of normal business records, such as 
contracts, demonstrating that each shipment of exported CRTs will be 
reused. The documentation must be retained for a period of at least 
three years from the date the CRTs were exported. EPA solicits comment 
on whether to require specific types of documents to be retained, such 
as contracts, invoices, and/or shipping documents, and, if so, which 
documents must be retained. We also solicit comment on whether to 
require persons who export CRTs for reuse to provide a third-party 
translation of the documents into English if the documents are written 
in a language other than English and if EPA requests such a 
translation. In addition, we request comment on whether to require 
persons who export CRTs for reuse to provide contact information on an 
alternative destination facility for used, intact CRTs that are damaged 
in transit, or whether to require such persons to send the damaged CRTs 
back to the CRT exporter
    Finally, the Agency also solicits comment on whether to add a 
requirement to submit annual reports for exporters of used, intact CRTs 
for reuse. These reports could be identical to the reports proposed for 
CRTs exported for recycling. They would enable EPA to learn the actual 
number of CRTs exported for reuse, which may be different from the 
number estimated in the original notice required under 40 CFR 261.41. 
EPA requests comment on whether this information would provide benefits 
which might outweigh the costs of submitting the report.

D. Other Issues

1. ``Bare'' CRTs
    The current definition of ``used, intact CRT'' in 40 CFR 260.10 
means a CRT whose vacuum has not been released. As we stated in the 
preamble to the 2006 final rule (71 FR 42942), this definition would 
encompass intact CRTs that are removed from the monitor with the vacuum 
still intact, even though the plastic housing or casing has been broken 
and removed. In that preamble, EPA stated that these materials 
resembled products more than wastes, and therefore should not be 
considered solid wastes unless disposed. If such ``bare'' CRTs are 
exported for reuse (i.e., placement into CRT monitors), they would not 
be subject to the export requirements of 40 CFR 261.39(a)(5), but would 
instead be subject to the reuse requirements of proposed 40 CFR 261.41. 
However, if exported for recycling, (presumably for glass or lead 
recovery), they would not be eligible for the exclusion in 40 CFR 
261.39(c) for processed glass sent to a lead smelter or glass 
manufacturer because the CRTs have not been processed pursuant to the 
definition of ``CRT processing'' in 40 CFR 260.10. EPA solicits comment 
on whether ``bare'' CRTs removed from the monitor whose vacuum has not 
been released are likely to be exported for recycling rather than reuse 
and whether the regulation needs to be modified to reflect this 
situation.

VII. State Authorization

A. Applicability of Rules in Authorized States

    Under section 3006 of RCRA, EPA may authorize a qualified state to 
administer and enforce a hazardous waste program within the state in 
lieu of the Federal program, and to issue and enforce permits in the 
state. A state may receive authorization by following the approval 
process described in 40 CFR 271.21 (see 40 CFR part 271 for the overall 
standards and requirements for authorization). EPA continues to have 
independent authority to bring enforcement actions under RCRA sections 
3007, 3008, 3013, and 7003. An authorized state also continues to have 
independent authority to bring enforcement actions under state law.
    After a state receives initial authorization, new Federal 
requirements promulgated under RCRA authority existing prior to the 
1984 Hazardous and Solid Waste Amendments (HSWA) do not apply in that 
state until the state adopts and receives authorization for equivalent 
state requirements. In contrast, under RCRA section 3006(g) (42 U.S.C. 
6926(g)), new Federal requirements and prohibitions promulgated 
pursuant to the HSWA provisions take effect in authorized states at the 
same time that they take effect in unauthorized states. As such, EPA 
carries out HSWA requirements and prohibitions in authorized states, 
including the issuance of new permits implementing those requirements, 
until EPA authorizes the state to do so.
    Authorized states are required to modify their programs only when 
EPA enacts Federal requirements that are more stringent or broader in 
scope than the existing Federal requirements.\1\ RCRA section 3009 
allows the states to impose standards more stringent than those in the 
Federal program (see also 40 FR 271.1(i)). Therefore, authorized states 
are not required to adopt Federal regulations, both HSWA and non-HSWA, 
that are considered less stringent than previous Federal regulations or 
that narrow the scope of the RCRA program.
---------------------------------------------------------------------------

    \1\ EPA notes that decisions regarding whether a state rule is 
more stringent or broader in scope than the Federal program are made 
when the Agency authorizes state programs.
---------------------------------------------------------------------------

B. Effect on State Authorization

    Because of the Federal Government's special role in matters of 
foreign policy, EPA does not authorize States to administer Federal 
import/export functions in any section of the RCRA hazardous waste 
regulations. This promotes national coordination, uniformity and the 
expeditious transmission of information between the United States and 
foreign countries. Although States would not receive authorization to 
administer the Federal Government's export functions in this proposal, 
State programs would still be required to adopt those provisions in 
today's rule that are more stringent than existing Federal requirements 
to

[[Page 15341]]

maintain their equivalency with the Federal program. Today's proposal 
contains amendments to 40 CFR 261.39 and 40 CFR 261.41 which would be 
more stringent if finalized. Therefore, states that have adopted these 
provisions, as well as states that have added CRTs to their universal 
waste programs under 40 CFR part 273, would be required to adopt these 
amendments. In addition, EPA strongly encourages States to incorporate 
all the import and export related requirements into their regulations 
for the convenience of the regulated community and for completeness, 
particularly where a State has already incorporated 40 CFR part 262, 
subparts E and H, the import/export manifest and OECD movement document 
related requirements in Sec.  263.10(d), the import manifest and OECD 
movement document submittal requirements in Sec. Sec.  264.12(a)(2), 
264.71, 265.12(a)(2), and 265.71, or the management provisions for 
spent lead-acid batteries (SLABs) in 40 CFR part 266, subpart G. When a 
State adopts the export provisions in this rule, care should be taken 
not to replace Federal or international references with State terms.

VIII. Administrative Requirements for This Rulemaking

A. Executive Orders 12866 and 13563: Regulatory Planning and Review

    This action is not a ``significant regulatory action'' under the 
terms of Executive Order 12866 (58 FR 51735, October 4, 1993) and is 
therefore not subject to review under Executive Orders 12866 and 13563 
(76 FR 3821, January 21, 2011). EPA prepared an analysis of the 
potential costs and benefits associated with this action. This analysis 
is contained in the Economic Impacts Assessment for Proposed Revisions 
to the Export Provisions of the Cathode Ray Tube (CRT) Rule. A copy of 
the analysis is available in the docket for this action. Annual costs 
to CRT exporters and EPA for the reporting and recordkeeping 
requirements range from $7,300 to $11,500 per year.

B. Paperwork Reduction Act (Information Collection Request)

    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. An 
Information Collection Request (ICR) document prepared by EPA has been 
assigned EPA ICR number 2455.01.
    EPA, under existing 40 CFR 261.39(a)(5)(F) and 40 CFR 261.41, is 
proposing to revise the notifications that must be submitted to EPA 
when CRTs are exported for reuse or recycling. EPA, under new 
261.39(a)(5)(x), is also proposing to add a requirement that exporters 
of CRTs for recycling must submit an annual report to EPA. The purpose 
of these proposed revisions is to address certain implementation 
concerns with the current export provisions of the CRT rule. The 
current notice for CRTs exported for recycling requires the exporter to 
state the name and address of the recycler and any alternate recycler. 
Because CRTs are sometimes exported to more than one recycler in the 
receiving country, EPA is proposing to require that the exporter state 
the name and address of the recycler or recyclers and the estimated 
quantity of CRTs to be sent to each facility, as well as the names of 
any alternate recyclers.
    EPA is proposing to expand the current reuse notice and model the 
notice on that required for CRTs exported for recycling. Instead of a 
one-time notice, EPA is proposing to require that reuse notices be 
submitted to cover a twelve month or shorter period. EPA is also 
proposing to add additional items of information to the notice, 
including contact information about the exporter and the destination 
facility, the frequency or rate at which the CRTs would be exported, 
the quantity of CRTs, transport information, and a description of the 
manner in which the CRTs will be reused in the receiving country. 
Furthermore, EPA is proposing to require that the exporter sign a 
certification that the CRTs are fully functioning or capable of being 
functional after refurbishment. EPA believes that the proposed expanded 
notice will help the Agency determine whether the exported CRTs have 
been handled as products that are actually reused in the receiving 
country.
    Finally, EPA is proposing to add a requirement that exporters of 
CRTs for recycling submit an annual report documenting the actual 
numbers of CRTs exported during the previous calendar year. This number 
may differ from the estimate submitted in the original notice. This 
information will help ensure that the shipments occurred under the 
terms approved by the receiving country, and would enable EPA to 
provide receiving countries with information that may help them to 
determine the quantity of CRTs that were received in a particular 
country for recycling.
    EPA has carefully considered the burden imposed upon the regulated 
community by the proposed information collection requirements. EPA is 
confident that those activities required of respondents are necessary 
and, to the extent possible, has attempted to minimize the burden 
imposed. EPA believes strongly that if the minimum information 
collection requirements specified under the proposed rule are not met, 
neither the facilities nor EPA can ensure that CRTs are managed in 
compliance with the regulations.
    EPA estimates that the total annual respondent burden for the new 
paperwork requirements in the rule ranges from 229 to 259 hours, and 
the annual respondent cost for the new paperwork requirements is 
approximately $17,600 to $19,700. The estimated annual hourly burden 
ranges from 0.15 to 3.5 hours per response for the 138 respondents. The 
estimated total annual burden to EPA for administering the rule (e.g., 
receive, review, and process information required under the proposed 
rule) ranges from 55 to 97 hours, with a cost of approximately $2700 to 
$4700. 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 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 No. EPA-HQ-RCRA-
2011-1014. Submit any comments related to the ICR for this proposed 
rule 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 
Officer for EPA. Since OMB is required to make a decision concerning 
the ICR between 30 and 60 days after March 15, 2012, a comment to OMB 
is best assured of having its full effect if OMB receives it by April 
16, 2012. 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

[[Page 15342]]

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. The small 
entities directly regulated by this proposed rule are 138 individual 
CRT exporters. We have determined that the annual compliance cost of 
the rule, as a percentage of annual sales, is less than 0.1 percent. 
Based on the above, the Agency has determined that the rule will not 
have a significant economic impact on a substantial number of small 
entities.
    Although this proposed rule will not have a significant economic 
impact on a substantial number of small entities, EPA nonetheless has 
tried to reduce the impact of this rule on small entities. 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

    This action 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. 
Because these direct costs are well below the $100 million annual 
direct cost threshold, this proposed rule is not subject to the 
requirements of sections 202 or 205 of the Unfunded Mandates Reform Act 
(UMRA). This proposed rule is also not subject to the requirements of 
section 203 of UMRA because it contains no regulatory requirements that 
might significantly or uniquely affect small governments. EPA does not 
authorize States to administer Federal import/export functions in any 
section of the RCRA hazardous waste regulations because of the Federal 
government's special role in matters of foreign policy.

E. Executive Order 13132: Federalism

    This action does not have federalism implications. It will not have 
substantial direct effects on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government, as 
specified in Executive Order 13132. Specifically, this 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 action.

F. Executive Order 13175: Consultation and Coordination With Indian 
Tribal Governments

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

G. Executive Order 13045: Protection of Children From Environmental 
Health Risks and Safety Risks

    This action is not subject to Executive Order 13045 (62 FR 19885, 
April 23, 1997) because it is not economically significant as defined 
in Executive Order 12866, and because the Agency does not believe the 
environmental health or safety risks addressed by this action present a 
disproportionate risk to children residing in the United States. This 
proposed rule is intended to improve regulatory efficiency and increase 
accountability among all parties associated with the export of used 
CRTs whether sent for recycling and reuse, and does not directly affect 
the level of protection provided to human health or the environment in 
the United States.

H. Executive Order 13211: Actions That Significantly Affect Energy 
Supply, Distribution, or Use

    This action is not a ``significant energy action'' as defined in 
Executive Order 13211 (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. As defined in Executive Order 13211, a 
``significant energy action'' is any action by an agency (normally 
published in the Federal Register) that promulgates or is expected to 
lead to the promulgation of a final rule or regulation, including 
notices of inquiry, advance notices of proposed rulemaking, and notices 
of proposed rulemaking that: (1) Is a significant regulatory action 
under Executive Order 12866 or any successor order and is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (2) is designated by OMB as a significant energy action. 
This proposed rule does not involve the supply, distribution, or use of 
energy and is not a significant regulatory action under Executive Order 
12866. Thus, Executive Order 13211 does not apply to this action.

I. National Technology Transfer and Advancement Act of 1995

    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. 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: Environmental Justice

    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 in the United States. Rather, this proposed rule is 
intended to improve regulatory

[[Page 15343]]

efficiency and increase accountability among all parties associated 
with the export of used CRTs, whether for recycling or reuse.

List of Subjects

40 CFR Part 260

    Environmental protection, Administrative practice and procedure, 
Hazardous waste, Reporting and recordkeeping requirements.

40 CFR Part 261

    Environmental protection, Hazardous waste, Solid waste, Recycling.

RIN 2050-AG68: Revision to the Export Provisions of the Cathode Ray 
Tube (CRT) Rule

    Dated: March 2, 2012.
Lisa P. Jackson,
Administrator.

    For the reasons set out in the preamble, Parts 260 and 261 of title 
40, Chapter I of the Code of Federal Regulations are proposed to be 
amended as follows:

PART 260--HAZARDOUS WASTE MANAGEMENT SYSTEM: GENERAL

    1. The authority citation for part 260 continues to read as 
follows:

    Authority:  42 U.S.C. 6905, 6912(a), 6921-6927, 6930, 6934, 
6937, 6938, 6939, and 6974.

Subpart B--Definitions

    2. Section 260.10 is amended by adding in alphabetical order the 
definition of ``CRT exporter'' to read as follows:

Sec.  260.10  Definitions.

* * * * *
    CRT exporter means any person in the United States who initiates a 
transaction to send used CRTs outside the United States territories for 
recycling or reuse, or any intermediary in the United States arranging 
for such export.
* * * * *

PART 261--IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

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

    Authority:  42 U.S.C. 6905, 6912(a), 6921, 6922, 6924(y), and 
6938.

Subpart A--General

    4. Section 261.39 is amended by revising paragraph (a)(5)(i)(F) to 
read as follows:

Sec.  261.39  Conditional Exclusion for Used, Broken Cathode Ray tubes 
(CRTs) and Processed CRT Glass Undergoing Recycling.

    (a) * * *
    (5) * * *
    (i) * * *
    (F) The name and address of the recycler or recyclers and the 
estimated quantity of CRTs to be sent to each facility, as well as the 
names of any alternate recyclers.
* * * * *
    (x) CRT exporters must file with EPA no later than March 1 of each 
year, a report summarizing the quantities (in kilograms), frequency of 
shipment, and ultimate destination(s) (i.e., the facility or facilities 
where the recycling occurs) of all CRTs exported during the previous 
calendar year. Such reports must also include the following:
    (A) The name, EPA ID number (if applicable), and mailing and site 
address of the exporter;
    (B) The calendar year covered by the report;
    (C) A certification signed by the exporter which 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.''

    (xi) Annual reports must be submitted to the office specified in 
paragraph (ii) of this section. Exporters must keep copies of annual 
reports for a period of at least three years from the due date of the 
report.
* * * * *
    5. Section 261.41 is amended by revising paragraph (a) to read as 
follows:

Sec.  261.41  Notification and Recordkeeping for Used, Intact Cathode 
Ray Tubes (CRTs) Exported for Reuse.

    (a) CRT exporters who export used, intact CRTs for reuse must send 
a notification to EPA. This notification may cover export activities 
extending over a twelve (12) month or lesser period. The notification 
must be in writing, signed by the exporter, and include the following 
information:
    (1) Name, mailing address, telephone number and EPA ID number (if 
applicable) of the exporter of the CRTs.
    (2) The estimated frequency or rate at which the CRTs are to be 
exported and the period of time over which they are to be exported.
    (3) The estimated total quantity of CRTs specified in kilograms.
    (4) All points of entry to and departure from each transit country 
through which the CRTs will pass, a description of the approximate 
length of time the CRTs will remain in such country and the nature of 
their handling while there.
    (5) A description of the means by which each shipment of the CRTs 
will be transported (e.g., mode of transportation vehicle (air, 
highway, rail, water, etc.), type(s) of container (drums, boxes, tanks, 
etc.)).
    (6) The name and address of the ultimate destination facility or 
facilities where the CRTs will be reused and the estimated quantity of 
CRTs to be sent to each facility, as well as the name of any alternate 
destination facility or facilities.
    (7) A description of the manner in which the CRTs will be reused 
(including reuse after refurbishment) in the foreign country that will 
be receiving the CRTs.
    (8) A certification signed by the exporter which states:

    ``I certify under penalty of law that the CRTs described in this 
notice are fully functioning or capable of being functional after 
refurbishment. 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.''
* * * * *
[FR Doc. 2012-6276 Filed 3-14-12; 8:45 am]
BILLING CODE 6560-50-P