Document ID: EPA-HQ-RCRA-2011-1014-0015
Agency: epa
Document Type: Rule
Title: Export Provisions of the Cathode Ray Tube Rule
Posted Date: 2014-06-26T04:00Z

[Federal Register Volume 79, Number 123 (Thursday, June 26, 2014)]
[Rules and Regulations]
[Pages 36220-36231]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14996]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 260 and 261

[EPA-HQ-RCRA-2011-1014; FRL-9911-84-OSWER]
RIN 2050-AG68

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

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: The Environmental Protection Agency (EPA or the Agency) is 
revising certain export provisions of the cathode ray tube (CRT) final 
rule published on July 28, 2006. The revisions will allow the Agency to 
better track exports of CRTs for reuse and recycling in order to ensure 
safe management of these materials.

DATES: This final rule is effective on December 26, 2014.

ADDRESSES: EPA has established a docket for this action under Docket ID 
No. EPA-HQ-RCRA-2011-1014. All documents in the docket are listed on 
the www.regulations.gov Web site. Although listed in the index, some 
information may not be publicly available, such as Confidential 
Business Information (CBI) or other information whose disclosure is 
restricted by statute. Certain other material, such as copyrighted 
material, is not placed on the internet and will be publicly available 
only in hard copy form. Publicly available docket materials are 
available either electronically through www.regulations.gov or in hard 
copy at the RCRA Docket, EPA/DC, William

[[Page 36221]]

Jefferson Clinton Building West, Room 3334, 1301 Constitution Ave. NW., 
Washington, DC 20004. 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: For more detailed information on 
specific aspects of this rulemaking, contact Amanda Kohler, 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) 347-8975, 
kohler.amanda@epa.gov.

SUPPLEMENTARY INFORMATION: 

Does this action apply to me?

    This rule affects all persons who export used CRTs for reuse or 
recycling. This action does not affect households or conditionally 
exempt small quantity generators.

I. Statutory Authority

    Today's rule is promulgated under the authority of sections 
2002(a), 3001, 3002, 3004, 3006, and 3007 of the Solid Waste Disposal 
Act of 1965, 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. 6912(a), 6921, 6922, 6924, 6926, 6927, and 
6938.

II. List of Abbreviations and Acronyms

CEQ White House Council on Environmental Quality
CFR Code of Federal Regulations
CRT Cathode Ray Tube
EPA Environmental Protection Agency
GSA General Services Administration
HSWA Hazardous and Solid Waste Amendments
ICR Information Collection Request
NTTAA National Technology Transfer and Advancement Act
OECD Organization for Economic Cooperation and Development
OMB Office of Management and Budget
RCRA Resource Conservation and Recovery Act
UMRA Unfunded Mandates Reform Act

III. What is the intent of this rule?

    Today's rule revises the export provisions that apply to persons 
who export used CRTs for reuse or recycling. The existing regulations 
were first promulgated on July 28, 2006 (71 FR 42928). Since 
promulgation of these regulations, the Agency has realized the 
necessity of obtaining additional information on the export of these 
materials to better ensure their proper management. This rule is 
intended to accomplish that goal.

IV. What is the scope of this rule?

    Today's rule affects only the export provisions of the CRT rule and 
does not affect any regulations applicable to the domestic management 
of used CRTs. Today's rule also does not affect unused CRTs. In today's 
rule, EPA is (1) adding a definition of ``CRT exporter'' to the 
regulations; (2) requiring annual reports from exporters of used CRTs 
exported for recycling; (3) revising the notification that must be 
submitted when used CRTs are exported for recycling; (4) revising the 
notification that must be submitted when used CRTs are exported for 
reuse; and (5) requiring that normal business records maintained by 
exporters of used CRTs for reuse be translated into English upon 
request. These changes are described in section VI of the preamble.

V. Background

A. Reuse and Recycling of Used Cathode Ray Tubes

    In June 2002, EPA proposed to amend its hazardous waste regulations 
under RCRA to streamline the management standards for used CRTs in an 
effort to encourage reuse and recycling of these materials rather than 
landfilling or possible incineration (67 FR 40508, June 12, 2002). In 
that proposal, EPA described how used CRTs can be reused and recycled.
1. Reuse
    Many used computers are resold or donated so that they can be used 
again, either as is or after minor repairs. The Agency encourages this 
option as a responsible way to manage these materials, because 
preventing or delaying their discard conserves resources. This option 
extends the lives of valuable products and delays their introduction 
into the waste management system. Reuse also allows schools, non-profit 
organizations, and individual families to use equipment that they 
otherwise could not afford. Many markets for the reuse of computers are 
located abroad, particularly in countries where few may be able to 
purchase state-of-the-art new equipment (67 FR 40510).
    Organizations that handle used computers vary in their practices. 
In some cases, organizations take donations of used computer equipment. 
These organizations may test the equipment, and, if necessary, rewire 
it and replace various parts before sending them off for reuse. In 
other cases, the entities that collect the used CRTs send them to 
another organization with more expertise for evaluation and possible 
repair and reuse. CRTs that cannot be used after such minor repairs may 
be sent to recycling or disposal (67 FR 40510).
    In its 2006 final rule, EPA reaffirmed that materials used and 
taken out of service by one person are not wastes when the next owner 
uses them for their intended purpose. EPA also stated that used CRTs 
undergoing repairs (such as rewiring or replacing defective parts) 
before resale or distribution are not being reclaimed and are 
considered to be products in use rather than solid wastes (71 FR 
42929).
2. Recycling
    If reuse or repair is not a practical option, CRTs can be sent for 
recycling, which typically consists of disassembly for the purpose of 
recovering valuable materials from the CRTs, especially glass. When 
processing begins, the CRT display unit is dismantled, and the bare CRT 
is separated from all other parts (usually glass, plastic, or metal). 
Next, the vacuum is released by either drilling or punching through the 
anode, a small metal button in the funnel, or removing the electron gun 
portion of the tube. The different glass portions of the CRT (panel, 
funnel, and frit line) are then separated and classified according to 
chemical composition, especially by the amount of lead contained. All 
glass is then cleaned and sorted and cleaned cullet (i.e., processed 
glass) is typically shipped off-site to a CRT glass manufacturer or to 
a lead smelter (67 FR 40510).

B. 2006 CRT Rule

    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 standards 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 
261.4(a)(22), these materials are excluded from the definition of solid 
waste provided certain conditions are met, including that all used CRTs 
(i.e., intact or broken) sent for reuse or recycling meet the 
speculative accumulation condition at Sec.  261.1(c)(8). In addition, 
used, broken CRTs and CRT glass processors are subject to the 
packaging, labeling, and management standards under Sec.  261.39. 
Persons who

[[Page 36222]]

send CRTs for disposal are not eligible for the conditional exclusion 
at Sec.  261.4(a)(22), 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 RCRA designated facility.
    In addition to these domestic regulations, the CRT rule also 
established conditions at Sec.  261.39(a)(5) for used, broken CRTs and 
at Sec.  261.40 for used, intact CRTs exported for recycling. In order 
for these CRTs to be excluded from the definition of solid waste, the 
exporter must meet specific conditions. In particular, exporters of 
used CRTs for recycling must notify EPA of an intended shipment 60 days 
before the initial shipment occurs. Notifications may cover exports 
extending over a 12-month or lesser 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, the frequency and rate of export, the means of 
transport, the total quantity of CRTs to be shipped, and information 
about which transit countries the shipments will pass through.
    When EPA receives this information, it forwards it to the receiving 
country and any transit countries for review. When the receiving 
country consents in writing to receive the CRTs, EPA forwards an 
Acknowledgement of Consent to Export CRTs to the exporter. The exporter 
may not ship the CRTs until it receives the Acknowledgement of Consent 
to Export CRTs. If the receiving country does not consent or withdraws 
a prior consent, EPA will notify the exporter in writing, and the 
exporter must not allow any shipments or further shipments to proceed. 
Exporters must keep copies of notifications and Acknowledgements of 
Consent to Export CRTs 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 
Sec.  261.39(c), processed glass (i.e., glass that has been sorted or 
otherwise managed pursuant to the definition of ``CRT processing'' in 
Sec.  260.10) sent to a CRT glass manufacturer or to a lead smelter is 
subject only to the speculative accumulation condition at Sec.  
261.1(c)(8) and exporters of such materials are not subject to the 
export notice condition of Sec.  261.39(a)(5).
    With respect to used, intact CRTs that are exported for reuse, 
Sec.  261.41 currently requires exporters to submit a one-time 
notification to EPA with contact information and a statement that they 
are exporting CRTs for reuse. They must keep copies of normal business 
records demonstrating that the CRTs in 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.

C. National Strategy for Electronics Stewardship \1\
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    \1\ Much of the discussion below comes directly from the 
National Strategy for Electronics Stewardship, Interagency Task 
Force on Electronics Stewardship, July 20, 2011.
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    In proclaiming November 15, 2010, as America Recycles Day, 
President Obama stated that Americans must increase our capacity to 
recycle our used electronics responsibly. Increasing domestic recycling 
efforts can create green jobs, lead to more productive reuse of 
valuable materials, and support a vibrant American recycling and 
refurbishing industry. If done properly, we can increase our domestic 
recycling efforts, reduce harm from exports of electronic waste (e-
waste) being handled unsafely in developing countries, strengthen 
domestic and international markets for viable and functional used 
electronic products, and protect health and environmental threats at 
home and abroad.
    To seize these opportunities and address the problems caused by 
discarded used electronics, the White House Council on Environmental 
Quality (CEQ), acting under Executive Order 13514 and on previous 
executive orders, established the Interagency Task Force on Electronics 
Stewardship, co-chaired by EPA and the General Services Administration 
(GSA), as well as CEQ.2 3
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    \2\ The following agencies and departments contributed to the 
National Strategy and participated in drafting the recommendations: 
CEQ, EPA, GSA, Office of Management and Budget, Office of the U.S. 
Trade Representative, Department of Commerce, Department of Defense, 
Department of Education, Department of Energy, Department of Labor, 
Department of Justice, Department of State, Department of Veterans 
Affairs, Federal Communications Commission, U.S. Customs and Border 
Protection, and the U.S. Postal Service.
    \3\ Executive Order (E.O.) 13514, Federal Leadership in 
Environmental, Energy, and Economic Performance (October 5, 2009). 
Previous executive orders include E.O. 12873, Federal Acquisition, 
Recycling, and Waste Prevention (October 20, 1995), E.O. 13423, 
Strengthening Federal Environmental, Energy, and Transportation 
Management (January 24, 2007), and E.O. 13534, National Export 
Initiative (March 11, 2010).
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    On behalf of the Task Force, EPA solicited public comment from 
stakeholders through a notice published in the Federal Register (76 FR 
11243-44; March 1, 2011). About 130 unique sets of comments were 
received in response to the notice, as well as 2,050 letters from a 
mail-in campaign. Also on behalf of the Task Force, CEQ held three 
stakeholder listening sessions in March 2011 with state and local 
government agencies, non-governmental organizations, and industry, 
respectively. Comments provided through both of these methods were 
evaluated by the Task Force and considered in developing the strategy.
    On July 20, 2011, the Task Force articulated its goals and 
recommendations in its report titled National Strategy for Electronics 
Stewardship. The National Strategy provides four overarching goals, the 
action items under each goal, and the projects that will implement each 
action item. One goal of the National Strategy is to reduce harm from 
U.S. exports of e-waste and improve the safe handling of used 
electronics in developing countries. To achieve this goal, one action 
the Task Force recommended was for EPA to propose regulatory changes to 
improve compliance with the existing regulations regarding exports of 
CRTs that are destined for reuse and recycling.
    The National Strategy states that, despite decreased production of 
CRTs, many are still being exported for recycling or reuse and some 
CRTs that are exported for reuse are actually disassembled and recycled 
under unsafe conditions. Therefore, EPA committed to proposing changes 
to the CRT rule to better track exports of CRTs for reuse and 
recycling. These proposed regulatory changes would clarify who is 
subject to the rule, which would improve compliance throughout the 
regulated community. Additionally, EPA would gather additional 
information on shipments of CRTs that are sent for reuse.
    Thus, in March 2012, EPA proposed revisions to the export 
provisions of the CRT exclusion in order to better track exports of 
CRTs and ensure safe management abroad (77 FR 15336, March 15, 2012). 
Today's rule makes final the revisions, mostly as proposed.

VI. Final Revisions To Export Provisions and Response to Comments

    EPA is finalizing the following revisions to the export provisions 
of the conditional exclusion from the definition of solid waste for 
used CRTs (Sec.  261.4(a)(22)).

A. Definition of ``CRT Exporter''

    In March 2012, EPA proposed to add a definition of ``CRT exporter'' 
to Sec.  260.10 to eliminate any potential

[[Page 36223]]

confusion over who is responsible for fulfilling the CRT exporter 
duties, including submitting the export notices required under Sec.  
261.39(a)(5) (for used, broken CRTs exported for recycling), Sec.  
261.40 (for used, intact CRTs exported for recycling) and Sec.  261.41 
(for used, intact CRTs exported for reuse). The Agency proposed a 
definition of ``CRT exporter'' to mean ``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.''
    As discussed in the March 2012 proposed rule, there may be several 
persons involved in the generation, collection, management, and 
eventual export of CRTs for recycling or reuse. Thus, EPA has concluded 
that defining ``CRT exporter'' is important to properly assign 
responsibility for the CRT exporter duties and to enable effective 
compliance monitoring of the export provisions of the rule. Therefore, 
EPA is finalizing the definition of ``CRT exporter'' mostly as 
proposed.\4\
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    \4\ EPA is finalizing the definition of CRT exporter as proposed 
with a minor editorial change to add the words ``or its'' in between 
``the United States'' and ``territories.''
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    The CRT exporter and any intermediary arranging for the export must 
be based 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.
    Additionally, EPA notes that ``person,'' which is used in today's 
definition of CRT exporter, is defined in Sec.  260.10 to mean an 
individual, trust, firm, joint stock company, federal agency, 
corporation (including a government corporation), partnership, 
association, state, municipality, commission, political subdivision of 
a state, or any interstate body.
    If a person exports used CRTs for recycling without fulfilling the 
export notice provisions of the CRT rule, the receiving country would 
be unaware that these materials were entering the country and would be 
unable to provide consent. Additionally, EPA would be unable to respond 
to information requests from foreign countries regarding the export of 
CRTs abroad. This would hinder the receiving country's ability to 
determine whether the imported used CRTs are being properly managed. 
Intermediaries who participate in arranging for the CRT exports, as 
well as the actual entities who initiated the CRT export, may be held 
jointly and severally liable under RCRA for exporting hazardous waste 
in violation of the hazardous waste export requirements if they fail to 
fulfill the notice condition, among other conditions, of the CRT rule.
Response to Comments
    Comment: While one commenter did not oppose EPA's proposed 
definition of CRT exporter, two commenters argued that the definition 
of ``CRT exporter'' was unclear and that it may be too broad and 
encompass entities that lack direct knowledge about the CRT export. 
Specifically, these commenters took issue with the phrasing ``any 
intermediary'' and ``any person in the United States who initiates a 
transaction to send used CRTs outside the United States territories.'' 
One commenter argued that the definition could include generators and 
collectors of CRTs who have no involvement in the decision or the 
arrangements to export. The other commenter argued that only the entity 
with direct control over the actual CRT export should bear primary 
responsibility for the CRT export notification. This commenter stated 
that clarification is especially important given EPA's stated intention 
to hold all parties jointly and severally liable for failing to comply 
with the exporter conditions.
    Response: EPA disagrees with the commenters that argued the 
definition of ``CRT exporter'' was too broad and may encompass entities 
that do not have knowledge of the export, including generators of the 
CRTs. As noted previously, the trade of used electronics can take place 
along a chain of businesses that collect, refurbish, dismantle, 
recycle, and reprocess used electronic products and their components. 
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. 
EPA has concluded that the language of the definition appropriately 
defines those entities who are responsible for fulfilling the exporter 
duties, including ``any person . . . who initiates a transaction'' to 
export used CRTs or ``any intermediary . . . arranging for such 
export.'' EPA does not agree that this would include entities that have 
no knowledge of the export since presumably these entities would 
neither be ``initiating a transaction'' nor ``arranging for such 
export.''
    EPA modeled today's definition of ``CRT exporter'' on the 
definition of ``primary exporter'' of hazardous waste in Sec.  262.51. 
Thus, EPA believes the reference to ``any intermediary'' is important 
to maintain consistent accountability throughout the RCRA export 
regulations.
    As an example of how the definition would apply, a state may 
contract with a recycling facility to collect and recycle used 
electronics, including used CRTs. The recycling facility makes the 
decision regarding which CRTs can be reused, refurbished, or recycled. 
The recycling facility also makes the decision whether to reuse or 
recycle the CRTs domestically or whether to export the used CRTs, 
sometimes through a broker.
    In this case, the generators of the CRTs, as well as the state that 
contracted with the recycling facility, are not involved in the 
decision-making to export certain CRTs and are not initiating a 
transaction to export, or arranging for export. Thus, these entities 
would not be considered a ``CRT exporter'' and are not responsible for 
fulfilling the CRT exporter duties.
    On the other hand, because the recycling facility is making the 
determination regarding whether and which CRTs will be reused, 
refurbished, or recycled domestically or internationally, then the 
recycling facility is making the decision to export certain CRTs and is 
thus initiating a transaction to export. Therefore, the recycling 
facility is considered a CRT exporter and is responsible for the CRT 
exporter duties. Furthermore, if the recycling facility used a broker 
to manage the export, both the recycling facility (which initiated the 
export) and the broker (who arranged for the export) would be 
considered a CRT exporter and thus responsible for the CRT exporter 
duties.
    Another example of how the definition would apply includes an 
electronic recycler that has collected CRTs and is storing them on 
site. In this case, the electronic recycler determines how the CRTs 
will ultimately be managed, either via reuse, recycling, or disposal. 
The electronic recycler also initiates the transaction to export by 
partnering with a broker to find foreign entities that can reuse or 
recycle the CRTs abroad--that is, the broker acts as an intermediary 
and makes arrangements for the export of used CRTs by soliciting and 
evaluating bids from foreign entities and other handling arrangements 
(e.g., contracts) with foreign entities. In addition, the electronic 
recycler makes arrangements for the export of used CRTs by reviewing or 
receiving information from the broker and packaging and preparing the 
used CRTs for transport across international boundaries. Therefore,

[[Page 36224]]

both the electronic recycler and the broker are CRT exporters.
    To avoid duplicative submissions, the Agency expects only one 
person to perform the exporter duties under Sec. Sec.  261.39(a)(5) and 
261.41, thus persons should assign these exporter responsibilities 
among themselves. However, all persons are jointly and severally liable 
for failing to comply with the exporter conditions. In other words, EPA 
has the authority to enforce against all persons associated with the 
export who meet the definition of ``CRT exporter.''
    Comment: One commenter argued that EPA should expand the definition 
of ``CRT exporter'' to include all generators of CRTs. This commenter 
believed that it would be far too easy for all sellers to the eventual 
export market to claim that they are not exporters and to avoid 
responsibility.
    Response: EPA disagrees with the commenter that argued the 
definition of ``CRT exporter'' should be expanded to include all 
entities along the electronic recycling chain, regardless of whether 
these entities are engaged in export activities, such as initiating a 
transaction to, or arranging for, export of CRTs.
    In many cases, generators of CRTs do not possess the expertise to 
determine whether certain CRTs can and may be reused, refurbished, or 
recycled--whether domestically or internationally. Many generators 
contract out collection and management of used CRTs to a recycling 
facility, whose business includes making these determinations. Thus, 
EPA does not believe that generators should automatically meet the 
definition of ``CRT exporter'' because, in many cases, the generator 
would not be making the decision to export the used CRTs and moreover 
would lack specific knowledge of the exporting operations (e.g., 
foreign destination facility, quantity of used CRTs to be exported) 
needed to submit export notices.
    However, generators of used CRTs that do make the decision to 
export certain CRTs and thus initiate, or arrange for, export of used 
CRTs, would meet the definition of ``CRT exporter'' and thus would be 
responsible for fulfilling the CRT exporter duties. (As noted 
previously, if more than one person is a CRT exporter, then only one 
person must perform the exporter duties under Sec. Sec.  261.39(a)(5) 
and 261.41, however, all CRT exporters are liable if the exporter 
duties are not fulfilled.)

B. Annual Reports for Used CRTs Sent for Recycling

    In March 2012, EPA proposed 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 actually 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 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.
    For the above reasons, EPA is finalizing at Sec.  261.39(a)(5)(x) 
the proposed condition that the CRT exporter submit annual reports for 
used CRTs exported for recycling. Under today's rule, the exporter must 
provide, no later than March 1 of each year, an annual 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 used CRTs exported for recycling during the 
previous calendar year.\5\ 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 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.''
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    \5\ As stated above, multiple entities may be considered the 
``CRT exporter'' and thus are responsible for ensuring annual 
reports are submitted. To avoid duplicative submissions, the Agency 
expects only one person to perform the exporter duties under 
Sec. Sec.  261.39(a)(5) and 261.41, thus persons should assign these 
exporter responsibilities among themselves.
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    Annual reports must be submitted to the same EPA office that 
currently receives the export notices--that is, EPA's Office of 
Enforcement and Compliance Assurance. In addition, CRT exporters are 
required to keep copies of each annual report for a period of at least 
three years from the due date of the report.
Response to Comments
    Comment: One commenter argued that the proposed yearly reporting 
condition was not going to provide case-by-case information and thus 
was not likely to be useful for receiving prior informed consent as 
required by the Basel Convention. This commenter believes that the 
receiving country and transit countries should be giving consent on a 
case-by-case basis, rather than on a 12-month or lesser basis (as is 
currently allowed under the export provisions of the CRT rule), unless 
those countries stipulate that yearly consents are appropriate.
    Response: EPA has concluded that notice and consent based on a 12-
month or lesser period, coupled with today's condition to submit annual 
reports for the CRTs actually exported over the previous 12-month or 
lesser period, provides sufficient information to adequately monitor 
the export of used CRTs in order to ensure proper management of these 
materials abroad. Specifically, EPA would be able to analyze specific 
shipments from exporters by comparing actual shipments in the annual 
report against the proposed shipments in the export notice to ensure 
that the shipments occurred under the terms approved by the receiving 
country. Requiring notice and consent on a per shipment basis, as this 
commenter suggests, would not provide any additional protection, but 
would increase the burden for CRT exporters and EPA, as well as 
receiving and transit countries. Furthermore, EPA notes that the 
receiving country always has the option of specifying consent for a 
lesser period, or on a per shipment basis, if it chooses to do so. 
Finally, we note that while the United States is a signatory to the 
Basel Convention, the United States is not a party to the Basel 
Convention.

C. Revision to the Notification Required for Used CRTs Sent for 
Recycling

    In March 2012, EPA proposed a change to the notice required for 
CRTs exported for recycling. The current notice at Sec.  
261.39(a)(5)(i)(F) requires the exporter to state the name and address 
of the recycler and any alternate recycler. EPA had proposed to replace 
this language with a condition that the exporter state the name and 
address of the recycler or recyclers and the estimated quantity of used 
CRTs to be

[[Page 36225]]

sent to each facility, as well as the names of any alternate recyclers.
    As we explained in the proposal, used CRTs may be exported to more 
than one destination facility in a foreign country. For example, used 
CRTs may first be sent to a foreign facility responsible for importing 
the CRTs and then may be subsequently sent to another foreign facility 
responsible for recycling the CRTs. Requiring the proposed additional 
information will allow EPA to provide the receiving country with the 
most accurate information available about any interim destination and 
the ultimate destination of the CRTs when they reach that country. This 
further enables the receiving country to ensure proper management of 
the used CRTs in that country. Because this additional information will 
further ensure that used CRTs exported for recycling are managed 
safely, we are finalizing the proposed change in today's rule.
Response to Comments
    Comment: One commenter argued against the proposed change and said 
that EPA should require notification from one exporter to one 
consignee, not alternate recyclers, so as to be consistent with the 
Basel Convention.
    Response: EPA disagrees with this comment because it would limit 
the information needed to determine the ultimate destination of the 
CRTs in the receiving country, and, thus, not provide the additional 
assurance that such CRTs are managed safely. We would also note that 
listing both interim and final destination facilities in the export 
notice is consistent with the Basel Convention, as the instructions for 
the Basel notification document direct notifiers to list the 
destination facility in Block 10 and, if that facility is doing only an 
interim R12 (exchange of wastes for submission to any of the recovery 
operations numbered R1-R10) or R13 (accumulation of material intended 
for any operation in this list) operation, to list the subsequent 
recycling facility in an annex.\6\ Furthermore, the receiving country 
has the option of limiting its consent to only one of the listed 
destination facilities if they do not consider the interim destination 
or the alternate recycler to be appropriate destinations. Finally, we 
note that while the United States is a signatory to the Basel 
Convention, the United States is not a party to the Basel Convention.
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    \6\ See instruction item 21, p.11, ``Revised notification and 
movement documents for the control of transboundary movement of 
hazardous wastes and instructions for completing these documents,'' 
approved by the Basel Conference of Parties, December 2006, 
available online at http://www.basel.int/Procedures/NotificationMovementDocuments/tabid/1327/Default.aspx.
---------------------------------------------------------------------------

D. Revisions to the Notification Required for Used, Intact CRTs 
Exported for Reuse

    In March 2012, EPA proposed revisions to the notification 
requirements for CRTs exported for reuse codified at Sec.  261.41. 
Specifically, EPA proposed to replace the one-time notice for used, 
intact CRTs exported for reuse with a condition that the notice (1) be 
submitted to cover exports for reuse expected over a 12-month or lesser 
period; and (2) contain additional information, similar to the 
notification required for CRTs exported for recycling. Additionally, 
EPA requested comment regarding whether the proposed notice should be 
sent to the Regional Administrator (as is the case in the existing 
Sec.  261.41) or to EPA Headquarters, where notices for CRTs exported 
for recycling are currently sent.
    Currently, the notification for CRTs exported for reuse contains 
minimal information: Name, address, and EPA ID (if applicable), the 
name and phone number of a contact person for the exporter, and a 
statement that the notifier plans to export used, intact CRTs for 
reuse. The current notification provides no information regarding where 
the used, intact CRTs are being exported for reuse, which hinders EPA's 
ability to share information with the receiving country if there is an 
issue with the export, which, in turn, inhibits the receiving country's 
ability to ensure safe management of the CRTs. Furthermore, the one-
time nature of the notice provides no assurance that the information 
collected over time will accurately reflect entities that are exporting 
CRTs for reuse, which greatly hinders use of the data for compliance 
monitoring and reporting purposes.
    Because the Agency has determined that the currently required 
information in the notification does not provide sufficient information 
to allow EPA to adequately monitor compliance and ensure that used, 
intact CRTs are reused according to the exclusion and not discarded, 
the Agency is finalizing the proposed condition to expand the 
notification for CRTs exported for reuse and to require submittals to 
cover exports over a 12-month or lesser period. Additionally, EPA is 
requiring that the notice be sent to the same EPA office that receives 
notices for CRTs exported for recycling (EPA's Office of Enforcement 
and Compliance Assurance), which will improve efficiency and tracking 
of all notices for CRTs exported for recycling and reuse.
    This additional information will enable better reporting by EPA in 
response to information requests from receiving countries and other 
interested parties regarding exports of used CRTs for reuse. This 
information will, in turn, enable effective compliance monitoring by 
EPA and those countries receiving such exports, which decreases the 
risk of potential mismanagement of the materials. Therefore, exporters 
of used, intact CRTs sent for reuse must send a notification to EPA 
that would cover export activities extending over a 12-month or lesser 
period. The written notification, signed by the exporter, must contain 
the following information listed in Sec.  261.41:
     The name, mailing address, telephone number, and EPA ID 
number (if applicable) of the exporter of the used, intact CRTs; \7\
---------------------------------------------------------------------------

    \7\ As stated above, multiple entities may be considered the 
``CRT exporter'' and thus are responsible for ensuring notices are 
submitted. To avoid duplicative submissions, the Agency expects only 
one person to perform the exporter duties under Sec. Sec.  
261.39(a)(5) and 261.41, thus persons should assign these exporter 
responsibilities among themselves. In the case of multiple entities 
that may be considered the ``CRT exporter,'' the notice should only 
contain the name, address, telephone number, and EPA ID number for 
the individual or company that these entities have mutually assigned 
to be the exporter of record.
---------------------------------------------------------------------------

     The estimated frequency or rate at which the used, intact 
CRTs are to be exported for reuse and the period of time over which 
they are to be exported;
     The estimated total quantity of used, intact CRTs 
specified in kilograms;
     All points of entry to and departure from each transit 
country through which the used, intact CRTs will pass, a description of 
the approximate length of time the used, intact CRTs will remain in 
such country, and the nature of their handling while there;
     A description of the means by which each shipment of the 
used, intact CRTs will 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 used, intact CRTs will be reused, refurbished, 
distributed or sold for reuse and the estimated quantity of used, 
intact CRTs to be sent to each facility, as well as the name of any 
alternate destination facility or facilities;
     A description of the manner in which the used, intact CRTs 
will be reused (including reuse after refurbishment) in the foreign 
country that will be receiving the used, intact CRTs; and

[[Page 36226]]

     A certification signed by the CRT exporter that states ``I 
certify under penalty of law that the CRTs described in this notice are 
intact and fully functioning or capable of being functional after 
refurbishment and that the used CRTs will be reused or refurbished and 
reused. 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.''
    CRT exporters who export used, intact CRTs for reuse must comply 
with the revised notification requirements at Sec.  261.41 as of the 
effective date of the rule, regardless of whether or not they have 
already submitted a one-time notification under the previous 
requirements.
Response to Comments
    Comment: One commenter supported the proposed changes to the 
notification for used, intact CRTs sent for reuse.
    Response: The Agency agrees with the commenter.
    Comment: Two commenters opposed the proposed changes arguing that 
used, intact CRTs intended for reuse are not being discarded and thus 
are not solid and hazardous wastes subject to EPA jurisdiction. These 
commenters believe that EPA does not have authority to impose the 
additional notification conditions on used, intact CRTs exported for 
reuse as these are products, not solid wastes. Additionally, these 
commenters argued that EPA should enforce against bad actors and not 
impose further regulation on companies that are complying with the RCRA 
regulations.
    Response: EPA disagrees with these commenters who argued that the 
revisions to the notification exceed EPA's authority under RCRA. In 
fact, EPA has concluded that our authority to request such information 
is inherent in our authority to determine whether a material is 
discarded.
    The Agency notes that used, intact CRTs exported for reuse can be 
identical in appearance to those exported for recycling. In addition, 
information in the record, both for this rulemaking and for the 2006 
CRT rulemaking, shows that exported electronics for alleged reuse may 
not in fact be handled as valuable commodities in foreign countries.\8\ 
Consequently, EPA has determined that the information required in 
today's notification is necessary to help ensure that the used, intact 
CRTs are actually reused abroad, and are not recycled (or disposed).
---------------------------------------------------------------------------

    \8\ ``Exporting Harm-The High-Tech Trashing of Asia,'' Basel 
Action Network and the Silicon Valley Toxics Coalition, February 25, 
2002 (referenced by commenter on the 2002 CRT proposed rule); 
``Following the Trail of Toxic E-Waste.'' CBS 60 Minutes. November 
9, 2008; Carroll Chris, ``High-Tech Trash,'' National Geographic 
Magazine. January 2008.
---------------------------------------------------------------------------

    We consider the specific information required in today's 
notification to be the minimum information needed to enable credible 
evaluation of the status of hazardous secondary materials under section 
3007 of RCRA and to ensure proper management of these materials. EPA 
further believes that RCRA section 3007 allows us to gather information 
about any material when we have reason to believe that it may be a 
solid waste and possibly a hazardous waste within the meaning of RCRA 
section 1004(5). Section 2002 also gives EPA authority to issue 
regulations necessary to carry out the purposes of RCRA.
    The intent of this notification is to provide basic information to 
EPA about who will be exporting used, intact CRTs for reuse. The 
specific information included in the notification will enable 
regulatory agencies to monitor compliance adequately and to ensure 
used, intact CRTs are reused and not discarded. The information will 
enable better reporting by EPA in response to information requests from 
receiving countries and other interested parties regarding exports of 
used, intact CRTs for reuse. This information will, in turn, enable 
effective compliance monitoring by EPA and in those countries which 
receive such CRTs for reuse, which decreases the risk of potential 
mismanagement of the materials.
    Comment: One commenter indicated that the CRT exporter may not know 
certain information required in the notification. For example, this 
commenter believed that CRT exporters may not know information about 
the transit countries and the length of time spent in each country 
because the transportation process is under control of the transporter. 
Additionally, this commenter believed that the ``name and address of 
the ultimate destination facility or facilities where the CRTs will be 
reused and the estimated quantity of CRTs sent to each facility'' would 
be difficult for the CRT exporter to provide because the destination 
facility may be a distribution or sales entity, which sells the CRTs 
into the local market, but does not itself use them. Thus, the 
commenter argued that it is not practical for the exporter to identify 
all of the potential customers who might purchase and use the CRTs.
    Response: Regarding the comment on transit countries, EPA 
understands that some uncertainty is inherent in a notification that 
estimates used, intact CRTs exported for reuse over a 12-month or 
lesser period. Though the CRT exporter may not know exact information 
about transportation activities that have yet to occur, including the 
time spent in each transit country, the Agency believes it is important 
that the CRT exporter provide this information to the best of its 
ability, in an effort to give the transit country (and EPA) information 
regarding such shipments. The Agency expects that the CRT exporter 
would have at least general knowledge with regard to anticipated 
shipment and arrival dates which would allow the exporter to estimate 
such information. However, CRT exporters can work with transporters to 
compile such information and develop reasonable estimates needed to 
complete the notification.
    Regarding the ultimate destination facility, EPA agrees with the 
commenter that it is not practical for the exporter to identify all of 
the potential customers who might purchase and reuse the CRTs and, in 
fact, EPA is not looking for the CRT exporter to identify all potential 
customers in the export notification. Rather, when requiring the 
``ultimate destination facility or facilities where the CRTs will be 
reused,'' EPA means for CRT exporters to identify the facility or 
facilities that will be refurbishing the CRTs or receiving the CRTs to 
be distributed or sold for reuse. To clarify this issue, EPA has 
modified the language of the requirement to require ``the name and 
address of the ultimate destination facility or facilities where the 
CRTs will be reused, refurbished, distributed or sold for reuse. . . 
.''
    Comment: One commenter argued that the proposed certification 
language in the notification for used, intact CRTs exported for reuse 
(i.e., ``the CRTs described in this notice are fully functioning or 
capable of being functional after refurbishment'') is too broad. 
Specifically, this commenter argued that nearly any CRT could be 
exported under the standard ``capable of being functional after 
refurbishment.''
    Response: EPA agrees with this commenter that the proposed 
certification language could be clearer regarding the standard for 
used, intact CRTs exported for reuse. Therefore, EPA has amended the 
proposed certification language to read ``that the CRTs

[[Page 36227]]

described in this notice are intact and fully functioning or capable of 
being functional after refurbishment and that the used CRTs will be 
reused or refurbished and reused. . . .'' EPA believes that the 
addition of ``are intact'' makes it clear that broken CRTs would not 
meet this standard and thus could not be exported for reuse. EPA also 
notes that CRT exporters, including exporters that do not have physical 
access to the CRTs, such as a broker or intermediary, are responsible 
for ensuring that the used CRTs are intact and fully functioning or 
capable of being functional after refurbishment and that the used CRTs 
will be reused or refurbished and reused.
    Additionally, EPA affirms that persons notifying that they are 
exporting used, intact CRTs for reuse, but whose CRTs are subsequently 
not reused, but recycled or disposed, may be subject to enforcement 
action under RCRA section 3008(a) for violations of the hazardous waste 
requirements occurring from the time the hazardous secondary materials 
are generated through the time they are ultimately disposed or 
recycled. The Agency affirms that Sec.  261.2(f) applies to claims that 
hazardous secondary materials are not solid waste or are conditionally 
exempt from regulation. Respondents in enforcement actions should be 
prepared to demonstrate that there is a known market (for reuse of the 
used, intact CRTs) and that they are meeting the terms of the 
exclusion.
    Comment: One commenter agreed that notifications for CRTs exported 
for reuse should be sent to the same EPA office which receives 
notifications for CRTs exported for recycling.
    Response: EPA agrees with this comment and thus, the final rule 
requires all notifications to export CRTs, whether for reuse or 
recycling, must be sent to EPA's Office of Enforcement and Compliance 
Assurance.

E. Revision to the Normal Business Records Provision for Used CRTs 
Exported for Reuse

    Under Sec.  261.41(b), persons who export CRTs for reuse must keep 
copies of normal business records, such as contracts, demonstrating 
that each shipment of CRTs that are exported will be reused. The 
documentation must be retained for a period of at least three years 
from the date the CRTs were exported. In the March 2012 proposal, EPA 
requested comment regarding whether to require persons who export used, 
intact 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.
    EPA believes that requiring CRT exporters to provide an English 
translation of normal business records upon request by EPA is inherent 
in the demonstration that each shipment of used, intact CRTs will be 
reused. English translation will also assist with compliance monitoring 
of this provision. Therefore, EPA is amending the condition at Sec.  
261.41(b) to read: ``CRT exporters of used, intact CRTs sent for reuse 
must keep copies of normal business records, such as contracts, 
demonstrating that each shipment of exported used, intact CRTs will be 
reused. This documentation must be retained for a period of at least 
three years from the date the CRTs were exported. If the documents are 
written in a language other than English, CRT exporters of used, intact 
CRTs sent for reuse must provide both the original, non-English version 
of the normal business records as well as a third-party translation of 
the normal business records into English within 30 days upon request by 
EPA.''
Response to Comments
    Comment: One commenter supported requiring persons who export used, 
intact CRTs for reuse to provide third-party translation of documents 
into English.
    Response: EPA agrees with this commenter and thus has finalized 
such a condition in today's rule at Sec.  261.41(b).

VII. Response to Other Requests for Comment in the March 2012 Proposed 
Rule

    EPA also requested comment on several other issues in the March 
2012 proposed rule, including (1) whether to require exporters of CRTs 
for reuse to include with all shipments a copy of the notification 
submitted pursuant to Sec.  261.41; (2) whether to require specific 
types of documents to be retained by exporters of used, intact CRTs for 
reuse, including contracts, invoices, and/or shipping documents; (3) 
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; (4) whether to require 
persons who export used, intact CRTs for reuse to submit annual reports 
like those proposed for persons who export CRTs for recycling; and (5) 
whether ``bare'' CRTs (used, 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) are likely to be exported for 
recycling rather than for reuse and whether the regulation needs to be 
modified to reflect this situation.
Response to Comments
    Comment: Whether the actual notification should accompany shipments 
of CRTs exported for reuse, one commenter argued that under the Basel 
Convention, all shipments of used CRTs exported for recycling and reuse 
(unless tested as fully functional) must be accompanied by a movement 
document.
    Response: Although EPA has considered whether this would be helpful 
to officials of U.S. Customs who would be examining a shipment, EPA is 
not finalizing this condition because we do not believe it would serve 
much purpose, especially since notices for exports of used CRTs for 
reuse involve no consent or terms of consent by the importing country, 
and thus, we do not believe an accompanying notice is necessary for 
protection of human health and the environment. We would also note that 
while the United States is a signatory to the Basel Convention, the 
United States is not a party to the Basel Convention.
    Comment: Whether to require specific types of documents to be 
retained by exporters of used, intact CRTs for reuse, one commenter 
argued that documents for CRTs exported for reuse should be retained 
for three years and include all invoices with brokers and shippers, as 
well as all bills of lading, including shipping container numbers.
    Response: EPA has decided not to require the CRT exporter to retain 
specific types of documents because the Agency expects that the normal 
business records for used, intact CRTs sent for reuse, which the CRT 
exporter is required to maintain for three years under Sec.  261.41(b), 
would likely contain the appropriate information for meeting the 
condition. Examples of normal business records include contracts, 
invoices, and bills of lading.
    Comment: 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, one 
commenter argued that EPA should require that broken equipment be 
returned to the sender. Response: EPA has decided not to finalize 
specific regulatory conditions for used, intact CRTs that become 
damaged in transit. CRTs that are exported for reuse and subsequently 
become damaged in transit to the extent that the importing facility in 
the

[[Page 36228]]

receiving country determines that the CRTs cannot be reused would 
typically be returned to the CRT exporter. To the extent that CRT 
export shipments for reuse will regularly and predictably include a 
percentage that ultimately need to be recycled, the original notice for 
reuse would not cover any subsequent shipping of damaged CRTs to a 
recycling facility in that country. Unless the damaged CRTs are sent 
back to the exporter for management in the U.S., the exporter would 
need to submit a notice to EPA to export a specified amount of used 
CRTs for recycling at the recycling destination facility in the 
destination country in order to obtain consent from the country of 
import prior to sending any of the unusable CRTs from the reuse/
refurbishment site to that recycling destination facility.
    Comment: Whether to require persons who export used, intact CRTs 
for reuse to submit annual reports like those proposed for persons who 
export CRTs for recycling, one commenter argued that annual reports for 
CRTs exported for reuse were not necessary if the reporting was 
conducted in accordance with the Basel Convention.
    Response: EPA has decided not to finalize a requirement that annual 
reports be submitted by CRT exporters who export CRTs for reuse. The 
export provisions for used, intact CRTs exported for reuse are quite 
different from the export provisions for used CRTs exported for 
recycling. Specifically, used CRTs exported for recycling must comply 
with the notification and consent procedures. In this case, the annual 
report is needed to ensure that CRTs were exported according to the 
terms approved by the receiving country. However, used, intact CRTs 
exported for reuse must submit a notification only and do not need 
consent of the receiving country. Thus, the Agency does not believe 
that the submission of such an annual report for CRTs exported for 
reuse is needed and would impose burden on the CRT exporter. We would 
also note that while the United States is a signatory to the Basel 
Convention, the United States is not a party to the Basel Convention.
    Comment: Whether ``bare'' CRTs are likely to be exported for 
recycling rather than reuse and whether the regulation needs to be 
modified to reflect this situation, one commenter indicated that if EPA 
were to make any rule changes, the change should be flexible to allow 
for a recycler to determine the end use of the ``bare'' CRT and not be 
bound by one or the other.
    Response: EPA is not making any regulatory changes pertaining to 
the issue of ``bare'' CRTs. Upon further consideration, EPA continues 
to believe that ``bare'' CRTs (meaning intact CRTs that are removed 
from the monitor while the vacuum is still intact) are more product-
like than waste-like, that is, bare CRTs more closely resemble 
functional CRTs as opposed to broken CRTs or CRTs that must be 
recycled. Therefore, if ``bare'' CRTs are exported for reuse, they 
would not be considered subject to the export conditions of Sec.  
261.39(a)(5) (export provisions for CRTs exported for recycling), but 
rather would be subject to the export requirements of Sec.  261.41 
(export provisions for CRTs exported for reuse).

VIII. State Authorization

A. Applicability of Rules in Authorized States

    Under section 3006 of RCRA, EPA may authorize qualified states to 
administer the RCRA Subtitle C hazardous waste program within the 
state. Following authorization, the authorized state program operates 
in lieu of the federal regulations. EPA retains enforcement authority 
to enforce the authorized state Subtitle C program, although authorized 
states have primary enforcement authority. EPA also retains its 
authority under RCRA sections 3007, 3008, 3013, 3017, and 7003. The 
standards and requirements for state authorizations 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. EPA did not issue permits for any 
facilities in that state, since the state was now 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 requirements did not 
take effect in an authorized state until the state adopted the 
equivalent state requirements.
    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. While states must still adopt HSWA 
related provisions as state law to retain final authorization, EPA 
implements the HSWA provisions in authorized states, including the 
issuance of any permits pertaining to HSWA requirements, until the 
state is granted authorization to do so.
    Authorized states are required to modify their programs only when 
EPA promulgates federal requirements that are more stringent or broader 
in scope than existing federal requirements.\9\ RCRA section 3009 
allows the states to impose standards more stringent than those in the 
federal program (see Sec.  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.
---------------------------------------------------------------------------

    \9\ 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 today's rule, 
state programs are still required to adopt provisions in today's rule 
that are more stringent than existing federal requirements to maintain 
their equivalency with the federal program. Today's final rule contains 
amendments to Sec. Sec.  261.39 and 261.41 that are more stringent. 
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, are required to adopt these amendments. In addition, EPA 
strongly encourages states to incorporate all 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 Organization for Economic Cooperation and 
Development (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 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

[[Page 36229]]

international references with state terms.

IX. Administrative Requirements for This Rulemaking

A. Executive Order 12866: Regulatory Planning and Review and Executive 
Order 13563: Improving Regulation and Regulatory 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 Revisions to the Export Provisions of 
the Cathode Ray Tube Final 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 are estimated to range 
from $9,777 to $17,362 per year. Additionally, CRT exporters will incur 
a one-time cost of $42,904 in the first year following promulgation of 
the rule to familiarize themselves with the new CRT rule requirements.

B. Paperwork Reduction Act

    The information collection requirements in this rule will be 
submitted for approval to the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The 
information collection requirements are not enforceable until OMB 
approves them. An information collection request (ICR) document 
prepared by EPA has been assigned EPA ICR number 2455.02 and OMB number 
2050-0208.
    EPA is finalizing revisions to the notifications under Sec. Sec.  
261.39 and 261.41 that must be submitted to EPA when CRTs are exported 
for reuse or recycling. The purpose of these revisions is to address 
certain implementation concerns with the current export provisions of 
the CRT rule.
    Under today's rule, EPA is requiring in the notification for CRTs 
exported for recycling 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.
    Additionally, EPA is requiring notifications for used, intact CRTs 
exported for reuse to be submitted to cover a 12-month or lesser 
period. EPA is also requiring additional items of information in the 
notice, including contact information about the exporter and the 
destination facility, the frequency or rate at which the CRTs would be 
exported, the estimated quantity of CRTs expected to be exported, 
transport information, and a description of the manner in which the 
used, intact CRTs will be reused in the receiving country. Furthermore, 
EPA is requiring the exporter to sign a certification statement that 
the CRTs are intact and fully functioning or capable of being 
functional after refurbishment and that the used CRTs will be reused or 
refurbished and reused. EPA believes that this 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 also finalizing a requirement that exporters of 
CRTs that are exported for recycling must submit an annual report to 
EPA that documents the actual quantity of CRTs in kilograms exported 
during the previous calendar year. This information will help ensure 
that the shipments occurred under the terms approved by the receiving 
country and enables 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 information collection requirements in today's rule. 
EPA is confident that the recordkeeping and reporting activities 
required of respondents under today's rule are necessary and, to the 
extent possible, has attempted to minimize the burden imposed. EPA 
believes strongly that if the minimum information collection 
requirements in today's rule are not met, neither the facilities nor 
EPA can ensure that CRTs are managed in compliance with the 
regulations.
    EPA estimates the total annual respondent burden for the new 
paperwork requirements in the rule ranges from 247 to 278 hours, and 
the annual respondent cost for the new paperwork requirements is 
approximately $22,235 to $28,492. There are no capital or operations 
and maintenance costs expected for this collection. The estimated 
annual hourly burden ranges from 0.15 to 3.52 hours per response for 
the 152 respondents (depending on the type of notice and whether the 
respondent is an exporter of CRTs for reuse or recycling). The 
estimated total annual burden to EPA for administering the rule (e.g., 
received, review, and process information required under the final 
rule) ranges from 32 to 53 hours, with a cost of approximately $1,844 
to $3,172. Burden is defined at 5 CFR 1320.3(b).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations in 40 CFR are listed in 40 CFR part 9. When this ICR is 
approved by OMB, the Agency will publish a technical amendment to 40 
CFR part 9 in the Federal Register to display the OMB control number 
for the approved information collection requirements in this final 
rule.

C. Regulatory Flexibility Act

    The Regulatory Flexibility Act 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 regulations at 13 CFR 121.201; (2) 
a small governmental jurisdiction that is a government of a city, 
county, town, school district, or special district with a population of 
less than 50,000; and (3) a small organization that is any not-for-
profit enterprise which is independently owned and operated and is not 
dominant in its field.
    After considering the economic impacts of today's final rule on 
small entities, I certify that this action will not have a significant 
economic impact on a substantial number of small entities. The small 
entities directly regulated by this final rule are individual CRT 
exporters. We have determined that approximately 152 CRT exporters will 
experience an impact of less than 0.1 percent of annual sales as a 
result of annual compliance costs of the rule.
    Although this final rule will not have a significant economic 
impact on a substantial number of small entities, EPA nonetheless has 
minimized the additional information considered necessary in order to 
reduce the impact of this rule on small entities.

[[Page 36230]]

D. Unfunded Mandates Reform Act (UMRA)

    This rule 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 costs of this rule for CRT exporters and EPA are estimated to 
range from $9,777 to $17,362. Because these direct costs are well below 
the $100 million annual direct cost threshold, this final rule is not 
subject to the requirements of sections 202 or 205 of UMRA.
    This 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 final rule does 
not have federalism implications because state and local governments do 
not administer the import/export 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 action does not have tribal implications, as specified in 
Executive Order 13175 (65 FR 67249, November 9, 2000). 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 
final rule is intended to improve regulatory efficiency and increase 
accountability among all parties associated with the export of used 
CRTs whether sent for recycling or 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 subject to Executive Order 13211 (66 FR 28355 
(May 22, 2001)), because it is not a significant regulatory action 
under Executive Order 12866.

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 action does not involve technical standards. Therefore, EPA 
did not consider the use of any voluntary consensus standards.

J. Executive Order 12898: Federal Actions To Address Environmental 
Justice in Minority Populations and Low-Income Populations

    Executive Order 12898 (59 FR 7629 (Feb. 16, 1994)) establishes 
federal executive policy on environmental justice. Its main provision 
directs federal agencies, to the greatest extent practicable and 
permitted by law, to make environmental justice part of their mission 
by identifying and addressing, as appropriate, disproportionately high 
and adverse human health or environmental effects of their programs, 
policies, and activities on minority populations and low-income 
populations in the United States.
    EPA has determined that this final rule will not have 
disproportionately high and 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 final rule is intended 
to improve regulatory efficiency and increase accountability among all 
parties associated with the export of used CRTs, whether for recycling 
or reuse.

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the 
Small Business Regulatory Enforcement Fairness Act of 1996, generally 
provides that before a rule may take effect, the agency promulgating 
the rule must submit a rule report, which includes a copy of the rule, 
to each House of the Congress and to the Comptroller General of the 
United States. EPA will submit a report containing this rule and other 
required information to the U.S. Senate, the U.S. House of 
Representatives, and the Comptroller General of the United States prior 
to publication of the rule in the Federal Register. A major rule cannot 
take effect until 60 days after it is published in the Federal 
Register. This action is not a ``major rule'' as defined by 5 U.S.C. 
804(2). This rule will be effective December 26, 2014.

List of Subjects

40 CFR Part 260

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

40 CFR Part 261

    Environmental protection, Hazardous waste, Recycling, Reporting and 
recordkeeping requirements.

    Dated: June 18, 2014.
Gina McCarthy,
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 amended as 
follows:

PART 260--HAZARDOUS WASTE MANAGEMENT SYSTEM: GENERAL

0
1. The authority citation for part 260 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), 6921-6927, 6930, 6934, 6935, 
6937, 6938, 6939, and 6974.

Subpart B--Definitions

0
2. Section 260.10 is amended by adding in alphabetical order the 
definition of ``CRT exporter'' to read as follows:

Sec.  260.10  Definitions.

* * * * *

[[Page 36231]]

    CRT exporter means 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.
* * * * *

PART 261--IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

0
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 
6838.

Subpart A--General

0
4. Section 261.39 is amended by revising paragraph (a)(5)(i)(F) and 
adding paragraphs (a)(5)(x) and (a)(5)(xi) 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 used 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, an annual 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 used 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 CRT exporter 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 this 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 (a)(5)(ii) of this section. Exporters must keep copies of 
each annual report for a period of at least three years from the due 
date of the report.
* * * * *

0
5. Section 261.41 is revised 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.
    (1) The notification must be in writing, signed by the exporter, 
and include the following information:
    (i) Name, mailing address, telephone number, and EPA ID number (if 
applicable) of the exporter of the used, intact CRTs;
    (ii) The estimated frequency or rate at which the used, intact CRTs 
are to be exported for reuse and the period of time over which they are 
to be exported;
    (iii) The estimated total quantity of used, intact CRTs specified 
in kilograms;
    (iv) All points of entry to and departure from each transit country 
through which the used, intact CRTs will pass, a description of the 
approximate length of time the used, intact CRTs will remain in such 
country, and the nature of their handling while there;
    (v) A description of the means by which each shipment of the used, 
intact CRTs will be transported (e.g., mode of transportation vehicle 
(air, highway, rail, water, etc.), type(s) of container (drums, boxes, 
tanks, etc.));
    (vi) The name and address of the ultimate destination facility or 
facilities where the used, intact CRTs will be reused, refurbished, 
distributed, or sold for reuse and the estimated quantity of used, 
intact CRTs to be sent to each facility, as well as the name of any 
alternate destination facility or facilities;
    (vii) A description of the manner in which the used, intact CRTs 
will be reused (including reuse after refurbishment) in the foreign 
country that will be receiving the used, intact CRTs; and
    (viii) A certification signed by the CRT exporter that states:
    ``I certify under penalty of law that the CRTs described in this 
notice are intact and fully functioning or capable of being functional 
after refurbishment and that the used CRTs will be reused or 
refurbished and reused. 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.''
    (2) Notifications submitted by mail should be sent to the following 
mailing address: Office of Enforcement and Compliance Assurance, Office 
of Federal Activities, International Compliance Assurance Division, 
(Mail Code 2254A), Environmental Protection Agency, 1200 Pennsylvania 
Ave. NW., Washington, DC 20460. Hand-delivered notifications should be 
sent to: Office of Enforcement and Compliance Assurance, Office of 
Federal Activities, International Compliance Assurance Division, (Mail 
Code 2254A), Environmental Protection Agency, William Jefferson Clinton 
Building, Room 6144, 1200 Pennsylvania Ave. NW., Washington, DC 20004. 
In both cases, the following shall be prominently displayed on the 
front of the envelope: ``Attention: Notification of Intent to Export 
CRTs.''
    (b) CRT exporters of used, intact CRTs sent for reuse must keep 
copies of normal business records, such as contracts, demonstrating 
that each shipment of exported used, intact CRTs will be reused. This 
documentation must be retained for a period of at least three years 
from the date the CRTs were exported. If the documents are written in a 
language other than English, CRT exporters of used, intact CRTs sent 
for reuse must provide both the original, non-English version of the 
normal business records as well as a third-party translation of the 
normal business records into English within 30 days upon request by 
EPA.

[FR Doc. 2014-14996 Filed 6-25-14; 8:45 am]
BILLING CODE 6560-50-P