                                       
                                       
                                       
                           Supporting Statement For
              Information Collection Request (ICR) Number 801.20
Requirements for Generators, Transporters, and Waste Management Facilities under the RCRA Hazardous 
                             Waste Manifest System








	April 30, 2015

                               TABLE OF CONTENTS
                                       
1.	IDENTIFICATION OF THE INFORMATION COLLECTION	1
1A.	Title and Number of the Information Collection	1
1B.	Short Characterization	1

2.	NEED, AUTHORITY & USE FOR THE INFORMATION	2
2A.	Need & Authority to Collect Information	2
2B.	Practical Utility & Users of the Information	2

3.	NONDUPLICATION, CONSULTATIONS & OTHER COLLECTION CRITERIA	3
3A.	Nonduplication	3
3B.	Public Notice	4
3C.	Consultations	4
3D.	Effects of Less Frequent Collection	5
3E.	Confidentiality	5
3F.	Sensitive Questions	6

4.	THE RESPONDENTS AND THE INFORMATION COLLECTED	6
4A.	Respondent Standard Industrial Classification Codes	6
4B.	Information Requested	6

5.	AGENCY ACTIVITIES, COLLECTION METHODOLOGY & INFORMATION MANAGEMENT	27
5A.	Agency Activities	27
5B.	Collection Methodology & Management	28
5C.	Small Entity Flexibility	28
5D.	Collection Schedule	29

6.	ESTIMATE OF BURDEN HOURS & COST	30
6A.	Estimating the Respondent Universe	30
6B.	Estimating Respondent Costs	32
6C.	Estimating Agency Hour and Cost Burden	35
6D.	Estimating Respondent Hours and Costs	36
6E.	Bottom Line Burden Hours & Cost	54
6F.	Reasons for Change in Burden	58
6G.	Burden Statement	59




1.	IDENTIFICATION OF THE INFORMATION COLLECTION	

1A.	Title and Number of the Information Collection		

This ICR is entitled, "Requirements for Generators, Transporters, and Waste Management Facilities under the RCRA Hazardous Waste Manifest System (Renewal)," OMB Control No. 2050-0039, EPA ICR Number 0801.20.

1B.	Short Characterization		

Section 3002(a)(5) of the Resource Conservation and Recovery Act (RCRA) directs the U.S. Environmental Protection Agency (EPA) to "...establish requirements respecting...use of a manifest system and any other reasonable means necessary to assure that all such hazardous waste generated is designated for treatment, storage, or disposal, and arrives at treatment, storage, or disposal facilities...for which a permit has been issued..."  Under this authority, EPA published regulations for a manifest system on February 26, 1980 (45 FR 12724).  EPA established requirements for manifest completion, transmittal, and recordkeeping for hazardous waste generators at 40 CFR Part 262, Subpart B, for transporters at Part 263, Subpart B, and for treatment, storage, and disposal facilities (TSDFs) at Parts 264 and 265, Subpart E.  EPA also requires the use of the Uniform Hazardous Waste Manifest (UHWM or manifest).  These manifest requirements have been amended on several occasions.

On February 7, 2014, EPA published the electronic manifest (e-Manifest) final rule (79 FR 7518). The final rule established new manifest requirements that authorized the use of electronic manifests (or e-Manifests) as a means to track off-site shipments of hazardous waste from a generator's site to the site of the receipt and disposition of the hazardous waste. EPA is taking action now to establish the national e-Manifest system, but unknown variables (e.g., funding contingencies for e-Manifest system development) could delay the actual deployment of the system. Therefore, until EPA announces that the e-Manifest system is available for use in a subsequent Federal Register document, all respondents under the information collection requirements covered in this ICR must continue to comply with the current paper-based manifest system and use the existing paper manifest forms for the off-site transportation of hazardous waste shipments. EPA anticipates that the initial system will become available for use no later than the spring of 2018.

This ICR requests a three-year extension of ICR 801.  This supporting statement describes the paper-based manifest requirements in Sections 1 through 5.  In Section 6, EPA estimates the hour and cost burden to respondents and EPA under these requirements.  When EPA publishes the Federal Register notice announcing that the e-Manifest system is available for use, EPA intends to modify this ICR to describe the e-Manifest requirements and associated burden to respondents and EPA.

2.	NEED, AUTHORITY & USE FOR THE INFORMATION

2A.	Need & Authority to Collect Information

EPA's authority to require use of a hazardous waste manifest system stems primarily from section 3002(a)(5) of RCRA, as discussed in Section 1B.  See also RCRA sections 3003(a)(3) and 3004.  The manifest serves an essential role as a control and transport document that accompanies the waste from its generation site to its treatment, storage, or disposal site.  Among other things, the manifest lists the wastes that are being shipped and the TSDF to which the wastes are bound.  The term "manifest system" refers to the overall set of requirements for the use of the manifest.  

The RCRA manifest requirements are needed to ensure that hazardous waste designated for delivery to an off-site TSDF actually reaches its destination.  Thus, the manifest system serves as a self-enforcing mechanism that requires generators, transporters, and owner/operators of TSDFs to participate in an active hazardous waste tracking system.  This system does not ordinarily involve intervention on the part of EPA unless hazardous wastes do not reach their designated point of disposal within a specified timeframe.  

The critical components of the manifest system include the information required on the manifest itself, the transmittal of manifest copies to specified parties, the submission of exception, discrepancy, and un-manifested waste reports to EPA, and recordkeeping requirements.  Each of these components assists in tracking the waste and helps the Agency in reviewing whether hazardous waste shipments have been handled properly.  The manifest, by incorporating U.S. Department of Transportation (DOT) requirements applicable to shipping papers, also serves as an important safety tool.  In the event of an accident during transport or delivery, information on the manifest, such as the identification of the waste's hazard class, can be used to help response teams determine appropriate response actions.

Although the generators, transporters, TSDFs, and emergency response teams (in the case of accidents) are the primary users of these records, EPA may review these documents during a facility inspection to make sure proper records are being kept and regulations are complied with.  EPA also reviews and responds to exception reports, discrepancy reports, and un-manifested waste reports.

2B.	Practical Utility & Users of the Information

The manifest serves a number of vital uses to industry, regulators, EPA and the public.  For example, it:

Is a chain-of-custody document used by industry and regulators to track each shipment of hazardous waste from the generator to designated facility.  Generators receive a copy of the manifest returned by the designated TSDF to confirm receipt of shipment.  Each waste handler involved in the shipment keeps a copy and thus can be held accountable for proper handling and shipment.  
          
Provides information requirements sufficient to allow the use of a manifest in lieu of a United States Department of Transportation (USDOT) shipping paper or bill of lading, thereby reducing the duplication of paperwork to the regulated community.
          
Provides information to transporters and waste management facility workers on the hazardous properties of the waste.  When a waste is received at the designated TSDF, fingerprint analyses are performed to ensure that the shipped wastes match the manifest (e.g., the facility may check for color, specific gravity, etc.).  If a significant discrepancy between the waste and manifest is found, the designated TSDF needs to contact the generator to determine next steps (e.g., proper disposition of the waste).  In this respect, the manifest facilitates the safe and proper handling, treatment, storage and disposal of the shipped wastes before and after TSDF acceptance.
      
   *          Informs emergency response teams of the waste's hazard in the event of an accident, spill, or leak.

   *          Can be used by regulators and the public to learn about shipments of hazardous wastes to and from generators and designated TSDFs.  Some States collect manifests to assess fees to waste handlers.  In addition, generators and TSDFs often use manifest data as an input into the development of the Biennial Reports, which are required under Parts 262, 264, and 265.  These Biennial reports are made public by EPA.

3.	NONDUPLICATION, CONSULTATIONS & OTHER COLLECTION CRITERIA

3A.	Nonduplication

No document identical or similar in purpose to the manifest is required by the Federal government for the shipment of RCRA hazardous waste.  Although a USDOT hazardous materials shipping paper contains most of the information contained on the manifest, it does not appear to be legally sufficient to track hazardous waste shipments from the generator to the designated facility (i.e. from "cradle-to-grave").  For example, USDOT's shipping paper does not require EPA ID numbers and signatures of the transporters and all other chain-of-custody entities involved in shipping or handling the hazardous waste.  EPA requires such signatures and identification numbers on the manifest to ensure accountability of each waste handler during shipment of the hazardous waste.  Also, since EPA coordinated the development of the manifest with USDOT, the manifest form can be used as a USDOT shipping paper, thus eliminating the need for the transporter to carry both documents.  Furthermore, the manifest form was developed as a means of standardizing the information requirements, both Federal and State, thereby eliminating the need for a generator to complete and a transporter to carry multiple manifests for interstate shipments.

3B.	Public Notice	

In compliance with the Paperwork Reduction Act of 1995, EPA solicited public comments on this ICR through an announcement in the Federal Register on February 17, 2015 (80 FR 8306).  No comments were received.

3C.	Consultations

In preparing ICR 801.20, EPA contacted three representatives of TSDFs to request their feedback on its burden estimates.  These individuals were contacted because their facilities are involved in multi-state shipping activities, interact with the entire range of waste handlers on manifest-related issues (e.g., manifest preparation, transmittal, recordkeeping), and stay abreast of trends of the manifest regulations and RCRA regulations generally.  As such, they can speak knowledgeably about the respective activities and burdens of small and large generators, transporters, and TSDFs. These individuals were contacted in April 2015 and are identified in the table. 

                                     Name
                                 Organization 
                                     Phone
                                     Email
                                  Baker, Tom
                         Veolia Environmental Services
                                 973-691-7330
                             tom.baker@veolia.com
                              Sauvageau, Matthew
                                 Clean Harbors
                                 847-468-6701
                      sauvageau.matthew@cleanharbors.com
                                 Sloat, David
                                  Stericycle
                                 412 585-4154
                          david.sloat@stericycle.com

These individuals were shown the ICR's hourly burden estimates for the following manifesting activities and asked if they are acceptable (i.e., representative as an industry average):

   *          Preparing a manifest.
   *          Preparing a continuation sheet.
   *          Sending the manifest by mail to another waste handler.
   *          Placing a manifest copy in the files for recordkeeping (generators).
   *          Placing a manifest copy in the files for recordkeeping (TSDFs).
   *          Preparing and submitting an exception report.

They were also asked to suggest alternative estimates if the ICR's estimates were not acceptable.  All three individuals indicated that the ICR's estimates are acceptable and no alternative estimates were offered.  

In addition, they were asked about the accuracy of the ICR's estimate that 18% of SQGs are operating under reclamation agreements pursuant to 40 CFR 262.20(e).  SQGs operating under these agreements are exempt from the requirement for a manifest.  We heard from one individual who estimated 20% and another who estimated 14%; however, both believe the ICR's estimate of 18% is reasonable.  A third individual indicated that his customers are not typically involved with reclamation agreements and therefore he is unable to provide an estimate or verify EPA's estimate.  However, he suspects that 18% is much too high when considering the overall universe of SQGs.  

Based on this feedback, EPA has decided not to revise the ICR's estimate of 18%.  First, EPA notes that the ICR's estimate is not far from the two estimates received (14% and 20%), which suggests some level of agreement.  In addition, two of the individuals believe the ICR's estimate is reasonable.  Finally, the individual who expressed doubt about the ICR's estimate was unable to provide an alternative estimate.  

3D.	Effects of Less Frequent Collection

Under normal conditions, EPA does not collect manifests, but requires instead preparation of the manifest, use of the manifest during transportation, and recordkeeping of the manifests for a three-year period.  Manifests are only collected by EPA either to accompany an exception or discrepancy report or in the case of an export.

In addition, since the manifest is required to accompany all shipments of hazardous waste when shipped off-site by the generator, less frequent preparation is not possible.  The frequency of off-site shipment is determined by the generator and depends on:  (1) the quantities of waste to be shipped as they impact the economies of shipment; (2) transporter scheduling; and (3) the applicable regulatory requirements.  The present system gives the generator the opportunity to maximize the economies of off-site shipments by selecting a shipping frequency that is appropriate for the rate of waste generation.  Further, by requiring a manifest to accompany each shipment, EPA ensures the manifest is available in the case of a discharge of hazardous waste during transportation.  Information on the manifest could be useful to emergency response personnel responding to the scene.  In this regard, less frequent manifesting could result in a less expedient or protective response to the release.  

Note, however, that EPA provides a manifest exemption at 40 CFR 262.20(e) and (f) for specified types of shipments, as appropriate.  Under section 262.20(e), small quantity generators (SQGs), or those generators who generate between 100 and 1,000 kilograms/month of hazardous waste, can be exempt from manifest requirements if the waste is reclaimed under a contractual agreement that specifies the type of waste and frequency of shipments; the transporting vehicle is owned and operated by the reclaimer; and the generator retains a copy of the reclamation agreement for three years after termination or expiration of the agreement.  Under section 262.20(f), generators who transport hazardous wastes on a public or private right-of-way within or along the border of contiguous property under the control of the same person, even if such contiguous property is divided by a public or private right-of-way, are exempt from manifesting requirements.

3E. 	General Guidelines


      These reporting or recordkeeping requirements do not violate any of the regulations promulgated by OMB under 5 CFR Part 1320, Section 1320.5.

3F.	Confidentiality

Section 3007(b) of RCRA and 40 CFR Part 2, Subpart B, which define EPA's general policy on the public disclosure of information, contain provisions for confidentiality.  

3G.	Sensitive Questions

No questions of a sensitive nature are included in any of the information collection requirements.

4.	THE RESPONDENTS AND THE INFORMATION COLLECTED

4A.	Respondent Standard Industrial Classification Codes

Following are the Standard Industrial Classification (SIC) codes and the North American Industry Classification System (NAICS) codes of facilities most likely subject to the requirements in this ICR.


                               Industrial Sector

                                  SIC Code(s)

                                 NAICS Code(s)

Agriculture, Forestry, Fishing, and Hunting

                                     01-09

                                      11

Mining

                                     10-14

                                      21

Utilities

                                      49

                                      22

Construction 

                                     15-17

                                      23

Manufacturing

                                     20-39

                                     31-33

Wholesale Trade

                                     50-51

                                      42

Retail Trade

                                     52-59

                                     44-45

Transportation and Warehousing

                                     40-47

                                     48-49

Information

                           27, 48, 73 (partial), 78

                                      51

Waste Management & Remediation Services

                               1799, 4953, 4959

                                      562

Public Administration

                                     91-97

                                      92


4B.	Information Requested
      
There are four categories of respondents that will perform the information collections in this ICR, described below.  This section describes the collections that apply to each category.

Manifest printer registrant organizations  -  organizations that apply to EPA for approval to produce the paper manifest for use and distribution.
Hazardous waste generators  -  sites that generate hazardous waste and ship it off-site.
Hazardous waste transporters  -  entities that transport hazardous waste on public roads.
Designated treatment, storage and disposal facilities (designated TSDFs)  -  facilities that receive off-site shipments for management and disposal.  Note that, normally, designated TSDFs also generate hazardous waste and therefore qualify as hazardous waste generators.  

Manifest Printer Registrant Organizations

      (a)	Applying to the Registry

40 CFR 262.21(a) provides that a person may not print the manifest for use or distribution unless his/her organization (e.g., company, State agency) has received approval from EPA to do so under 40 CFR 262.21(c) and (e).  In order to receive EPA approval, a registrant must submit to EPA an application that contains the information specified in 40 CFR 262.21(b).  Upon EPA approval of the application, the registrant must submit three fully assembled manifests and, if needed, continuation sheets that meet the specifications of 40 CFR 262.21(f) and a description of the form samples, as specified in 40 CFR 262.21(d).  In reviewing these submittals, EPA may request modification to them before approval.

      Data Items
          
An application that contains the following information:
Name and mailing address of registrant.
Name, telephone number, and email address of contact person.
Brief description of registrant's government or business activity.
EPA ID number of the registrant, if applicable.
Description of the scope of the operations that the registrant plans to undertake in printing, distributing, and using its manifests, including:
A description of the printing operation.  The description should include an explanation of whether the registrant intends to print its manifests in-house or through a separate printing company.  If the registrant intends to use a separate printing company to print the manifest on its behalf, the application must identify this printing company and discuss how the registrant will oversee the company.  If this includes the use of intermediaries, the role of each must be discussed.  The application must provide the name and mailing address of each company.  It also must provide the name and telephone number of the contact person at each company. 
A description of how the registrant will ensure that its organization and unaffiliated companies, if any, comply with the requirements of 40 CFR 262.21.  The application must discuss how the registrant will ensure that a unique manifest tracking number will be pre-printed on each manifest.  The application must describe the internal control procedures to be followed by the registrant and unaffiliated companies to ensure that numbers are tightly controlled and remain unique.  If computer systems or other infrastructure will be used to maintain, track, or assign numbers, these should be indicated.  The application must indicate how the printer will pre-print a unique number on each form. The application must explain the quality procedures to be followed by each establishment and printing company to ensure that all required print specifications are consistently achieved and that printing violations are identified and corrected at the earliest practicable time.
An indication of whether the registrant intends to use the manifests for its own business operations or to distribute the manifests to a separate company or to the general public (e.g., for purchase).
A brief description of the qualifications of the company that will print the manifest.  The registrant may use readily available information to do so (e.g., corporate brochures, product samples, customer references, documentation of ISO certification), so long as such information pertains to the establishments or company being proposed to print the manifest. 
Proposed unique three-letter manifest tracking number suffix.  If the registrant is approved to print the manifest, the registrant must use this suffix to pre-print a unique manifest tracking number on each manifest.
A signed certification by a duly authorized employee of the registrant that the organizations and companies in its application will comply with the procedures of its approved application and the requirements of 40 CFR 262.21 and that it will notify EPA of any duplicated manifest tracking numbers on manifests that have been used or distributed to other parties as soon as this becomes known.
Three fully assembled manifests and, if needed, continuation sheets that meet all of the specifications in 40 CFR 262.21(f).  The form samples must be printed by the company that will print the manifest as identified in the application approved under 40 CFR 262.21(c).  The registrant need not submit samples of the continuation sheet if the continuation sheet will be printed using the same paper type, paper weight, ink color of the instructions, and binding method as the manifest.
A description of the manifest samples as follows:
Paper type (i.e., manufacturer and grade of the manifest paper).
Paper weight of each copy.
Ink color of the manifest's instructions.  If screening of the ink was used, the registrant must indicate the extent of the screening.
Method of binding the copies.

      Respondent Activities
          
Prepare and submit initial application.
Submit revised initial application to EPA, if requested.
Submit three fully assembled manifests and, if needed, continuation sheets and a description of the form samples. 
Submit revised form samples based on EPA comment on the initial samples, if requested.

      (b)	Updating General Information in the Approved Application

40 CFR 262.21(h)(1) provides that, if an approved registrant would like to update any of the information provided in its application (e.g., to update a company phone number or name of contact person), the registrant must revise the application and submit it to EPA, along with an indication or explanation of the update, as soon as practicable after the change occurs.  EPA will review and either approve or deny the revision.  If the revision is denied, the registrant must respond to the Agency's concerns.

      Data Item

Revised application, along with an indication or explanation of the update.
          
       Respondent Activities
       
Revise and submit the application to EPA, along with an indication or explanation of the update.
Respond to the Agency's concerns, if applicable.

      (c)	Requesting Approval for a New Tracking Number Suffix

40 CFR 262.21(h)(2) provides that, if an approved registrant would like a new tracking number suffix, the registrant must submit a proposed suffix to EPA, along with the reason for requesting it. 

      Data Item
      
Proposed tracking number suffix, along with the reason for requesting it.

      Respondent Activity
      
Submit a proposed tracking number suffix, along with the reason for requesting it.
      
      (d)	Requesting Approval for Changes to Printing Specifications or Use of a New Printer

40 CFR 262.21(h)(3) provides that, if a registrant would like to change the paper type, paper weight, ink color of the manifest instructions, or binding method of its manifest or continuation sheet subsequent to approval under 40 CFR 262.21(e), then the registrant must submit three samples of the revised form for EPA review and approval.  If the approved registrant would like to use a new printer, the registrant must submit three manifest samples printed by the new printer, along with a brief description of the printer's qualifications to print the manifest.  In reviewing these submittals, EPA may request modification to them before approval.

      Data Items

Three samples of the manifest form and/or continuation sheet.
A brief description of the qualifications of the new printer, if applicable.

      Respondent Activities
      
Submit three samples of the manifest form and/or continuation sheet and, if applicable, a brief description of the qualifications of the new printer.
Submit revised manifest form and/or continuation sheet samples to EPA, if requested.

      (e) 	Typesetting the Manifest Form Subsequent to its Approval

40 CFR 262.21(i) provides that, if subsequent to its approval under 40 CFR 262.21(e), a registrant typesets its manifest or continuation sheet instead of using the electronic file of the forms provided by EPA, it must submit three samples of the manifest or continuation sheet to the registry for approval.  The registrant cannot use or distribute its typeset forms until EPA approves them.  
      
      Data Item
      
Three samples of the manifest or continuation sheet.

      Respondent Activity
      
Submit three samples of the manifest or continuation sheet to the registry for approval.

      (f) 	Requesting an Exemption
      
40 CFR 262.21(j) provides that EPA may exempt a registrant from the requirement to submit form samples under 40 CFR 262.21(d) or 262.21(h)(3) if the Agency is persuaded that a separate review of the registrant's forms would serve little purpose in informing an approval decision (e.g., a registrant certifies that it will print the manifest using the same paper type, paper weight, ink color of the instructions, and binding method of the form samples approved for some other registrant).  A registrant may request an exemption from EPA by indicating why an exemption is warranted. 
      
      Data Item
      
Documentation indicating why an exemption is warranted.

      Respondent Activity
      
Submit documentation to EPA indicating why an exemption is warranted.

      (g)	Notifying EPA of a Printing Specification Violation

40 CFR 262.21(k) requires an approved registrant to notify EPA by phone or email as soon as it becomes aware that it has used or distributed manifests that contain duplicated manifest tracking numbers.
      
      Data Item
      
Notification of duplicated manifest tracking numbers.

      Respondent Activity
      
Notify EPA of duplicated manifest tracking numbers.

      (h)	Revising the Approved Manifest if Requested by EPA

40 CFR 262.21(l) provides that, if, subsequent to approval of a registrant under 40 CFR 262.21(e), EPA becomes aware that the registrant's approved form does not satisfactorily meet the print specifications in 40 CFR 262.21(f), EPA will contact the registrant and require modifications to the form.
            
      Data Item
          
Revised manifest form samples.

      Respondent Activity
          
Submit revised manifest form samples to EPA, if requested.

      (i)	Responding to Suspension and Revocation Procedures

40 CFR 262.21(m) provides that EPA may suspend and, if necessary, revoke printing privileges if it finds that the registrant: (i) has deviated from its application approved under 40 CFR 262.21(c) in printing the form; (ii) has knowingly used or distributed forms that deviate from its approved form samples in regard to paper weight, paper type, ink color of the instructions, or binding method; or (iii) exhibits a continuing pattern of behavior in using or distributing manifests that contain duplicate manifest tracking numbers.  EPA will send a warning letter to the registrant that specifies the date by which it must come into compliance with the requirements.  If the registrant does not come in compliance by the specified date, EPA will send a second letter notifying the registrant that EPA has suspended or revoked its printing privileges.  An approved registrant must provide information on its printing activities to EPA if requested.  

      Data Item
      
Information requested by EPA.

      Respondent Activity
      
Submit information if requested by EPA.

Hazardous Waste Generators

      (a)	Manifest Completion

40 CFR 262.20(a)(1) requires generators transporting, or offering for transportation, hazardous waste for off-site treatment, storage, or disposal to prepare a manifest (EPA Form 8700-22) and, if necessary, continuation sheets (EPA Form 8700-22A).  In addition, generators must comply with other applicable sections of 40 CFR as applicable, including sections 262.20, 262.23, 262.54, and 262.60, as appropriate, as well as the instructions in the appendix to 40 CFR Part 262. 

      Data Items
      
Manifest, which includes the following:
The generator's EPA ID or State ID number.
The total number of pages used to complete the manifest.
The emergency response phone number.
The manifest tracking number.
The generator's name and mailing address.
The generator's phone number.
The generator's site address (if different than mailing address).
The name and EPA ID number for transporters. 
The designated facility's name and site address.
The designated facility's phone number.
The EPA ID number of the designated facility.
The USDOT description of the waste.
The container description (number and type).
The total quantity of each waste described.
The unit of measure.
The waste codes representing the waste.
Special handling instructions and additional information.
The generator's/offeror's certification.

For primary exporters only:  The primary exporter must prepare the manifest in accordance with 40 CFR 262.20 and 262.23, except as provided under 40 CFR 262.54(a) through (d):
In lieu of the site name, site address and EPA ID number of the designated permitted facility, enter the name and site address of the consignee. 
In lieu of the name, site address, and EPA ID number of a permitted alternate facility, enter the name and site address of any alternate consignee.
In the International Shipments Block, check the export box and enter the point of exit (city and State) from the US.

For primary importers only:  The primary importer must prepare the manifest in accordance with 40 CFR 262.20 & 262.23, except as provided in 40 CFR 262.60(b) and (d):
In place of the generator's name, address, and EPA ID number, use the name and address of the foreign generator and the importer's name, address, and EPA ID number.
In place of the generator's signature on the certification statement, the US importer or his agent must sign and date the certification and obtain the signature of the initial transporter.
In the International Shipment Block, check the import box and enter the point of entry (city and State) into the US.

      Respondent Activities
      
Generators perform the following:
Complete the manifest for domestic, export, and import shipments; and
Complete continuation sheet, if required.
      
      (b)	Compliance with State Program Requirements

Under 40 CFR 262.21(g)(2), generators must determine whether the consignment State regulates any additional wastes (beyond those regulated Federally) as hazardous wastes under its State hazardous waste program.  Generators must also determine whether the consignment State or generator State requires the generator to submit any copies of the manifest to these States.

      Data Item
      
Information provided by the State on its manifest program.

      Respondent Activities
      
Generators must contact the consignment/generator State if needed and submit any copies of the manifest to these States, as applicable.

      (c)	Manifest Transmittal and Recordkeeping

Generators must transmit and keep records of the manifest in accordance with 40 CFR 262.23, 262.40, 262.44, 262.54 and 262.60, as appropriate.	A generator must sign and give copies of the manifest to the transporter along with the hazardous waste in accordance with 40 CFR 262.23(a) and (b) and retain copies of the manifest in accordance with 40 CFR 262.23(a) & 262.40(a).  For shipments of hazardous waste within the US solely by water (bulk shipments only), the generator, as required by 40 CFR 262.23(c), must send three copies of the manifest to the owner/operator of the designated facility or the last water transporter to handle the waste in the US if exported by water.  For rail shipments of hazardous waste within the US which originate at the site of generation, the generator, as required under 40 CFR 262.23(d), must send at least three copies of the manifest to the next non-rail transporter, the designated facility, or the last rail transporter to handle the waste in the US if exported by rail. For exports, the primary exporter must provide the transporter with a EPA Acknowledgment of Consent, and an additional copy of the manifest or shipping papers for delivery to the US Customs official at the point the hazardous waste exits the US, as required by 40 CFR 262.54(h) and (i).  In the event an SQG's waste is reclaimed under a contractual agreement pursuant to 40 CFR 262.20(e)(1), the SQG must retain the reclamation agreement for at least three years from the date of termination or expiration of the agreement, as required by 40 CFR 262.20(e)(2). 

      Data Items
      
Manifest.
Acknowledgement of Consent for exports.
Reclamation agreement for SQG tolling arrangements. 

      Respondent Activities
      
Generators must perform the following:
Sign the manifest certification and obtain the signature of the initial transporter and date of acceptance on the manifest in accordance with 40 CFR 262.23(a).
Keep a copy of the manifest and give the remaining copies to the initial transporter, in accordance with 40 CFR 262.23(a) & (b).
Keep a copy of the manifest returned from the designated facility for at least three years from the date the waste was accepted by the initial waste transporter, in accordance with 40 CFR 262.40(a) or 262.44(a).
For shipments solely by water, send three copies of the manifest, dated and signed in accordance with 40 CFR 262.23(a), to the designated facility or the last water transporter to handle the waste in the US, as required by 40 CFR 262.23(c).  [Note:  Copies of the manifest are not required for each transporter.]
For shipments by rail originating at the site of generation, send at least three copies of the manifest to the next non-rail transporter, the designated facility, or the last rail transporter to handle the waste in the US, as required by 40 CFR 262.23(d).

Primary exporters must provide the transporter with an EPA Acknowledgment of Consent and an additional copy of the manifest or shipping papers for delivery to the US Customs official at the point the hazardous waste exits the US, as required by 40 CFR 262.54(h) and (i).
          
An SQG operating under a tolling agreement must retain a copy of each reclamation agreement, if applicable, for at least three years after the termination or expiration of the agreement, as required by 40 CFR 262.20(e)(2).

      (d)	Undeliverable Shipments

Generators must provide instructions to the transporter on how to deal with shipments that cannot be delivered to the designated or the alternate TSDF.  For shipments that a transporter is unable to deliver to the designated facility or the alternate facility, generators must designate another facility or instruct the transporter to return the waste, as required by 40 CFR 262.20(d) and 262.54(g)(3).

      Data Item
      
Instructions to the transporter on how to deal with shipments that cannot be delivered to the designated or the alternate TSDF.

      Respondent Activity
      
For shipments that a transporter is unable to deliver to the designated facility or the alternate facility, generators must designate another facility or instruct the transporter to return the waste.
      
      (e)	Rejected Waste and Container Residues

Under 40 CFR 262.34(j), a generator who sends a shipment of hazardous waste to a designated facility with the understanding that the designated facility can accept and manage the waste and later receives that shipment back as a rejected load or residue in accordance with the manifest discrepancy provisions of 40 CFR 264.72 or 265.72 may accumulate the returned waste on-site, as specified.  Upon receipt of the returned shipment, the generator must sign the manifest that accompanies the rejected load or residue.

      Data Item

A manifest.
      
      Respondent Activities
      
Generators must perform the following activities:
Sign Item 18c of the manifest, if the transporter returned the shipment using the original manifest.
Sign Item 20 of the manifest, if the transporter returned the shipment using a new manifest.
Provide the transporter a copy of the manifest.
Within 30 days of delivery, send a copy to the designated TSDF that returned the shipment to the generator.
Retain a copy.
       
      (f)	Exception Reports:  Completion, Submission, and Recordkeeping

      (f1)	Large Quantity Generators

In the event an LQG does not receive a copy of the signed manifest from the designated facility owner/operator within 35 days of the date the waste was accepted by the initial transporter, the LQG must contact the transporter and/or the owner/operator of the designated facility to determine the status of the hazardous waste.  The LQG must submit an exception report to EPA if he/she has not received a copy of the signed manifest from the designated facility owner/operator within 45 days of the date the waste was accepted by the initial transporter and must retain a copy of the exception report for at least three years from the due date of the report, in accordance with 40 CFR 262.42(a) and 262.40(b).  

      Data Item
      
An exception report containing the following data: 
A legible copy of the manifest for which the generator does not have confirmation of delivery, as required by 40 CFR 262.42(a)(2)(i).
A cover letter signed by the generator or his authorized representative explaining the efforts taken to locate the hazardous waste and the results of those efforts, as required by 40 CFR 262.42(a)(2)(ii).

      Respondent Activities
      
LQGs must perform the following:
Prepare and submit a signed cover letter to EPA explaining the generator's efforts to locate the hazardous waste and the results of those efforts, along with a legible copy of the manifest, in accordance with 40 CFR 262.42(a)(2)(i) and (ii).
Keep a copy of each exception report, as required by 40 CFR 262.40(b).

      (f2)	Small Quantity Generators

In the event an SQG does not receive a copy of the signed manifest from the owner/operator of the designated facility within 60 days of the date the waste was accepted by the initial transporter, he/she must submit to the EPA Regional Administrator a legible copy of the manifest with some indication that he has not received confirmation of delivery, in accordance with 40 CFR 262.42(b).  

      Data Item
      
A legible copy of the manifest with some indication that the SQG has not received confirmation of delivery. 

      Respondent Activity
      
SQGs must submit a legible copy of the manifest with some indication that the waste has not been delivered.
          
Hazardous Waste Transporters

      (a)	Manifest Completion, Transmittal, and Recordkeeping

40 CFR 263.20, 263.21 & 263.22 detail the completion, transmittal, and recordkeeping requirements of manifests or shipping papers for hazardous waste transporters, including those exporting hazardous waste outside the US.  

      (a1)	Hazardous Waste Transporters (except as exempted by 40 CFR 263.20(e) and (f))

40 CFR 263.20(a)(1) provides that a transporter may not accept hazardous waste from a generator unless the transporter is also provided with a manifest form (EPA Form 8700-22, and if necessary, EPA Form 8700-22A) signed in accordance with the requirement of section 262.23.  

Except for certain water and rail transporters exempted under 40 CFR 263.20(e)&(f), transporters transporting hazardous waste outside the US (40 CFR 263.20(g)) and transporters transporting hazardous waste pursuant to a reclamation agreement (40 CFR 263.20(h)), section 263.20(b), (c),(d) require transporters to sign and date the manifest acknowledging acceptance of the waste from the generator before transporting the hazardous waste.  Before leaving the property, the transporter must return or transmit a signed copy of the manifest to the generator.  In addition, the transporter must ensure that a copy of the manifest or other shipping paper accompanies the shipment and is readily available and recognizable.  

A transporter who delivers a hazardous waste to another transporter or to the designated facility must obtain the date of delivery and the signature of the transporter or designated facility; retain a copy in accordance with 40 CFR 263.22; and give the remaining copies of the manifest to the accepting transporter or designated facility, as required at 40 CFR 263.20(d).

      Data Item
          
A manifest. 
A shipping paper.

      Respondent Activities
      
Transporters must perform the following;
Sign and date the manifest, as required by 40 CFR 263.20(b).
Return a signed copy of the manifest to the generator, as required under 40 CFR 263.20(b).
Ensure that the manifest (or other shipping paper) accompanies the waste to its destination, as required by 40 CFR 263.20(c).
In delivering the hazardous waste and manifest to another transporter or to the designated facility, perform the following activities, as required by 40 CFR 263.20(d):
Obtain the date of delivery and signature of that transporter or the owner/operator of the facility or alternate facility designated on the manifest, pursuant to 40 CFR 263.20(d)(1).
Retain a copy of the manifest pursuant to 40 CFR 263.22(a).
Give remaining copies of the manifest to the accepting transporter or facility, in accordance with 40 CFR 263.20(d)(3). 

	(a2)	Water (Bulk Shipment) Transporters Regulated under 40 CFR 263.20(e)

Water (bulk shipment) transporters who are regulated under 40 CFR 263.20(e) must sign and date the manifest upon receipt of the hazardous waste; must ensure that a shipping paper containing the generator, waste, and facility information, and a EPA Acknowledgment of Consent for exports, accompany the waste during transportation; must obtain the signature of the facility owner/operator on the manifest or shipping paper; and must retain a copy of the manifest or shipping paper for three years.
      
      Data Items

Manifest.
Copies of the shipping paper containing all the information on the manifest except the EPA ID numbers, the generator certification, and required signatures, as required under 40 CFR 263.20(e).
An EPA Acknowledgment of Consent (for exporters only), as required by 40 CFR 263.20(e)(2).
          
      Respondent Activities
      
The person delivering hazardous waste to the initial water transporter must:
Obtain the date of delivery and signature of the initial water transporter on the manifest, in accordance with 40 CFR 263.20(e)(4).
Forward the manifest to the designated facility, in accordance with 40 CFR 263.20(e)(4).

Bulk water transporters subject to section 263.20(e) must perform the following activities:
Ensure that the shipping paper (and Acknowledgment of Consent, for exports) accompanies the waste to its destination, as required by 40 CFR 263.20(e)(2). 
If the delivering (water) transporter, obtain the date of delivery and signature of the owner/operator of the designated facility on either the manifest or shipping paper, as required by 40 CFR 263.20(e)(3). 
If the initial water transporter, sign and date the manifest and return it to the delivering transporter so that the manifest can be forwarded to the designated facility owner/operator, as required by 40 CFR 263.20(e)(4).
Retain a copy of the manifest or shipping paper, as required by 40 CFR 263.22(b).

	(a3)	Rail Transporters Regulated under 40 CFR 263.20(f)

Under 40 CFR 263.20(f)(1), initial rail transporters must sign and date the manifest acknowledging acceptance of the hazardous waste; return or transmit a signed copy of the manifest to the non-rail transporter; and forward at least three copies of the manifest to the next non-rail transporter, the designated facility, if the shipment is delivered to that facility by rail, or the last rail transporter designated to handle the waste in the US; and retain a copy of the manifest and rail shipping paper in accordance with 40 CFR 263.22.

Rail transporters must ensure that a shipping paper containing all the information required on the manifest (excluding the EPA ID numbers, generator certification, and signatures) and, for exports, a EPA Acknowledgment of Consent accompanies the hazardous waste at all times, as required by 40 CFR 263.20(f)(2).  When delivering hazardous waste to the designated facility, a rail transporter must obtain the date of delivery and signature of the owner or operator of the designated facility on the manifest, or a signature on the shipping paper (if the manifest has not been received by the facility) and retain a copy of the manifest or signed shipping paper, as required under 40 CFR 263.20(f)(3).  When delivering hazardous waste to a non-rail transporter, a rail transporter must obtain the date of delivery and the signature of the next non-rail transporter on the manifest and retain a copy of the manifest, as required under 40 CFR 263.20(f)(4).  Before accepting hazardous waste from a rail transporter, a non-rail transporter must sign and date the manifest and provide a copy to the rail transporter, as required by 40 CFR 263.20(f)(5).

      Data Items
          
A manifest.
A shipping paper containing all the information on the manifest, except the EPA ID numbers, the generator certification, and required signatures. 
An EPA Acknowledgment of Consent (for exports only).

      Respondent Activities
          
When accepting waste from a non-rail transporter, sign and date the manifest, as required by 40 CFR 263.20(f)(1)(i) and return or transmit a signed copy of the manifest to the non-rail transporter, as required by 40 CFR 263.20(f)(1)(ii).
Forward at least three copies of the manifest to either the next non-rail transporter, the designated facility, or the last rail transporter designated to handle the waste in the US, as required by 40 CFR 263.20(f)(1)(iii).
Ensure a shipping paper containing all the information required on the manifest excluding the EPA ID number, generator certification, and signatures (and for exports an Acknowledgment of Consent) accompanies the waste, as required under 40 CFR 263.20(f)(2).
When delivering hazardous waste to the designated facility or to the next non-rail transporter, obtain the signature and date of delivery of the facility or non-rail transporter on the manifest, as required under 40 CFR 263.20(f)(3)(i) or (f)(4)(i).
Retain a copy of the manifest and/or rail shipping paper, as required under 40 CFR 263.20(f)(1)(iv), 263.20(f)(3)(ii), 263.20(f)(4)(ii) and 263.22, as applicable.
Before accepting hazardous waste from a rail transporter, sign and date the manifest and provide a copy to the rail transporter, as required under 40 CFR 263.20(f)(5).

      (a4)	Transporters Who Import or Export Hazardous Wastes (40 CFR 263.20(g) & (i))

Under 40 CFR 263.20(g), transporters who either transport hazardous waste into (import) or out of (export) the US, must sign and date the manifest to indicate the date that the shipment arrived at (import) or left (export) the US, respectively; retain one copy in accordance with 40 CFR 263.22; for exports return a signed copy to the generator and provide a copy of the exported waste manifest to a US Customs official at the point of departure from the US.  In addition for exports, the transporter also must ensure that a copy of the EPA Acknowledgment of Consent accompanies the waste, as required by 40 CFR 263.20(a).

      Data Items

A manifest.
Shipping paper.
EPA Acknowledgment of Consent.

      Respondent Activities
      
For imports and exports, sign and date the manifest in the International Shipments block to indicate the date that the shipment entered or left the US, respectively, as required by 40 CFR 263.20(g)(1). 
For imports and exports, retain a copy of the manifest, as required by 40 CFR 263.20(g)(2).
For exports, return a signed copy of the manifest to the generator, as required by 40 CFR 263.20(g)(3).
For exports, give a copy of the manifest to a US Customs official at the point of departure from the US, as required by 40 CFR 263.20(g)(4).
For exports, ensure that copies of the manifest and EPA Acknowledgment of Consent accompanies the waste, as required by 40 CFR 263.20(a).	

      (a5)	Transporters Who Transport Hazardous Waste Pursuant to a Reclamation Agreement (263.20(h))

40 CFR 263.20(h) provides that transporters can be exempt from the requirements of 40 CFR 263.20 & 263.22 when transporting a SQG's waste pursuant to a reclamation agreement in accordance with 40 CFR 262.20(e).  These transporters are required to record data items on a log or shipping papers, carry the record to the reclamation facility, and retain these records, as required by 40 CFR 263.20(h).

      Data Items
          
A reclamation agreement that includes the following
The name, address, and EPA ID number of the hazardous waste generator.
The quantity of waste accepted.
All USDOT-required shipping information.
The date the waste is accepted. 
          
      Respondent Activities
      
Record the waste information on a log or shipping paper, as required by 40 CFR 263.20(h)(2).
Carry the record when transporting waste to the reclamation facility, as required by 40 CFR 263.20(h)(3).
Retain the records for at least three years after termination or expiration of the agreement, as required by 40 CFR 263.20(h)(4).

      (a6)	Undeliverable Shipments

Under 40 CFR 263.21(a), the transporter must deliver the entire quantity of hazardous waste which he has accepted from a generator or a transporter to the designated facility listed on the manifest; the alternate designated facility, the next designated transporter; or the place outside the US designated by the transporter.  40 CFR 263.21(b)(1) requires that, if the hazardous waste cannot be delivered in accordance with 40 CFR 263.21(a) because of an emergency condition other than rejection of the waste by the designated facility, then the transporter must contact the generator for further directions and must revise the manifest according to the generator's instructions. 

      Data Item
      
A manifest that has been revised according to the generator's instructions.
      
      Respondent Activity
      
Contact the generator for further directions and revise the manifest according to the generator's instructions.
      
      (a7)	Rejected Waste and Container Residues

Under 40 CFR 263.21(b)(2), if a hazardous waste is rejected or a container residue is identified by the designated facility listed on the manifest while the transporter is on the facility's premises, then the transporter must comply with the appropriate procedures:
Partial load rejections:  The transporter must obtain the facility's signature and date, the manifest tracking number of the new form, and a description/indication of the rejected waste in the discrepancy block on the original manifest.  The transporter must retain this copy of the manifest in accordance with 40 CFR 263.22 and give the remaining copies to the designated facility.  If the transporter is forwarding the shipment to the alternate facility or returning it the generator, the transporter must obtain the new manifest for the shipment.
Full load rejections or container residues: The transporter must obtain the original manifest that includes the facility's signature and date, name and address of the alternate facility or generator, and a description of the rejected load or container residue in the discrepancy block as appropriate.  The transporter must retain this copy of the manifest in accordance with 40 CFR 263.22 and give a copy to the facility.  If the original manifest is not used, then the transporter must obtain a new manifest for the shipment.

      Data Item
      
      	A manifest.
      
      Respondent Activities
       
For partially rejected loads made while the transporter is on site, obtain the amended manifest from the facility, keep a copy, and, if receiving the rejected waste, obtain the new manifest.
          
For fully rejected loads made or container residues identified while the transporter is on site, obtain the original manifest, as amended, from the facility.
       
	(b)	Notification of Discharge of Hazardous Waste

In the event of a discharge of hazardous waste during transportation, 40 CFR 263.30(a) requires the transporter to take appropriate immediate action to protect human health and the environment, for example, notifying local authorities.  40 CFR 263.30(c) requires an air, rail, highway, or water transporter who has discharged hazardous waste to give notice, if required by 49 CFR 171.15, to NRC and to report in writing to USDOT as required by 49 CFR 171.16.  40 CFR 263.30(d) requires a water (bulk shipment) transporter who has discharged hazardous waste to give the same notice as required by 33 CFR 153.203 for oil and hazardous substances, if not already required under 33 CFR 153.203.  Water (bulk shipment) transporters, as soon as they have knowledge of any discharge of hazardous waste, must immediately notify NRC, US Coast Guard, as required by 33 CFR 153.203.  If the direct reporting to the NRC is not practicable, reports may be made to the US Coast Guard or EPA predesignated OSC for the geographic area where the discharge occurs.  If it is not possible to notify the NRC or the predesignated OSC immediately, reports may be made immediately to the nearest US Coast Guard unit, provided the transporter notifies the NRC as soon as possible.

      Data Item
      
Notification of a discharge of hazardous waste.

      Respondent Activities
      
In the event of a discharge of hazardous waste during transportation, the transporter must take appropriate action to protect human health and the environment, including notification of the discharge to local authorities, as required by 40 CFR 263.30(a).
Water (bulk shipment) transporters must immediately notify NRC of the discharge or, if it is not practicable to notify the NRC, a predesignated OSC can be notified.  If the OSC is notified, the transporter must notify the NRC of the discharge as soon as possible, as required by 40 CFR 263.30(d) and 33 CFR 153.203. 
          
Designated Treatment, Storage and Disposal Facilities 

      (a)	Transmitting the Manifest and Reporting to EPA
      
      (a1)	Manifest Completion, Transmittal and Recordkeeping

40 CFR 264.71(a),(b) and 40 CFR 265.71(a),(b) set forth completion, transmittal, and recordkeeping requirements for TSDFs that receive hazardous waste accompanied by a manifest or shipping paper.  40 CFR 264.71(a),(b) and 40 CFR 265.71(a),(b) provide that, if a facility receives hazardous waste accompanied by a manifest (or shipping paper, for certain rail or water shipments), the TSDF or his/her agent must sign and date each copy of the manifest to certify that the hazardous waste covered by the manifest was received; note any significant discrepancies in the manifest on each copy; immediately return to the transporter a signed copy; within 30 days of delivery send a copy of the manifest to the generator or EPA's Office of Enforcement and Compliance Assurance (for imports); and retain a copy for at least three years from the date of delivery. 

      Data Item
      
Manifest.
Shipping paper.

      Respondent Activities 
      
Complete, transmit, and retain copies of the manifest, as required by 40 CFR 264.71(a),(b) or 40 CFR 265.71(a),(b) and the manifest instructions:
Enter the name of the person accepting the waste and sign and date each copy of the manifest (or shipping paper, if applicable).
Complete the management method codes.
Note any discrepancies (as defined in 40 CFR 264.72(a)) on each copy of the manifest (or shipping paper, if applicable).
Immediately give the transporter at least one copy of the manifest (or shipping paper).
Within 30 days of delivery, send a copy (Page 3) of the manifest to the generator.
If the facility receives hazardous waste imported from a foreign source, mail a copy of the manifest and documentation confirming EPA's consent to the import of hazardous waste to EPA's Office of Enforcement and Compliance Assurance (OECA). 
Retain a copy of the manifest (or shipping paper) for at least three years from the date of delivery.  
          
          [Note:  Although the noting of manifest or shipping paper discrepancies is mentioned above, it is burdened in the subsection entitled "Discrepancy Reports."]

	(a2)	Compliance with State Program Requirements

Under 40 CFR 264.71(e) and 40 CFR 265.71(e), TSDFs must determine whether the consignment State for a shipment regulates any additional hazardous wastes (beyond those regulated Federally).  TSDFs must also determine whether the consignment State or generator State requires the facility to submit any copies of the manifest to these States. 

      Data Item
      
Information provided by the State on its manifest program.

      Respondent Activities
      
Contact the consignment/generator State if needed and submit any copies of the manifest to these States, as applicable.

      (a3)	Discrepancy Reports

40 CFR 264.72 and 265.72 provide that, upon discovering a significant discrepancy, TSDFs must attempt to reconcile the discrepancy with the waste generator or transporter.  If the discrepancy is not resolved within 15 days after receiving the waste, the owner/operator must immediately submit to EPA a copy of the manifest or shipping paper in question, as well as a letter describing the discrepancy and attempts to reconcile it. 

      Data Items
          
A copy of the manifest or shipping paper in question.
A letter describing the manifest discrepancy and the facility's efforts to reconcile it.

      Respondent Activities
      
Attempt to reconcile any discrepancies, as required by 40 CFR 264.72(c) or 265.72(c).
Prepare and submit a letter to EPA describing the discrepancy and attempts to reconcile it, along with a copy of the manifest or shipping paper at issue, as required by 40 CFR 264.72(c) or 265.72(c).

      (b)	Rejected Waste and Container Residues

40 CFR 264.72 and 40 CFR 265.72 provide that the TSDF must forward rejected waste or container residues to an alternate facility that can accept the waste.  If the TSDF is unable to locate an alternate facility to take the waste, then the TSDF may return the shipment to the original generator.  40 CFR 264.72(d) through (g) and 40 CFR 265.72(d) through (g) describe manifest procedures for TSDFs that originate a rejected waste or container residue.

      (b1)	Rejection of Waste after the Transporter Leaves the Facility

For full or partial load rejections and residues that are to be sent off-site to an alternate facility or back to the generator after the transporter has left the facility, the facility is required to prepare a new manifest, as required by 40 CFR 264.72(d), (e)(1)-(6), or (f)(1)-(6) or 40 CFR 265.72(d), (e)(1)-(6), or (f)(1)-(6).

In addition, if a facility rejects a waste or identifies a container residue that exceeds the quantity limits for "empty" containers set forth in 40 CFR 261.7(b) after it has signed, dated, and returned  a copy of the manifest to the transporter, the facility must comply with 40 CFR 264.72(g) or 265.72(g).  The facility must amend its copy of the manifest to indicate the rejected wastes or residues in the discrepancy space of the amended manifest. The facility must also copy the manifest tracking number from Item 4 of the new manifest to the Discrepancy space of the amended manifest, and must re-sign and date the manifest to certify to the information as amended.  The facility must retain the amended manifest for at least three years from the date of amendment, and must within 30 days, send a copy of the amended manifest to the delivering transporter and to the generator.

      Data Items
          
Instructions provided by the generator.
Original manifest.
New manifest.
Shipping paper.

      Respondent Activities
      
Contact the generator to obtain the generator's instructions for forwarding the waste to another facility that can manage the waste, as required by 40 CFR 264.72(d) or 265.72(d).
Prepare a new manifest for rejected loads or container residues sent to the alternate designated facility or back to the generator:
Write the facility's EPA ID, name, and address in the appropriate blocks of the new manifest (i.e. Items 1 and 5), as required by 40 CFR 264.72(e)(1) or (f)(1) or 265.72(e)(1) or (f)(1).
Write the name of the alternate designated facility/initial generator and the facility's/generator's EPA ID number in the designated facility block (Item 8) of the new manifest, as required by 40 CFR 264.72(e)(2) or (f)(2) or 265.72(e)(2) or (f)(2).
Copy the manifest tracking number found in Item 4 of the old manifest to the Special Handling and Additional Information Block of the new manifest, and indicate that the shipment is a residue or rejected waste from the previous shipment, as required by 40 CFR 264.72(e)(3) or (f)(3) or 265.72(e)(3) or (f)(3).
Copy the manifest tracking number found in Item 4 of the new manifest to the manifest reference number line in the Discrepancy Block of the old manifest (Item 18a), as required by 40 CFR 264.72(e)(4) or (f)(4) or 265.72(e)(4) or (f)(4).
Write the USDOT description for the rejected load or the residue in the Item 9 (USDOT Description) of the new manifest and write the container types, quantity, and volume(s) of waste, as required by 40 CFR 264.72(e)(5) or (f)(5) or 265.72(e)(5) or (f)(5).
Sign the Generator's/Offeror's Certification to certify, as the offeror of the shipment, that the waste has been properly packaged, marked and labeled and is in proper condition, as required by 40 CFR 264.72(e)(6) or (f)(6) or 265.72(e)(6) or (f)(6).
Amend the facility's copy of the manifest to indicate the rejected wastes or residues in the discrepancy space of the amended manifest, as required by 40 CFR 264.72(g) or 265.72(g).
Copy the manifest tracking number from Item 4 of the new manifest to the Discrepancy space of the amended manifest, as required by 40 CFR 264.72(g) or 265.72(g).
Re-sign and date the manifest, as required by 40 CFR 264.72(g) or 265.72(g).
Retain the amended manifest for at least three years from the date of the amendment, as required by 40 CFR 264.72(g) or 265.72(g).
Within 30 days, send a copy of the amended manifest to the delivering transporter and to the generator, as required by 40 CFR 264.72(g) or 265.72(g).

	(b2)	Rejection of Waste while the Transporter Remains Present at the Facility

For container residues and full load rejections that are made while the transporter remains present at the facility, the facility may forward the shipment to the alternate facility or return the shipment to the generator using the original manifest, as specified in 40 CFR 264.72(e)(7) or (f)(7) or 40 CFR 265.72(e)(7) or (f)(7).

      Data Item
      
Original manifest.
Shipping paper.

      Respondent Activities
      
Contact the generator to obtain the generator's instructions for forwarding the waste to another facility that can manage the waste, as required by 40 CFR 264.72(d) or 265.72(d).
Complete Item 18a and 18b of the original manifest, as applicable, by supplying the information on the next destination facility or the generator in the Alternate Facility space.
Retain a copy of the manifest.
Give the remaining copies back to the transporter.

	(c)	Unmanifested Waste Report:  Completion and Submission

Pursuant to 40 CFR 264.76 and 265.76, if the TSDF accepts a hazardous waste for treatment, storage, or disposal from any off-site source without an accompanying manifest or a shipping paper as described in 40 CFR 263.20(e)(2), and the waste is not excluded from the manifest requirement, the facility owner/operator must prepare and submit a letter to EPA.

      Data Item
          
An unmanifested waste report that includes:
The EPA ID number, name, and address of facility.
The date the facility received the waste.
The EPA ID number, name, and address of generator and transporter, if available.
A description and quantity of each unmanifested hazardous waste the facility received.
The method of treatment, storage, or disposal for each hazardous waste.
The certification signed by the owner/operator of the facility or his authorized representative.
A brief explanation of why the waste was unmanifested, if known.

      Respondent Activity
      
Prepare and submit to EPA a letter of the unmanifested waste within 15 days after receiving the waste.

5.	AGENCY ACTIVITIES, COLLECTION METHODOLOGY & INFORMATION MANAGEMENT

The following subsections discuss how EPA will collect the information, what activities EPA will perform once the information has been received, and how EPA will manage the information it collects under the manifest system.  The subsections also include a discussion of how the information collection requirements will affect small entities.

5A.	Agency Activities

The Agency activities associated with the manifest requirements include the review of exception reports, discrepancy reports, and unmanifested waste reports.  The Agency reviews these reports to identify potentially non-compliant or otherwise unresolved activities that warrant Agency attention.  For example, upon receipt of an exception report, the Agency may conduct a follow-up investigation to assist the generator in locating the shipment.  The Agency keeps these reports on file.  In addition, EPA requires manifest form printers to register with EPA, as provided under 40 CFR 262.21.  The Agency will need to review, process, and keep records of the data submitted.  

5B.	Collection Methodology & Management

Under the registry, EPA will collect registrants' initial applications under 40 CFR 262.21(b) through the regular mail, although some registrants may voluntarily choose to send them by certified mail.  EPA will examine each application to ensure that the registrant takes appropriate steps to control its tracking numbers and print a quality manifest.  EPA will then request form samples from the registrant through the mail.  EPA will evaluate each registrant's form samples to ensure they satisfy the print specifications at 40 CFR 262.21(f).  EPA will then keep the forms on file for future reference.  EPA will post the name, manifest tracking number suffix, and contact information of each approved registrant on its web site, so that the general public is aware of who the approved registrants are, what suffixes have been approved, and how to contact registrants for forms.

In addition, EPA collects reports submitted by waste handlers under the manifest system (e.g., exception reports and discrepancy reports) through the regular mail, although some waste handlers may voluntarily choose to send them by certified mail.  EPA reviews the reports to understand the situation at issue and take follow up action as needed.  EPA keeps the files on record for future reference.

5C.	Small Entity Flexibility

The current regulations require both large and small quantity generators of hazardous waste to use the manifest to track shipments of hazardous waste.  However, the Agency has found that most small businesses do not generate hazardous waste either at all or in large enough quantities to make them subject to regulation and, therefore, are not affected by the manifest requirements.  Generators of less than 100 kg/month (conditionally exempt small quantity generators) are exempted from manifest requirements.  Also, EPA has exempted from the manifest requirements universal wastes (i.e., batteries, mercury thermostats, lamps, and pesticides, as specified), spent lead-acid batteries going for recycling, and used oil being recycled or burned for energy recovery.

      (1)	Contractual Reclamation Agreements

A small quantity generator (SQG) is exempt from the manifest requirements when his hazardous waste is reclaimed under a contractual agreement, and he complies with limited requirements, including recordkeeping of the contractual agreement, as required by 40 CFR 262.20(e)(2). 

      (2)	Exception Reports
      
The exception report requirements, under 40 CFR 262.42, for SQGs are less stringent than those for large quantity generators (LQGs).  A SQG is only required to submit to EPA a legible copy of the manifest with some indication he/she has not received confirmation of delivery and has 60 days to fulfill this requirement.  LQGs, on the other hand, are required to contact the transporter or facility owner/operator if he/she has not received a copy of the manifest within 35 days.  In addition, if 45 days have passed and the LQG still has not received a signed copy of the manifest, he/she must submit a copy of the manifest as well as a cover letter explaining the generator's efforts to locate the hazardous waste.  Hence, the exception report requirements for SQGs are not as burdensome. 
	
5D.	Collection Schedule

      (1)	Registry Document Collection:  Registrant Organizations

Before printing the manifest for use or distribution, registrants must submit an initial application, three fully assembled manifests, and a description of the form samples to EPA.  EPA will either approve the registrant to print the forms, or request modification to the application and/or samples before approval.  In addition, registrants that would like to use a new tracking number suffix, change the printing specifications of their manifest, use a new printer, or typeset their manifest subsequent to EPA approval to print the manifest must submit additional documentation (e.g., proposed suffix, manifest samples, brief description of the new printer's qualifications to print the manifest), as specified. 

Before an approved registrant can change its form in regard to paper type, paper weight, ink color of the instructions, or binding method, or before using a new printer, it must seek EPA approval by submitting new form samples and, if applicable, a description of the new printer.  Note, however, that a registrant may request an exemption from the requirement to submit form samples if the Agency is persuaded that a separate review of the registrant's forms would serve little purpose in informing an approval decision.  Any approved registrant wanting to update any information provided in its application must revise the application and submit it to EPA, along with an indication or explanation of the update, as soon as practicable after the change occurs.

Finally, an approved registrant must notify EPA by phone or email as soon as it becomes aware that it has duplicated manifest tracking numbers on forms that have been used or distributed.  The registrant must also provide information on its printing activities, if requested by EPA.

      (2)	Exception Reports Collection:  Generators

LQGs must submit exception reports to EPA within 45 days of the date the waste was accepted by the initial transporter, if he or she has not received a copy of the manifest signed by the TSDF.  SQGs must submit an abbreviated version of an exception report to EPA within 60 days.

      (3)	Manifests Returned to Generators: Designated TSDFs

Designated TSDFs must return a signed and dated copy of the manifest to the generator within 30 days after delivery of the waste.  If a facility receives hazardous waste imported from a foreign source, the receiving facility must mail a copy of the manifest and documentation confirming EPA's consent to the import of hazardous waste to the following address within thirty (30) days of delivery: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division (2254A), Environmental Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460.

      (4)	Discrepancy and Unmanifested Waste Report Collection:  Designated TSDFs

Designated TSDFs must submit discrepancy reports and unmanifested waste reports to EPA within 15 days of delivery of the waste to the TSDF.
            
6.	ESTIMATE OF BURDEN HOURS & COST

In this section, EPA estimates the total annual respondent and Agency hour and cost burden for all information collection requirements covered in this ICR.  Exhibits 1 through 17 provide estimates of the annual respondent burden associated with these information collection requirements.  Exhibit 18 presents the total aggregate annual cost burden to all respondents under the information collection requirements covered in this ICR.  Exhibit 19 estimates Agency hour and cost burden.  

These exhibits estimate burden over the next three years for the paper-based manifest system.  As discussed earlier, EPA is currently taking action to establish the national e-Manifest system, but unknown variables (e.g., funding contingencies for e-Manifest system development) could delay the actual deployment of the system. Therefore, until EPA announces that the e-Manifest system is available for use in a subsequent Federal Register document, all respondents under the information collection requirements covered in this ICR must continue to comply with the current paper-based manifest system and use the existing paper manifest forms for the off-site transportation of hazardous waste shipments.  

6A.	Estimating the Respondent Universe

Table 1 presents the annual number of respondents in this ICR.  To develop these estimates, EPA queried RCRAInfo to identify facilities that, for purposes of the National Biennial Report for reporting year 2013, were considered to be:  1) shippers; 2) receivers; 3) managers; and/or 4) generators.  EPA developed a list of facilities in each group that included their EPA ID numbers. Then, EPA took the following additional steps:
 
      * For LQGs, EPA examined GM Form data to identify LQGs and non-LQGs (i.e., SQGs/CESQGs) based on their generated quantity of hazardous waste.  EPA then compared the list of LQGs to the list of shippers and concluded that facilities whose EPA ID number appears on both lists are LQGs that shipped waste off-site.  Finally, EPA determined that 3% of LQGs are federally owned/operated based on Site ID Forms and removed them from this analysis, resulting in the estimate shown in Table 1.
 
      * For TSDFs acting as generators, EPA compared the list of managers (i.e., TSDFs) to the list of shippers and concluded that facilities whose EPA ID number appears on both lists are TSDFs that shipped waste off-site.  EPA determined that 7% of TSDFs are federally owned/operated based on Site ID Forms and removed them from this analysis.  Finally, EPA estimates that 25% of these TSDFs are commercial and 75% are captive, resulting in the estimates shown in Table 1.
         
      * For SQGs, EPA examined RCRAInfo data (e.g., notifications, Biennial Report data) to identify SQGs based on reported generator status and/or generated/shipped quantity of hazardous waste.  EPA then compared the list of SQGs to the list of shippers and concluded that facilities whose EPA ID number appears on both lists are SQGs that shipped waste off-site.  Finally, EPA determined that 3% of SQG shippers are federally owned/operated and removed them from this analysis, resulting in this ICR's estimate of SQGs.  Finally, EPA estimates that 18% of SQGs operate pursuant to a reclamation agreement under 40 CFR 262.20(e) and are exempt from the requirement for a manifest.  The remaining 82% do not operate under an agreement and are subject to the manifest requirements.  This resulted in the estimates shown in Table 1.
         
      * For transporters, EPA referred to census data of the U.S. Department of Commerce, U.S. Census Bureau under NAICS Code 562112 (Hazardous Waste Collection), all establishments.  EPA determined that 7% are federally owned/operated and removed them from this analysis, resulting in the estimate shown in Table 1.
         
      * For receivers (i.e., designated TSDFs), EPA referred to the number of facilities identified as "receivers" in the National Biennial Report for reporting year 2013.  ICF determined that 6% of managers are federally owned/operated based on Site ID Forms and removed them from this analysis, resulting in the estimate shown in Table 1.
 
                                    Table 1
                      Annual Number of Respondents in ICR
                                       
                              Type of Respondent
                         Annual Number of Respondents
Generators
      LQGs
                                    18,001
      Commercial TSDFs[a]
                                      234
      Captive TSDFs[a]
                                      703
      SQGs (without reclamation  agreements)[b]
                                    52,496
      SQGs (with reclamation agreements)[b]
                                    11,524
Total (Generators)
                                    82,958
Transporters
                                     471 
Designated TSDFs
                                      394
	aIn general, TSDFs qualify as either LQGs or SQGs.  However, EPA has found that TSDFs acting as generators often face burdens that are different from generators that are not TSDFs.  Therefore, EPA has broken them out separately for purposes of examining burden in this analysis.
      [b] EPA's estimate of SQGs is preliminary, as it is still refining the methodology and estimate.  SQGs shipping under a reclamation agreement pursuant to 40 CFR 262.20(e) are not subject to the requirement for a manifest.

Table 2 presents the average number of manifests that each type of generator will offer into transportation.  These averages are taken from the currently approved ICR.  The table also shows the total annual number of manifests completed by all generators.  In total, EPA estimates that generators will prepare and offer 1.41 million manifests into transportation on average annually. 

                                    Table 2
               Annual Number of Manifests Prepared by Generators

                               Type of Generator
                             Number of Generators
          Average Annual Number of Manifests Completed per Generator
                  Total Annual Number of Manifests Completed
LQGs
                                    18,001
                                      46
                                    828,046
Commercial TSDFs
                                      234
                                      347
                                    81,198
Captive TSDFs
                                      703
                                      36
                                    25,308
SQGs (operating without reclamation agreements)
                                    52,496
                                       9
                                    472,464
                                                                          Total
                                    71,434
                                     20[a]
                                   1,407,016
[a] This number was calculated by dividing the total annual number of manifests by the total number of generators.  It is presented for illustrative purposes only.  It does not appear in the exhibits.

6B.	Estimating Respondent Costs 	

Following is a discussion of respondent labor, capital and operation and maintenance (O&M) costs used in Exhibits 1 through 18.
	
Labor Costs

 EPA estimates an average hourly respondent labor cost of $ $96.98 for legal staff, $ $81.73 for managerial staff, $40.44 for technical staff, and $22.40 for clerical staff.  To derive these hourly estimates, EPA referred to the May 2014 National Occupational Employment and Wage Estimates published by the U.S. Bureau of Labor Statistics.  This publication summarizes the unloaded (base) hourly rate for major occupational groups.  EPA then applied a multiplier of 1.4845 to derive loaded hourly rates (including fringe and overhead).  Finally, EPA updated the loaded hourly rates to December 2014 levels using Employment Cost Indexes developed by the U.S. Bureau of Labor Statistics.

Capital Costs

Capital costs usually include any produced physical good needed to provide the needed information, such as machinery, computers, and other equipment.  For this ICR, capital costs include file cabinet costs.  As shown in Exhibit 18, EPA estimates the total average annual capital cost to all hazardous waste handlers under the manifest system, collectively, to be $340,622.  EPA took the following steps to derive the capital costs associated with the purchase of file cabinets:

          Estimate the total annual volume of paper manifests required to be retained by all waste handlers.  Under the manifest system, generators, transporters, and designated TSDFs must keep copies of manifests and other manifest-related documents for a period of three years.  Thus, at any given time during the effective period of this ICR, the hazardous waste industry is keeping paper copies of three years' worth of manifest-related documents.  In total, EPA estimates that waste handlers (i.e., generators, transporters, and designated TSDFs) will need to keep copies of 17,237,443 manifests and reports annually. 
          
          Ascertain the number of standard-size file cabinets that would provide the needed capacity and estimate aggregate cost to waste handlers.  EPA estimates that a standard-size, five-drawer, lateral file cabinet holds approximately 16,000 documents.  Thus, for storing 17,237,443 paper manifests and reports, waste handlers would need 1,077 file cabinets (i.e., 17,237,443/16,000) each year.  These 1,077 file cabinets represent the total capacity needed by the industry, collectively, to store all of its paper manifests and reports.  EPA estimates that the cost of one file cabinet is $829.99 and for all 1,077 file cabinets is $893,899.
          
          Annualize the aggregate cost of standard-size file cabinets using a net present value formula.  EPA used the following present value formula to annualize the cost of file cabinets over the three-year effective life of this ICR:
 
             Annualized Net Present Value = $893,899 x [1/(∑1/(1+k)[t])]
 
 			where 	k = discount rate of 7 percent;
                   t = life of equipment (3 years).
 
       In total, EPA estimates that the hazardous waste industry will need to pay an annual cost of $340,622 for the 1,077 file cabinets.
       
 Operation and Maintenance (O&M) Costs
 
 O&M costs are those costs associated with a paperwork requirement incurred continually over the life of the ICR.  They are defined by the Paperwork Reduction Act of 1995 as "the recurring dollar amount of costs associated with O&M or purchasing services."  For this ICR, O&M costs include:
 
Printing cost for sample manifests:  EPA estimates that respondents will incur a cost of $641 for each set of manifest form samples.  These respondents are expected to contract with a printing company.  Hence, the fee of $641 is considered a lump-sum cost.  This O&M cost was obtained from the previously approved ICR (i.e., EPA ICR Number 0801.18, dated January 2012), and updated to 2015 levels using Consumer Price Indexes developed by the Bureau of Labor Statistics.
          
Purchase blank paper manifest forms from EPA-registered printer:  EPA estimates that respondents will incur a cost of $0.42 for each blank paper manifest and $0.42  for each blank manifest continuation sheet they purchase from an EPA-registered printer , 
          
Mailing costs:  EPA estimates that respondents will incur a cost of $0.52 to mail a one-ounce package ($0.49 for postage and $0.03 for standard-size envelope),   EPA also estimates that respondents will incur a cost of $5.26 for mailing a larger package (i.e., a five-ounce package) by certified mail ($1.82 for postage, $3.30 for the certified-mail fee, and $0.14 for a catalog envelope)., ,   
          
Photocopying costs:  EPA estimates that respondents will incur a cost of $0.10 for each photocopy they make. 
          
Long distance telephone call costs:  EPA estimates that respondents will incur a cost of $2.00 for each long distance telephone call they make. 
    
6C.	Estimating Agency Hour and Cost Burden 	
 
 EPA estimates the Agency hour and cost burden associated with the information collection requirements covered in this ICR in Exhibit 19.
 
Labor Costs
 
 As shown in the exhibits, EPA estimates an average hourly labor cost of $88.30 for legal staff (GS-15, Step 5), $77.92 for managerial staff (GS-15, Step 1), $56.05 for technical staff (GS-13, Step 1), and $23.92 for clerical staff (GS-06, Step 1).  To derive these hourly estimates, EPA referred to the 2015 General Schedule (Base) for hourly rates.   This publication summarizes the unloaded (base) hourly rate for various labor categories in the Federal Government.  EPA then applied the standard government overhead factor of 1.6 to the unloaded rate to derive loaded hourly rates.
 
Capital Costs
 
 EPA anticipates that the Agency will not incur any significant capital costs under the current manifest system.  
       
 Operation and Maintenance Costs
 
For this ICR, EPA O&M costs include mailing costs associated with manifest registry activities.  EPA estimates that the Agency will incur a cost of $0.52 to mail a one-ounce package ($0.49 for postage and $0.03 for standard-size envelope).,   EPA also estimates that the Agency will incur a cost of $5.26 for mailing a larger package (i.e., a five-ounce package) by certified mail ($1.82 for postage, $3.30 for the certified-mail fee, and $0.14 for a catalog envelope)., ,   EPA O&M costs are shown in Exhibit 23 for all applicable activities.
 6D.	Estimating Respondent Hours and Costs
Refer to Section 6A of this document for many of the assumptions reflected in the exhibits.
      
      (a)	Registrant Organization Requirements

      (a1)	Reading the Regulations

Exhibit 1 presents the total annual hour and cost burden to registrant organizations in reading the manifest regulations at 40 CFR 262.21.  EPA expects that on average, one registrant organization will read 40 CFR 262.21 regulations each year.

      (a2)	Applying to the Registry

EPA estimates that each year, one entity will register with EPA to print its own forms.  

      (a3)	Updating General Information in the Approved Application

EPA estimates that, each year, three registrant organizations will revise and submit their approved application to EPA, along with an indication or explanation of the update, under 40 CFR 262.21(h)(1).  

      (a4)	Requesting Approval for a New Tracking Number Suffix

EPA estimates that no approved registrant organization will request a new tracking number suffix during the 3-year period covered by this ICR.  Because each manifest tracking number consists of the three-letter suffix and nine digits, each registrant will be able to generate more than 999 million forms using its original suffix.  EPA does not expect a registrant to request a new suffix for many years.
                  
      (a5)	Requesting Approval for Changes to Printing Specifications or Use of a New Printer

EPA estimates that one registrant organization annually will request approval for changes to its form or for the use of a new printer under 40 CFR 262.21(e).

      (a6) 	Typesetting the Manifest Form Subsequent to its Approval

EPA estimates that no registrant organization will typeset its manifest form, instead of using the electronic file of the forms provided by EPA, during the 3-year period covered by this ICR.  Upon approval of a registrant's application under 40 CFR 262.21(c), EPA will provide it with an electronic file of the manifest, continuation sheet, and instructions and ask it to use these files to develop the forms.  In its consultations, EPA found that printers intend to share these files among their printing establishments so that none will need to typeset the form.  Typesetting the form would be unappealing to registrants because of the level of effort required in comparison with using the electronic files.

      (a7) 	Requesting an Exemption
      
EPA estimates that no registrant organizations will submit a request for an exemption under 40 CFR 262.21(j).  EPA expects each registrant to be forward looking when originally registering under 40 CFR 262.21(b) through (e), and carefully select the appropriate paper type, paper weight, and other aspects of the form.  
      
      (a8)	Notifying EPA of a Printing Specification Violation

EPA estimates that one registrant organization will notify EPA that it has duplicated tracking numbers on forms used or distributed to other parties.  Registrants must print their forms according to their approved applications, which will lay out procedures for tightly controlling their tracking numbers and ensuring that each manifest has a unique number.  
      
      (a9)	Revising the Approved Manifest if Requested by EPA

EPA estimates that no registrant organization will need to submit revised manifest form samples, per EPA's request, during the 3-year period covered by this ICR.  EPA will carefully review each registrant's forms under 40 CFR 262.21(e) to determine if they satisfy the requirements of 40 CFR 262.21(f).  EPA does not expect to identify problems in forms that have been approved.  




      (a10)	Responding to Suspension and Revocation Procedures

EPA does not expect to conduct suspension or revocation procedures during the 3-year period covered by this ICR.  The registration process under 40 CFR 262.21(b) through (e) will ensure that each approved registrant is capable of tightly controlling its tracking numbers and printing forms consistent with the approved samples and the print specifications.  Therefore, EPA anticipates it will rarely invoke its suspension and revocation procedures.
      
      (b)	Generator Requirements

      (b1)	Reading the Regulations

Exhibit 2 presents the total annual hour and cost burden to hazardous waste generators in reading the manifest regulations at 40 CFR Part 262.  EPA expects that each generator will read the 40 CFR Part 262 regulations each year. 

      (b2)	Manifest Completion

Exhibits 3 and 4 present the total annual hour and cost burden for generators to complete their manifests.  The exhibits reflect the fact that designated TSDFs often provide assistance to their generator customers in preparing manifests for shipments to their facility.  For purposes of analysis, this ICR assumes that a percentage of LQGs and SQGs rely on the designated TSDFs' assistance in manifest preparation, while the remaining LQGs and SQGs, as well as all TSDFs acting as generators, prepare their manifests themselves, as follows:

Completing the Manifest without the Assistance of Designated TSDF:  Based on consultations with hazardous waste generators and the States, EPA estimates that about 58% of LQG manifests and 20% of SQG manifests accompanying hazardous waste shipments are prepared without the assistance of the designated TSDF.  This is reflected in Exhibit 3.  In addition, EPA estimates that about 5% of manifests include continuation sheets.
          
Completing the Manifest With the Assistance of Designated TSDF: As discussed, EPA recognizes that many LQGs and SQGs rely on the assistance of the designated TSDF to complete the manifest form.  Because the designated TSDF normally fills out most of the manifest form for the generator, the collaborative effort significantly reduces the burden on generators.  Based on its consultations, EPA estimates that about 42% of manifests from LQGs and 80% of manifests from SQGs are jointly completed with the designated TSDF.  This is reflected in Exhibit 4.  [Note:  Refer to Exhibit 14 for the hour and cost burden for designated TSDFs to assist LQGs and SQGs in completing their manifests.]




















































      (b3)	Compliance with State Program Requirements

40 CFR 262.21(g)(2) provides that generators must determine whether they are required to comply with requirements specific to State hazardous waste manifest programs.  As shown in Exhibit 5, EPA assumes that each generator must contact, on average, three State manifest programs each year.  Because these activities are performed to learn about state-specific requirements and not the federal program, they are not burdened in this ICR.

	(b4)	Manifest Transmittal and Recordkeeping

As shown in Exhibit 6, EPA estimates that LQGs, TSDFs acting as generators, and SQGs will send 3% of their manifests with water shipments and 6% with rail shipments.  In addition, EPA estimates that 11,524 SQGs ship their hazardous waste off-site under a reclamation agreement, pursuant to 40 CFR 262.20.  These SQGs are exempt from the requirement for a manifest but must keep a copy of the contractual agreement under which their hazardous waste is shipped to the recycling facility.  

      (b5)	Undeliverable Shipments

Based on consultations as shown in Exhibit 7, EPA estimates that roughly 0.10% of shipments cannot be delivered to the designated TSDF each year.  Generators must provide instructions to the transporter on how to deal with these shipments, as required by 40 CFR 262.20(d) and 262.54(g)(3).

      (b6)	Rejected Waste and Container Residues

As shown in Exhibit 8, EPA estimates that, each year, a small percentage of shipments initiated by generators will be rejected by designated TSDFs and sent back to the generator.  Upon receipt of the rejected shipments, generators must sign the manifest that accompanies the rejected load or residue.    

      (b7)	Exception Reports:  Completion, Submission, and Recordkeeping

EPA estimates that, on average, LQGs, TSDFs acting as generators, and SQGs will need to develop an exception report under 40 CFR 262.42 for approximately 0.7% of the manifests sent off-site.  This assumption is reflected in Exhibit 9.

      (c)	Transporter Requirements

	(c1)	Reading the Regulations

As shown in Exhibit 10, there are reportedly 471 hazardous waste transporter companies subject to the RCRA manifest system.  EPA expects that each company will read the manifest regulations once a year.


























      (c2)	Manifest Completion, Transmittal, and Recordkeeping
      
Exhibit 11 examines the manifesting hour and cost burden for transporters transporting domestic and international shipments of hazardous waste.  EPA estimates that, of the manifests completed and transmitted each year for domestic and import shipments, approximately 91% will accompany highway shipments, 3% will accompany water shipments, and 6% will accompany rail shipments.  In addition, Exhibit 11 shows the number of manifest accompanying export shipments, import shipments, undelivered shipments, and rejected shipments and container residues.

	(c3)	Notification of Discharge of Hazardous Waste
      
Based on the Statistical Abstract of the United States, EPA estimates that approximately 15,000 accidents per year involve transporters of hazardous substances.  EPA has used its best judgment to estimate that 5% of these accidents involve transporters of hazardous waste annually (i.e., hazardous waste is a subset of hazardous substances).  These transporters will be required to notify local authorities of the discharge as required under 40 CFR 263.30.  This is reflected in Exhibit 12.

In addition, based on data from the National Response Center (NRC), EPA estimates that the NRC receives approximately 4,500 notifications of marine source incidents for discharges of oil or hazardous substances annually.  NRC data also indicate that about 66% of these incidents involved oil discharges and 33% involved hazardous substances discharges.  Of the discharges of hazardous substances, EPA estimates that 5% involve water transporters transporting hazardous waste.  These transporters must notify NRC or EPA under 33 CFR Part 153.  The purpose of 33 CFR Part 153 is to prescribe regulations concerning notification to the US Coast Guard of the discharge of oil or hazardous substances as required by the Federal Water Pollution Control Act, as amended; the procedures for the removal of a discharge of oil; and the costs that may be imposed or reimbursed for the removal of a discharge of oil or hazardous substances.
      
      (d)	Designated Treatment, Storage, and Disposal Facility Requirements
      
      (d1)	Reading the Regulations

Based on EPA's 2009 RCRA Hazardous Waste Biennial Report (BR) data, EPA estimates that 394 designated TSDFs receive off-site shipments of hazardous waste each year.  As shown in Exhibit 13, EPA expects that each facility will read the manifest regulations once a year.
      
      (d2)	Completing the Manifest (assisting the generators)

Exhibit 14 presents EPA's estimates that approximately 42% and 80% of manifests from LQGs and SQGs, respectively, are completed jointly with the designated TSDF.  In addition, EPA estimates that 5% of these manifests include continuation sheets.  


























      (d3)	Transmitting the Manifest and Reporting to EPA

Exhibit 15 presents the burden to designated TSDFs for receiving and completing manifests that are not rejected and that do not result in a container residue.  
      
      (d4)	Compliance with State Program Requirements

40 CFR 264.71(e) and 265.71(e) provides that TSDFs must determine whether they are required to comply with requirements specific to State hazardous waste manifest programs.  EPA assumes that each TSDF must contact, on average, three State manifest programs each year.  Because these activities are performed to learn about state-specific requirements and not the federal program, they are not burdened in this ICR. This is reflected in Exhibit 15.	

	(d5)	Discrepancy Reports

As reflected in Exhibit 15, EPA estimates that approximately 25% of manifests accepted by the designated TSDF require reconciling discrepancies between the manifest data and the shipment (e.g. by phoning the generator).  EPA further estimates that about 0.4% of manifests accepted by the designated TSDF will require a discrepancy report under 40 CFR 264.72 or 265.72.  
      
      (d6)	Rejected Waste and Container Residues
      
Exhibit 16 shows the number of rejected loads and container residues each year.  It shows that a small percentage of loads and residues will be rejected or identified after the transporter has left the designated TSDF's premises, whereas others will be rejected or identified while the transporter is still on the designated TSDF's premises.  Finally, it shows that the designated TSDF will forward some of these shipments to an alternate TSDF.  [See Exhibit 8 for shipments returned to the generator.]
      
      (d7)	Unmanifested Waste Reports:  Completion and Submission

As reflected in Exhibit 17, EPA estimates that the manifest will get lost or destroyed during transportation for 0.01% of shipments.  The designated TSDF will be required to notify the Agency of these un-manifested waste shipments, as required under 40 CFR 264.76 or 265.76.

6E.	Bottom Line Burden Hours & Cost

Respondent Tally

The total number of respondents estimated for this collection is 83,500. This number was gathered by adding up the Total Generators in Table 1, 82,958, with the Total Transporters, 471. The total respondent tally is 82,958+471= 83,429. This 83,429 number was rounded up to 83,500.

Exhibit 18 shows the aggregate annual hour and cost burden to respondents.  As shown in the exhibit, EPA estimates the annual respondent burden to be 2,555,959 hours and $85,553,718.  The bottom line burden to respondents over three years is estimated to be 7,667,877 hours and $256,661,154. 









      Agency Tally

Exhibit 19 shows the annual Agency hour and cost burden associated with all the requirements covered in this ICR.  As shown in this exhibit, EPA estimates the annual Agency burden to be 13,070 hours and $783,162.  The bottom line burden to the Agency over three years is estimated to be 39,210 hours and $2,349,486.

6F.	Reasons for Change in Burden

The currently approved Manifest ICR, Number 801.19, estimates an annual respondent burden of  3,473,577 hours.  This ICR, Number 801.20, estimates an annual respondent burden of 2,555,959 hours, which is a 917,618-hour decrease from the currently approved ICR.  This decrease resulted primarily from a decrease in the annual number of generators preparing manifests.  ICR 801.19 estimates 161,720 generators preparing manifests, whereas ICR 801.20 estimates 71,434 generators preparing manifests.  Table 3 presents a side-by-side comparison of these estimates.

       Table 3.  Annual Number of Generators Preparing Manifests in ICR
                                       
                                  Generators
                                  ICR 801.19
                                  ICR 801.20
LQGs
                                    14,381
                                    18,001
Commercial TSDFs[a]
                                      367
                                      234
Captive TSDFs[a]
                                     1,101
                                      703
SQGs
                                    145,871
                                   52,496[b]
Total
                                    161,720
                                    71,434
[a] In general, TSDFs qualify as either LQGs or SQGs.  However, EPA has found that TSDFs acting as generators often face burdens that are different from generators that are not TSDFs.  Therefore, EPA has broken them out separately for purposes of examining burden in this analysis.
[b] This estimate is preliminary, as EPA is still refining its methodology and estimate.

The number of generators preparing manifests is a key estimate because it affects the estimated number of manifests transmitted, completed, and retained by all waste handlers (i.e., generators, transporters, and designated TSDFs) in the manifest cycle.  This in turn impacts these handlers' estimated manifest burden.  ICR 801.19 estimates that 1.88 million manifests are prepared, transmitted and retained by waste handlers annually, whereas ICR 801.20 estimates 1.41 million manifests annually.  

In preparing ICR 801.20, EPA updated and improved its respondent estimation methodologies, which contributed to the change in the number of generators.  In general, EPA's updated methodologies utilized a wider range of data sources (e.g., Biennial Report, 3010 notifications, Part A submittals) to identify facilities potentially subject to RCRA.  EPA then verified that these facilities are currently operating and shipping waste by cross-checking multiple data sets using their respective EPA identification numbers.  This verification step helped to screen out facilities that have gone out of business or stopped shipping hazardous waste and to make other needed refinements to the estimates.    This verification step was not used in the previous methodology. Finally, EPA utilized more reliable methods for determining generator classifications (e.g., LQGs vs. SQGs).

6G.	Burden Statement
      
The annual public reporting and recordkeeping burden for this collection of information is estimated to average 1 hour and 45 minutes per response.  Burden means the total time, effort, and financial resources expended by persons to generate, maintain, retain, disclose, or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. 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 and 48 CFR Chapter 15.  
      
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, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. EPA-HQ-RCRA-2014-0925, which is available for online viewing at www.regulations.gov, or in person viewing at the RCRA Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC.  The EPA/DC 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 Reading Room is (202) 566-1744, and the telephone number for RCRA Docket is (202) 566-0270.  An electronic version of the public docket is available at www.regulations.gov.  This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically.  When in the system, select "search," then key in the Docket ID Number identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include the EPA Docket ID Number EPA-HQ-RCRA-2014-0925 and OMB Control Number 2050-0039 in any correspondence.
