
[Federal Register Volume 81, Number 228 (Monday, November 28, 2016)]
[Rules and Regulations]
[Pages 85696-85729]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-27428]



[[Page 85695]]

Vol. 81

Monday,

No. 228

November 28, 2016

Part II





 Environmental Protection Agency





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40 CFR Parts 260, 261, 262, et al.





Hazardous Waste Export-Import Revisions; Final Rule

  Federal Register / Vol. 81 , No. 228 / Monday, November 28, 2016 / 
Rules and Regulations  

[[Page 85696]]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 260, 261, 262, 263, 264, 265, 266, 267, 271 and 273

[EPA-HQ-RCRA-2015-0147; FRL-9947-74-OLEM]
RIN 2050-AG77


Hazardous Waste Export-Import Revisions

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: The Environmental Protection Agency (EPA) is amending existing 
regulations regarding the export and import of hazardous wastes from 
and into the United States. EPA is making these changes to: Provide 
greater protection to human health and the environment by making 
existing export and import related requirements more consistent with 
the current import-export requirements for shipments between members of 
the Organization for Economic Cooperation and Development (OECD); 
enable electronic submittal to EPA of all export and import-related 
documents (e.g., export notices, export annual reports); and enable 
electronic validation of consent in the Automated Export System (AES) 
for export shipments subject to RCRA export consent requirements prior 
to exit. The AES resides in the U.S. Customs and Border Protection's 
Automated Commercial Environment (ACE).

DATES: This final rule is effective on December 31, 2016. The 
compliance dates for the various new and updated provisions in this 
action can be found in section II.D. The incorporation by reference of 
certain publications listed in the regulations is approved by the 
Director of the Federal Register as of December 31, 2016.

ADDRESSES: The EPA has established a docket for this action under 
Docket ID No. EPA-HQ-RCRA-2015-0147. All documents in the docket are 
listed on the http://www.regulations.gov Web site. Although listed in 
the index, some information is not publicly available, e.g., CBI or 
other information whose disclosure is restricted by statute. Certain 
other material, such as copyrighted material, is not placed on the 
Internet and will be publicly available only in hard copy form. 
Publicly available docket materials are available electronically 
through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Laura Coughlan, Materials Recovery and 
Waste Management Division, Office of Resource Conservation and Recovery 
(5304P), Environmental Protection Agency, 1200 Pennsylvania Avenue NW., 
Washington, DC 20460; telephone number: (703) 308-0005; email address: 
coughlan.laura@epa.gov.

SUPPLEMENTARY INFORMATION: The information presented in this preamble 
is organized as follows:

I. General Information
    A. List of acronyms used in this action
    B. Does this action apply to me?
    C. What is the agency's authority for taking this action?
II. Background
    A. History and summary of the proposed rule
    B. Rationale for the final rule
    C. Summary of the final rule
    D. Compliance dates for the final rule
III. Detailed Discussion of the Final Rule
    A. Consolidation of hazardous waste import and export 
requirements consistent with current OECD procedures
    B. Transition from paper-based to electronic port procedures 
under ITDS for RCRA waste exports subject to notice and consent
    C. Conversion of paper submittals for imports and exports to 
electronic submittals using EPA's Waste Import Export Tracking 
System
    D. Availability of Electronic Reporting
    E. Changes to hazardous waste manifest requirements for import 
and export shipments
    F. Additional requirements for recognized traders arranging for 
hazardous waste imports or exports
    G. Incorporation by reference of OECD waste lists
    H. Conforming Changes to Parts 260, 262 through 267, 271, and 
273
    I. Related Proposed Rulemaking
IV. State Authorization
    A. Applicability of Rules in Authorized States
    B. Effect on State Authorization
V. Statutory and Executive Order Reviews
    A. Executive Order 12866: Regulatory Planning and Review and 
Executive Order 13563: Improving Regulation and Regulatory Review
    B. Paperwork Reduction Act (PRA)
    C. Regulatory Flexibility Act (RFA)
    D. Unfunded Mandates Reform Act (UMRA)
    E. Executive Order 13132: Federalism
    F. Executive Order 13175: Consultation and Coordination with 
Indian Tribal Governments
    G. Executive Order 13045: Protection of Children from 
Environmental Health Risks and Safety Risks
    H. Executive Order 13211: Actions Concerning Regulations that 
Significantly Affect Energy Supply, Distribution, or Use
    I. National Technology Transfer and Advancement Act (NTTAA)
    J. Executive Order 12898: Federal Actions to Address 
Environmental Justice in Minority Populations and Low-Income 
Populations
    K. Executive Order 13659: Streamlining the Export/Import Process 
for America's Businesses
    L. Congressional Review Act

I. General Information

A. List of Acronyms Used in This Action

------------------------------------------------------------------------
                 Acronym                              Meaning
------------------------------------------------------------------------
ACE.....................................  Automated Commercial
                                           Environment.
AES.....................................  Automated Export System.
AOC.....................................  Acknowledgment of Consent
                                           (issued by EPA).
CBI.....................................  Confidential Business
                                           Information.
CBP.....................................  United States Customs and
                                           Border Protection.
CDX.....................................  Central Data Exchange.
CEC.....................................  Commission for Environmental
                                           Cooperation.
CERCLA..................................  Comprehensive Environmental
                                           Response, Compensation, and
                                           Liability Act.
CFR.....................................  Code of Federal Regulations.
CROMERR.................................  Cross-Media Electronic
                                           Reporting Regulation.
CRT.....................................  Cathode Ray Tube.
CY......................................  Calendar Year.
EPA.....................................  United States Environmental
                                           Protection Agency.
FR......................................  Federal Register.
FTR.....................................  U.S. Census Bureau's Foreign
                                           Trade Regulations.
HSWA....................................  Hazardous and Solid Waste
                                           Amendments.
ICR.....................................  Information Collection
                                           Request.
ITDS....................................  International Trade Data
                                           System.
ITN.....................................  Internal Transaction Number
                                           (issued by AES).
LAB.....................................  Lead-Acid Battery.
NAICS...................................  North American Industrial
                                           Classification System.
NCEDE...................................  Notice and Consent Electronic
                                           Data Exchange.
NTTAA...................................  National Technology Transfer
                                           and Advancement Act.
NAFTA...................................  North American Free Trade
                                           Agreement.
OECD....................................  Organization for Economic
                                           Cooperation and Development.
OLEM....................................  Office of Land and Emergency
                                           Management.
OMB.....................................  Office of Management and
                                           Budget.
RCRA....................................  Resource Conservation and
                                           Recovery Act.
RFA.....................................  Regulatory Flexibility Act.
SIC.....................................  Standard Industrial
                                           Classification.
SLAB....................................  Spent Lead-Acid Battery.
UMRA....................................  Unfunded Mandates Reform Act.
WIETS...................................  Waste Import Export Tracking
                                           System.
------------------------------------------------------------------------
 

B. Does this action apply to me?

    The revisions to export and import requirements in this action 
generally affect four (4) groups: (1) All persons

[[Page 85697]]

who export or import (or arrange for the export or import) hazardous 
waste for recycling or disposal, including those hazardous wastes 
subject to the alternate management standards for (a) universal waste 
for recycling or disposal, (b) spent lead-acid batteries (SLABs) being 
shipped for reclamation, (c) industrial ethyl alcohol being shipped for 
reclamation, (d) hazardous waste samples of more than 25 kilograms 
being shipped for waste characterization or treatability studies, and 
(e) hazardous recyclable materials being shipped for precious metal 
recovery; (2) all recycling and disposal facilities who receive imports 
of such hazardous wastes for recycling or disposal; (3) all persons who 
export or arrange for the export of conditionally excluded cathode ray 
tubes being shipped for recycling; and (4) all persons who transport 
any export and import shipments described above. Potentially affected 
entities may include, but are not limited to:

------------------------------------------------------------------------
               NAICS code                       NAICS description
------------------------------------------------------------------------
211....................................  Oil and Gas Extraction.
212....................................  Mining (except Oil and Gas).
213....................................  Support Activities for Mining.
311....................................  Food Manufacturing.
324....................................  Petroleum and Coal Products
                                          Manufacturing.
325....................................  Chemical Manufacturing.
326....................................  Plastics and Rubber Products
                                          Manufacturing.
327....................................  Nonmetallic Mineral Product
                                          Manufacturing.
331....................................  Primary Metal Manufacturing.
332....................................  Fabricated Metal Product
                                          Manufacturing.
333....................................  Machinery Manufacturing.
334....................................  Computer and Electronic Product
                                          Manufacturing.
335....................................  Electrical Equipment,
                                          Appliance, and Component
                                          Manufacturing.
336....................................  Transportation Equipment
                                          Manufacturing.
339....................................  Miscellaneous Manufacturing.
423....................................  Merchant Wholesalers, Durable
                                          Goods.
424....................................  Merchant Wholesalers,
                                          Nondurable Goods.
441....................................  Motor Vehicle and Parts
                                          Dealers.
482....................................  Rail transportation.
483....................................  Water transportation.
484....................................  Truck transportation.
488....................................  Support Activities for
                                          Transportation.
531....................................  Real Estate.
541....................................  Professional, Scientific, and
                                          Technical Services.
561....................................  Administrative and Support
                                          Services.
562....................................  Waste Management and
                                          Remediation Services.
721....................................  Accommodation.
924....................................  Administration of Environmental
                                          Quality Programs.
------------------------------------------------------------------------

    This table is not intended to be exhaustive, but rather provides a 
guide for readers regarding entities likely to be regulated by this 
action. This table lists the types of entities that EPA is now aware 
could potentially be regulated by this action. Other types of entities 
not listed in the table could also be regulated. If you have questions 
regarding the applicability of this final rule to a particular entity, 
consult the person listed in the FOR FURTHER INFORMATION CONTACT 
section. Information on the estimated future economic impacts of this 
action is presented in section V of this preamble, as well as in the 
Regulatory Impact Analysis available in the docket for this action.

C. What is the agency's authority for taking this action?

    EPA's authority to promulgate this rule is found in sections 1002, 
2002(a), 3001-3004, and 3017 of the Solid Waste Disposal Act, as 
amended by the Resource Conservation and Recovery Act (RCRA), and as 
amended by the Hazardous and Solid Waste Amendments, 42 U.S.C. 6901 
et.seq., 6912, 6921-6924, and 6938.

II. Background

A. History and Summary of the Proposed Rule

    On October 19, 2015, EPA proposed revisions to the current RCRA 
regulations governing imports and exports of hazardous waste and 
certain other materials in part 262 in order to improve protection of 
public health and the environment (80 FR 63284). First, we proposed to 
consolidate the hazardous waste import and export regulations so that 
one set of protective requirements, equivalent to the regulations 
currently in title 40 of the Code of Federal Regulations (CFR) Part 262 
Subpart H implementing the Organization for Economic Cooperation and 
Development (OECD) Council Decision controlling transboundary movements 
of recyclable hazardous waste, would apply to all imports and exports 
of hazardous waste. Second, we proposed to mandate electronic reporting 
to EPA to make the process more efficient and to enable increased 
sharing of hazardous waste import and export data with state programs, 
the general public, and individual hazardous waste exporters and 
importers. Third, we proposed to require validation of the consent to 
export as part of the electronic export information submitted to U.S. 
Customs and Border Protection (CBP) to provide for more efficient 
compliance monitoring of hazardous waste export shipments. Fourth, we 
proposed to require matching of waste stream level consent numbers with 
waste streams listed on the Resource Conservation and Recovery Act 
(RCRA) hazardous waste manifests for import and export shipments. 
Lastly, we proposed to require EPA identification (ID) numbers for 
those recognized traders \1\ arranging for export or import of 
hazardous waste. For a more detailed description of the proposed 
revisions, as well as the intended benefits of each revision, please 
see Sections I.D, III and IV of the proposed rule (80 FR 63284).
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    \1\ As defined in the final rule, a recognized trader is a 
person domiciled in the United States, by site of business, who acts 
to arrange and facilitate transboundary movements of wastes destined 
for recovery or disposal operations, either by purchasing from and 
subsequently selling to United States and foreign facilities, or by 
acting under arrangements with a United States waste facility to 
arrange for the export or import of the wastes.
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    The comment period for the proposed rule closed on December 18, 
2015. The Agency received thirteen unique sets of comments in response 
to its October 19, 2015 proposal. Of the thirteen unique comments, 
three were submitted anonymously, one was submitted by the State of 
Hawaii's Hazardous Waste Section, three were submitted by individual 
companies, two were submitted by transportation industry associations, 
three were submitted by waste treatment related industry associations, 
and one was submitted by a battery industry association. Most 
commenters supported requiring OECD procedures for all hazardous waste 
imports and exports and the proposed electronic reporting requirements. 
But a few commenters expressed varying levels of concern about the 
readiness of EPA's Waste Import Export Tracking System (WIETS), and the 
time needed to learn to use the completed system prior to being 
required to submit documents using the system. In addition, questions 
were raised by one commenter concerning how the Automated Export 
System, EPA's WIETS, and EPA's e-Manifest system would work together. 
After considering all the submitted comments, and recognizing that the 
modifications to EPA's WIETS are not yet completed, we are finalizing 
the revisions largely as proposed, but with several additional features 
that affect the timing of various provisions. First, we have 
established a transition period to minimize the impacts of applying 
OECD procedures and EPA ID requirements to those existing export and 
import shipments occurring under the terms of a consent issued by EPA 
prior to the effective date of this action. This will

[[Page 85698]]

allow persons exporting or importing shipments with Canada, Chile, 
Mexico, or any non-OECD country \2\ pursuant to an EPA issued consent 
to continue to operate under the requirements in effect when the 
consent was issued until the consent expires, after which they would be 
required to comply with the new procedures. The final rule also 
includes the addition of delayed implementation for various electronic 
reporting requirements to EPA using EPA's WIETS, until a future 
electronic import-export reporting compliance date to be announced in a 
separate Federal Register notice. Lastly, the final rule includes the 
addition of a transition period prior to the required filing of EPA 
information into the Automated Export System (AES) for export 
shipments, during which either paper processes or electronic processes 
at the port may be used until a future AES filing compliance date, also 
to be announced in a separate Federal Register notice which may or may 
not be combined with the previously mentioned Federal Register notice.
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    \2\ Transboundary shipments of hazardous waste with Canada, 
Chile, Mexico or any non-OECD country were previously subject to the 
export requirements of 40 CFR part 262 Subpart E or the import 
requirements of 40 CFR part 262 Subpart F, and not to the previous 
version of 40 CFR part 262 Subpart H.
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B. Rationale for the Final Rule

    Proposed changes to clarify and streamline requirements and convert 
paper submittals to electronic submittals arose in part from the 
Agency's periodic retrospective reviews of existing regulations, as 
called for by Executive Order 13563. Other proposed revisions to 
replace the paper process for export shipments at the port with an 
electronic process were needed in order to fulfill the direction set 
forth in Executive Order 13659 concerning the electronic management of 
international trade data by the U.S. Government as part of the 
International Trade Data System (ITDS). Lastly, EPA proposed making all 
hazardous waste imports and exports subject to the OECD procedures to 
address concerns and recommendations to strengthen individual shipment 
oversight in both the 2013 Commission for Environmental Cooperation \3\ 
(CEC) report \4\ on the export and recycling of spent lead-acid 
batteries (SLABs) within North America and the 2015 EPA Office of 
Inspector General (OIG) report \5\ on hazardous waste imports.
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    \3\ The Commission for Environmental Cooperation (CEC) is an 
international organization created by Canada, Mexico and the United 
States under the North American Agreement on Environmental 
Cooperation (NAAEC). The CEC was established, among other things, to 
address regional environmental concerns, help prevent potential 
trade and environmental conflicts, and to promote the effective 
enforcement of environmental law. The Agreement complements the 
environmental provisions of the North American Free Trade Agreement 
(NAFTA). More information on the CEC is available on its Web site at 
www.cec.org.
    \4\ http://www.cec.org/Storage/149/17479_CEC_Secretariat-SLABs_Report_may7_en_web.pdf.
    \5\ ``EPA Does Not Effectively Control or Monitor Imports of 
Hazardous Waste,'' July 6, 2015, available online at http://www.epa.gov/sites/production/files/2015-09/documents/oigreportonhwimports015_0.pdf.
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    As discussed in the proposed rule, EPA proposed applying OECD 
procedures to strengthen its oversight of such transboundary shipments 
of hazardous waste, as the harmonized OECD and Basel procedures are 
widely accepted as the international standard of control for such 
shipments. Transboundary waste shipments have a higher risk of being 
misdirected due to the increased number of custodial transfers, and the 
entry and exit procedures (and associated temporary storage) at the 
ports and border crossings for the countries of export, transit and 
import. Transboundary waste shipments to unapproved destination 
facilities are at the highest risk of mismanagement.
    Under OECD-based procedures, prior notice and consent is required 
if either the exporting or importing country control the hazardous 
waste shipment as an export or import of hazardous waste. This allows 
the country or countries that control the shipment as hazardous waste 
to review the proposed import or export for compliance with domestic 
laws and regulations prior to any actual shipment. In cases where the 
proposed shipment would not comply with domestic laws or regulations or 
where there might be an issue with the proposed receiving facility, the 
importing country may deny consent, thus preventing a shipment to a 
facility that does not have the capacity to manage the waste properly.
    For example, a foreign company recently proposed to ship unused 
methyl bromide to the U.S. for recycling, but import of methyl bromide 
into the U.S. for anything other than destruction is prohibited under 
the Clean Air Act. In a separate notice, a different foreign company 
proposed to ship SLABs to a facility in the U.S. for recycling, but the 
destination facility listed in the notice was not authorized to recycle 
SLABs. In each of the examples, EPA being able to review the proposed 
import for compliance with U.S. laws and regulations prior to any 
actual shipment prevented shipments that would have not complied with 
one or more regulations from entering the country. Preventing such non-
compliant hazardous waste shipments through requiring consent for all 
hazardous waste imports is more efficient than trying to inspect all 
incoming shipments at every port, consistent with EPA's NextGen 
principles \6\ thus protecting the health and environment for U.S. 
citizens.
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    \6\ https://www.epa.gov/compliance/next-generation-compliance.
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    In cases where only one of the countries control the proposed 
shipment as an import or export shipment of hazardous waste, the OECD 
procedures are to be followed by the country that controls the shipment 
as an import or export of hazardous waste. This ensures that the 
country is able to review the proposed import or export prior to actual 
shipment, and that the proper transport and management of the 
individual waste shipment occurs as approved.
    When the proposed shipment would comply with domestic laws or 
regulations and the importing country consents, an international 
movement document must accompany the shipment from the starting site in 
the country of export to the destination site in the country of import, 
and copies of the signed movement document must be sent by the 
destination facility to the exporter and to the countries of export, 
import, and transit that respectively control the shipment as an 
export, import or transit of hazardous waste to confirm receipt of the 
shipment. Such confirmation reduces the risk of a shipment being 
misdirected to a country or facility not approved to receive the 
shipments for disposal or recovery. The confirmation of receipt also 
highlights any incident where the shipment is interrupted or 
misdirected, as the exporter and competent authorities will not receive 
the confirmation from the approved destination facility within expected 
timeframes. Lastly, the confirmation of receipt provides documentation 
for both the exporter and the countries of import and export that the 
shipment in fact went to the approved recycling or disposal facility.
    Once received at the approved facility, management (i.e., treatment 
and

[[Page 85699]]

disposal, recovery) of each shipment is required to be completed within 
one year of shipment delivery, and the destination facility must send 
confirmation of completing such management back to the exporter and to 
the competent authorities of the countries of export and import that 
respectively control the shipment as an export or import of hazardous 
waste. This requirement minimizes the risk of speculative accumulation 
or abandonment of the waste shipments, and decreases the potential for 
associated damage to human health and the environment.
    As discussed in Section II(B)(4) of the proposed rule, historically 
the overwhelming majority of the hazardous waste import and export 
shipments into and out of the United States occur with Canada and 
Mexico, both of which are member countries of the OECD. Canadian 
regulations already require U.S. exporters and receiving facilities to 
comply with OECD requirements through contract terms, and Canadian 
regulations requires Canadian exporters to comply with OECD 
requirements, including notice and consent, if the United States 
controls the planned shipment as an import of hazardous waste. More 
recently, only 26 export shipments and 111 import shipments out of the 
54,152 hazardous waste import and export shipments in 2011 were between 
the United States and non-OECD countries. Only 84 import shipments out 
of the 53,376 hazardous waste import and export shipments in 2014 were 
between the United States and non-OECD countries. Additionally, almost 
all of the specific non-OECD countries from which the United States 
received import shipments in 2011 or 2014 (i.e., the Bahamas, Bermuda, 
the Dominican Republic, Malaysia, the Netherland Antilles, the 
Philippines, Singapore, Syria) and the specific non-OECD countries to 
which the United States shipped export shipments in 2011 (i.e., Peru, 
the Philippines) are Party to the Basel Convention \7\ and the OECD 
procedures have been harmonized with the Basel procedures. Thus, the 
requirements established in this action will make U.S. requirements 
more consistent with those of our trading partners.
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    \7\ The Basel Convention on the Control of Transboundary 
Movements of Hazardous Wastes and their Disposal is a comprehensive 
global environmental agreement on hazardous and other wastes. The 
Convention has 181 Member countries, also known as Parties, and aims 
to protect human health and the environment against the adverse 
effects that may result from the generation, management, 
transboundary movements and disposal of hazardous and other wastes. 
The United States is a signatory, but has not yet ratified the 
Convention. More information on the Basel Convention may be found at 
www.basel.int.
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    EPA notes that the OECD recovery and disposal operations include 
operations that would not be generally allowable under domestic RCRA 
management requirements. The definitions of disposal operations and 
recovery operations in Sec.  262.81 reflect the complete OECD list of 
operations, and several operations listed solely in Canadian import-
export regulations to accurately harmonize operations listed in notices 
with those of Canada and other OECD countries. If the recovery or 
disposal operation listed in a notice proposing shipment of a hazardous 
waste to the U.S. for recovery or disposal is not allowed under RCRA, 
EPA will object to the notice on that basis. The inclusion of the 
complete list of OECD and Canadian-specific recovery and disposal 
operations in Sec.  262.81 does not make such operations allowable 
within the United States if RCRA does not allow such management.
    Lastly, EPA would like to re-affirm that the existing U.S.-Canada 
bilateral agreement, the U.S.-Mexico bilateral agreement, and the three 
import-only bilateral agreements between the United States and 
Malaysia, Costa Rica, and the Philippines remain in place and are not 
affected by these revisions. While the revisions change the applicable 
requirements for hazardous waste shipments with these countries, these 
additional requirements are fully consistent with the bilateral 
agreements.

C. Summary of the Final Rule

    This section provides a brief overview of this final rule and 
describes the major ways in which this rule differs from the proposal. 
For a more detailed description and justification of the changes in 
this final rule, see Section III of this preamble.
    Largely as proposed, this final rule removes and reserves 40 CFR 
part 262 Subparts E and F, and expands the applicability of a 
reorganized and clarified 40 CFR part 262 Subpart H to all hazardous 
waste transboundary shipments, including those import and export 
shipments of universal waste managed under 40 CFR part 273 (or the 
authorized State equivalent) and specific hazardous wastes (e.g., spent 
lead-acid batteries) managed under the alternate standards of 40 CFR 
part 266 (or authorized State equivalent). Exporters of hazardous waste 
shipments, and the transporters carrying such shipments, to Canada, 
Chile, Mexico and any non-OECD country will be required to comply with 
OECD procedures under new or renewed consents issued after the 
effective date of this action. Importers and receiving facilities of 
hazardous waste shipments, and the transporters carrying such 
shipments, from Canada, Chile, Mexico and any non-OECD country 
similarly will be required to comply with OECD procedures under new or 
renewed consents issued to either the foreign exporter or the U.S. 
importer after the effective date of this action. As required by OECD 
procedures and originally implemented in 40 CFR 262.82(g), EPA is 
finalizing the proposed text in Sec. Sec.  261.4(d), 261.4(e), and 
262.82(d) applying the OECD limit of 25 kilograms to all excluded 
hazardous waste sample import and export shipments. This limit applies 
in addition to the conditions for the sample exclusions at 40 CFR 
261.4(d) and 40 CFR 261.4(e). EPA notes that for treatability samples, 
the lower of the limits listed in the existing Sec.  261.4(e)(2)(ii) 
and new Sec.  261.4(e)(4) would apply. For example, treatability 
samples of acute hazardous wastes to be imported or exported as 
excluded samples could be no more than 1 kg.
    However, in contrast to the proposed rule, any existing export and 
import shipments with consents issued prior to the effective date of 
this action will only be required to comply with the terms of the 
consent and the original Part 262 subparts E or F based requirements in 
effect at the time the consents were issued until the relevant consent 
periods expire. The requirement for recognized traders arranging for 
import or export to obtain EPA ID numbers will be similarly phased in, 
in that those traders with consents issued prior to the effective date 
of this action will be able to continue managing the shipments 
occurring under those consents without having to immediately obtain an 
EPA ID number, and recognized traders will only be required to obtain 
an EPA ID number prior to arranging for any new or renewed consents to 
import or export hazardous waste on or after the effective date of this 
action.
    Also in contrast to the proposed rule, electronic reporting to EPA 
using EPA's WIETS, or its successor system, will be phased in over a 
period of time to give EPA more time to complete and fully test a 
number of the electronic documents prior to requiring their use. Only 
electronic submittal of new export notices for hazardous waste or 
cathode ray tubes (CRTs) for recycling using EPA's WIETS will be 
required on the effective date of this action. Export annual reports 
for hazardous waste and CRTs for recycling will be required to be 
electronically submitted after a full calendar year of electronic-only 
AES filing has been required. The one-calendar-year period is necessary

[[Page 85700]]

because the AES data for exported shipments will be used in EPA's WIETS 
to build the draft export annual reports and EPA will need one full 
calendar year of this information in order to produce the appropriate 
draft export annual report for the exporter's review. The exporter will 
then have the opportunity to make any changes to reflect any return or 
rejection made subsequent to the AES filing for each shipment. 
Electronic submittal to EPA of the remaining seven import and export 
documents will not be required until after EPA completes and fully 
tests the electronic documents with the help of volunteer exporters, 
foreign facilities, importers, and receiving facilities. EPA will 
announce the future electronic import-export reporting compliance date 
for those submittals in a separate Federal Register notice. Paper 
submittals will be required from the effective date of this action 
until the electronic submittals are required for each of the following: 
Export annual reports, export exception reports, import notices, and 
receiving facility notifications of the need to arrange alternate 
management or return of an individual import shipment. No submittals to 
EPA will be required for each of the following, until the electronic 
import-export reporting compliance date (on or after which electronic 
submittal of these documents to EPA using EPA's WIETS, or its successor 
system, will be required): Export confirmations of receipt, export 
confirmations of recovery or disposal, import confirmations of receipt, 
and import confirmations of recovery or disposal. Finally, the final 
rule clarifies that electronic storage in EPA's WIETS of electronically 
submitted documents will satisfy EPA's recordkeeping requirements, so 
long as copies are readily available for viewing and production if 
requested by any EPA or authorized state inspector, and that the 
submitter will not be held liable for the inability to produce such 
documents for inspection if the inability to produce the document is 
due exclusively to technical difficulty with EPA's Waste Import Export 
Tracking System (WIETS), or its successor system, for which the 
submitter bears no responsibility.
    Largely as proposed, EPA is requiring electronic filing in AES for 
each export shipment. However, the future AES filing compliance date 
will be announced in a separate Federal Register notice in order to 
give exporters and their authorized agents more time to revise their 
filing software and fully test out the procedures, consistent with the 
approach being used by CBP with other government agencies. Because the 
AES filing procedures related to validating consent to export a 
shipment are a new requirement, only a limited number of the exporters 
and authorized agents were able to test file in a pilot the additional 
information and validate their consents for individual hazardous waste 
export shipments as part of their current AES filing procedures prior 
to the effective date of this action. We are therefore establishing a 
transition period during which exporters may choose to comply with 
either the electronic AES filing procedures or the paper-based 
procedures at the port. EPA will coordinate with CBP on the selection 
of the AES filing compliance date, which will be announced in a 
separate Federal Register notice. On or after the AES filing compliance 
date, all exporters of hazardous waste and cathode ray tubes for 
recycling will be required to comply with the AES filing requirements.
    The revisions to RCRA hazardous waste manifest-related requirements 
for hazardous waste export and import shipments are also being 
finalized largely as proposed with only a few changes. Exporters and 
receiving facilities will be required to list the consent number for 
each waste listed in the manifest from the effective date of this 
action, but the regulatory text no longer specifies exactly where on 
the manifest the consent numbers must be added. Also in contrast with 
the proposed rule, the final rule has removed the inadvertently 
proposed duplicate submittal of paper import manifests to both the e-
Manifest system and EPA's International Compliance Assurance Division 
so that submittal of paper import manifests to EPA's International 
Compliance Assurance Division is required only until the receiving 
facility can mail the manifest to the e-Manifest system per Sec. Sec.  
264.71(a)(2)(v)/265.71(a)(2)(v). EPA is not finalizing the regulatory 
language proposed in Sec. Sec.  262.83(a)(5) and (6). These provisions 
had included instructions for the exporter to obtain a confirmation of 
receipt from the foreign facility and for the exporter to provide 
direction to the transporter in cases when the shipment was rejected by 
the foreign facility. This regulatory language had been in the original 
manifest instructions under 40 CFR part 262 subpart E. However, EPA is 
elsewhere finalizing similar requirements such that Sec. Sec.  
262.83(a)(5) and (6) are redundant. Specifically, Sec.  
262.83(d)(2)(xv) requires the exporter to direct the foreign facility 
to confirm receipt of each shipment, Sec.  262.83(f)(3)(i) requires 
contract terms to direct the foreign facility to inform the exporter if 
the shipment cannot be managed according to the consent, Sec.  
262.83(e) requires the exporter to arrange for the return of the waste 
as needed, and Sec.  262.83(h) requires the exporter to file an 
exception report as needed. Lastly, the proposed deletion of the 
requirement for transporters to give a copy of the signed and dated 
manifest to the U.S. customs official at the point of departure from 
the United States has been amended to reflect the transition period 
prior to the AES filing compliance date during which the exporter may 
choose to either electronically file EPA information in AES or follow 
the existing paper-based process at the port. During the transition 
period, exporters will be required to inform the transporter whether 
they have chosen to follow paper-based processes so that the 
transporter will know whether he or she is required to give a copy of 
the paper manifest to the U.S. customs official. On or after the 
electronic AES filing compliance date, no transporter will be required 
to give a copy of a paper manifest to the U.S. customs official.
    Finally, at this time EPA is not finalizing any limits to the 
number of hazardous waste codes that can be listed to characterize a 
hazardous waste in export notices, import notices, or export annual 
reports due to concerns raised by commenters (see response to comment 
document for more details).

D. Compliance Dates for the Final Rule

    This final rule is effective on December 31, 2016. Section 3010(b) 
of RCRA allows EPA to promulgate a rule with an effective date shorter 
than six months when other good cause is found and published with the 
regulation. Under Executive Order 13659, agencies are required to have 
capabilities, agreements, and other requirements in place by December 
31, 2016, to utilize the ITDS and supporting systems, such as the 
Automated Export System or its successor system, as the primary means 
of receiving from users the standard set of data and other relevant 
documentation (exclusive of applications for permits, licenses, or 
certifications) required for the release of imported cargo and 
clearance of cargo for export. In order to comply with Executive Order 
13659, the effective date must therefore be December 31, 2016.
    EPA is, however, cognizant of the impact these changes will have on 
those companies or individuals currently exporting or importing 
hazardous waste

[[Page 85701]]

under the terms of a consent issued by EPA. As a result, as discussed 
earlier in this preamble, any consent that was issued by EPA prior to 
December 31, 2016 for a hazardous waste export or import will remain in 
effect for the remaining period of consent, and the 40 CFR part 262 
based requirements that existed at the time the consent was issued will 
remain in effect until the 12-month consent period expires. A copy of 
those requirements has been placed in the docket. With the exception of 
filing in the Automated Export System (AES) for each hazardous waste 
export shipment and listing consent numbers matched to each hazardous 
waste listed on the RCRA manifest for each hazardous waste import and 
export shipment, exporters, importers and receiving facilities in the 
U.S. that intend to renew their consent to export or import hazardous 
wastes will have the remaining consent period to amend their contracts 
or equivalent arrangements with their foreign counterparts and 
transporters, obtain an EPA ID number as needed, register in EPA's 
Central Data Exchange (CDX) system, and otherwise prepare to comply 
with the requirements based on OECD procedures and the relevant 
electronic reporting requirements. Any proposed exports or imports of 
hazardous waste, and export or import shipments of hazardous waste 
samples that are greater than 25 kilograms that have not yet received 
consent to ship prior to December 31, 2016, will be subject to the 
revised export and import requirements on December 31, 2016, as 
appropriate.
    Hazardous waste exporters with existing consents, or their 
authorized agents, will be required to file the additional information 
into AES, or its successor system, for each export shipment initiated 
on or after the future AES filing compliance date in accordance with 
the existing pre-departure filing deadlines in 15 CFR 30.4(b). 
Exporters of excluded cathode ray tubes for recycling will be subject 
to similar AES filing conditions for each export shipment initiated on 
or after the AES filing compliance date. For export shipments occurring 
prior to the AES filing compliance date, hazardous waste exporters will 
have to either ensure compliance with the existing paper-based process 
at the port or use the AES electronic filing procedures. For hazardous 
waste exporters choosing to use the paper-based process prior to the 
AES filing compliance date, paper documentation of consent (i.e., a 
copy of the AOC letter for shipments previously subject to Part 262 
subpart E, or a paper movement document for shipments previously 
subject to Part 262 subpart H) must accompany each export shipment, and 
for those hazardous waste export shipments that are required to be 
manifested, the transporter for each shipment will have to give a copy 
of the signed and dated manifest to the customs official at the port or 
border crossing.
    With respect to electronically submitting import and export related 
documents to EPA using WIETS or its successor system, actual 
implementation depends upon when the EPA's system will be ready (i.e., 
completion of the individual electronic documents in WIETS), and in the 
case of electronic export annual reports, on EPA having a calendar year 
of electronic AES filing data upon which to build each draft electronic 
export annual report in WIETS for the exporter to review and amend as 
necessary prior to electronically signing and submitting to EPA.
    Export notices requesting initial consent or renewal of consent for 
hazardous wastes and for CRTs proposed to be exported for recycling 
will be required to be submitted to EPA electronically using EPA's 
WIETS on the effective date of this action.
    Export annual reports for hazardous wastes and for CRTs exported 
for recycling will be required to be submitted to EPA electronically 
using EPA's WIETS by March 1 of the year after the AES filing 
compliance date, as all exporters will have been required to file in 
AES, or its successor system, for at least the previous calendar year. 
For hazardous waste export annual reports submitted prior to that date, 
exporters will be required to submit either a paper export annual 
report or, for those exporters who chose to comply with the optional 
AES electronic filing requirements for all export shipments made the 
previous calendar year, an electronic export annual report using EPA's 
WIETS. For CRT export annual reports submitted prior to March 1 of the 
year after the AES filing compliance date, exporters will be required 
to submit a paper export annual report to EPA.
    Because EPA has not yet completed the electronic versions of the 
export exception report, export confirmation of receipt, export 
confirmation of recovery or disposal, import notification, import 
confirmation of receipt, import confirmation of recovery or disposal, 
or the receiving facility notification of the need to arrange alternate 
management or return of an import shipment, electronic submittal of 
these documents will not be required until a future electronic import-
export reporting compliance date that will be announced in a separate 
Federal Register notice. Until that future electronic import-export 
reporting compliance date, paper versions of the export exception 
reports, import notices, and receiving facility notifications of the 
need to arrange alternate management or return of an import shipment 
will be required to be submitted to EPA via mail or hand delivery. 
Copies of the export confirmation of receipt and export confirmation of 
recovery or disposal will not be required to be submitted to EPA in 
paper form prior to the future electronic import-export reporting 
compliance date, but exporters will be required to make such 
confirmations available to EPA or an authorized State inspector upon 
request. Copies of the import confirmation of receipt and import 
confirmation of recovery or disposal similarly will not be required to 
be submitted to EPA in paper form prior to the future electronic 
import-export reporting compliance date, but receiving facilities will 
be required to make such confirmations available to EPA or an 
authorized State inspector upon request.
    The compliance dates for the various major provisions with respect 
to import and export shipments occurring under consents issued by EPA 
prior to the effective date of this action are summarized in the table 
below:

[[Page 85702]]



----------------------------------------------------------------------------------------------------------------
                                                                  Compliance date for      Compliance date for
                                                                  existing  shipments      existing  shipments
                                       Compliance date for new    with Canada, Mexico,      with OECD country
Major regulatory provisions  in final   or  renewing shipments   Chile, or any non-OECD     other than Canada,
                 rule                   requiring  consent on      country  occurring        Mexico or  Chile
                                        or after  December 31,    under consent issued   occurring under consent
                                                 2016               by EPA prior to       issued by EPA prior to
                                                                   December 31, 2016         December 31, 2016
----------------------------------------------------------------------------------------------------------------
                  For Exports of Hazardous Waste Managed under Part 262, Part 266 or Part 273:
----------------------------------------------------------------------------------------------------------------
Recognized traders must obtain EPA ID  12/31/2016.............  Recognized trader may    Recognized trader may
 number prior to arranging for export                            continue managing        continue managing
 (262.12(d)).                                                    shipments occurring      shipments occurring
                                                                 under consent issued     under consent issued
                                                                 prior to 12/31/16        prior to 12/31/16
                                                                 until consent period     until consent period
                                                                 ends without EPA ID      ends without EPA ID
                                                                 number, but may not      number, but may not
                                                                 arrange renewal or new   arrange renewal or new
                                                                 exports without EPA ID   exports without EPA ID
                                                                 number.                  number.
Exporters must establish/amend         12/31/2016.............  When consent period      When consent period
 contracts or equivalent arrangements                            ends; if requesting      ends; if requesting
 to include items listed in 262.83(f).                           renewal of existing      renewal of existing
                                                                 shipments, should        shipments, should
                                                                 establish/amend          establish/amend
                                                                 contract during          contract during
                                                                 existing period of       existing period of
                                                                 consent so in place      consent so in place
                                                                 prior to submitting      prior to submitting
                                                                 export notice for        export notice for
                                                                 renewal.                 renewal.
Exporters must submit export notice    12/31/2016.............  N/A; submittal of        N/A; submittal of
 or renotification with all required                             notice only required     notice only required
 OECD items electronically into EPA's                            for new or renewing      for new or renewing
 WIETS (262.83(b)).                                              export shipments.        export shipments.
Until future AES filing compliance     12/31/2016; either AES   Same...................  Same.
 date EPA will establish in a           filing or paper
 separate FR notice, exporters must     process at port
 either file in AES for every           required for each
 shipment to validate consent and       shipment until future
 provide manifest tracking number as    AES filing compliance
 appropriate, or must ensure paper      date; AES filing
 proof of consent accompanies           required thereafter.
 shipment (i.e., AOC or international
 movement document) and paper
 manifest is given by transporter to
 U.S. customs official at point of
 departure; after that date,
 exporters must file in AES for every
 shipment (262.83(a)(6)).
Exporters must prepare and provide     12/31/2016.............  12/31/2016.............  12/31/2016.
 RCRA manifest for every shipment,
 listing waste stream consent numbers
 matched to each listed waste
 (262.83(c)).
Exporters must prepare and provide     12/31/2016.............  when consent period      required per previous
 international movement document for                             ends.                    Part 262 Subpart H.
 every shipment (262.83(d)).
Last U.S. transporter must sign and    12/31/2016.............  required per previous    required per previous
 date manifest at port for every                                 Part 262 Subpart E.      Part 262 Subpart H.
 shipment, keep copy for records and
 send back copy to generator; prior
 to future AES filing compliance date
 must give copy of paper manifest to
 U.S. customs official at point of
 departure if instructed to do so by
 exporter per 262.83(a)(6)(i)(B)(2)
 (263.20(g)(4)(ii)).

[[Page 85703]]

 
Foreign facilities must (per contract  12/31/2016; no paper     when consent period      Confirmation of receipt
 terms) send confirmation of receipt    submittal to EPA;        ends; confirmation of    using movement
 using international movement           electronic submittal     receipt required per     document required per
 document to U.S. exporter, country     to EPA required to be    previous Part 262        previous Part 262
 of import and any countries of         in contract for          Subpart E.               Subpart H.
 transit that control the shipments     shipments occurring on
 as hazardous, and for shipments        or after future
 occurring on or after future           electronic import-
 electronic import-export reporting     export reporting
 compliance date, to EPA                compliance date.
 electronically into EPA's WIETS
 using international movement
 document within 3 days of shipment
 delivery (262.83(d)(2)(xv) and
 262.83(f)(4)).
When shipment must be managed at       12/31/2016.............  when consent period      required per previous
 alternate facility in the country of                            ends.                    Part 262 Subpart H.
 import or another country, or
 returned to the U.S., the exporter
 must ensure such arrangements. If
 the waste must be returned, the
 exporter must provide for the return
 of the hazardous waste shipment
 within ninety days from the time the
 country of import informs EPA of the
 need to return the waste or such
 other period of time as the
 concerned countries agree
 (262.83(e)).
Exporter must submit exception report  12/31/16; paper          paper submittal          paper submittal
 to EPA within 30 days (or 1 day        submittal to EPA         required per previous    required per previous
 prior to return shipment start) if     required until future    Part 262 Subpart E.      Part 262 Subpart H.
 the exporter does not get copy of      electronic import-
 manifest noting actual departure       export reporting
 within 45 days of shipment pickup,     compliance date;
 or if the exporter does not get        electronic submittal
 confirmation of receipt within 90      to EPA required
 days of initial shipment pickup, or    thereafter.
 if the foreign facility notifies the
 exporter of the need to return
 shipment to U.S. or arrange
 alternate management (262.83(h)).
Foreign facilities must (per contract  12/31/2016; no paper     when consent period      paper submittal
 terms) send confirmation of recovery   submittal to EPA;        ends.                    required per previous
 or disposal no later than 30 days of   electronic submittal                              Part 262 Subpart H.
 completing management of shipment      to EPA using EPA's
 and no later than one year after       WIETS required to be
 shipment delivery to exporter,         in contract for
 country of import if it controls the   shipments on or after
 shipment as hazardous waste, and for   future compliance date
 shipments occurring on or after        for electronic filing.
 future electronic import-export
 reporting compliance date, to EPA
 using EPA's WIETS (262.83(f)(5)).

[[Page 85704]]

 
Foreign facilities that performed      12/31/2016; no paper     when consent period      paper submittal
 interim recovery or disposal           submittal to EPA;        ends.                    required per previous
 operations must (per contract terms)   electronic submittal                              Part 262 Subpart H.
 promptly send confirmation of final    to EPA using EPA's
 recovery or disposal that it           WIETS required to be
 receives from final recovery or        in contract for
 disposal facility no later than        shipments on or after
 after final facility receives          future electronic
 shipment to exporter, country of       import-export
 import if it controls the shipment     reporting compliance
 as hazardous waste, and for            date.
 shipments occurring on or after
 future electronic import-export
 reporting compliance date, to EPA
 using EPA's WIETS (262.83(f)(6)).
Exporters must submit export annual    12/31/2016; until one    paper submittal          paper submittal
 report with all OECD items to EPA by   year after AES filing    required per previous    required per previous
 March 1 detailing actual shipments     compliance date,         Part 262 Subpart E       Part 262 Subpart H.
 made the previous calendar year        exporter must either     (with the exception of
 (262.83(g)).                           submit paper report to   OECD-only items).
                                        EPA or submit
                                        electronically to EPA
                                        using EPA's WIETS if
                                        exporter has filed in
                                        AES for all shipments
                                        made the previous
                                        calendar year;
                                        electronic submittal
                                        to EPA using EPA's
                                        WIETS required
                                        thereafter.
Exporters must keep each record for 3  12/31/2016.............  12/31/16; recordkeeping  12/31/16; recordkeeping
 years, may keep electronically                                  of paper records         of paper records
 submitted documents in EPA's WIETS,                             required under           required under
 providing documents are made                                    previous Part 262        previous Part 262
 available to EPA or authorized State                            Subpart E.               Subpart H.
 inspector upon request (262.83(i)).
----------------------------------------------------------------------------------------------------------------
                             For Exports of Excluded Cathode Ray Tubes for recovery:
----------------------------------------------------------------------------------------------------------------
Exporters must submit export notice    12/31/2016.............  N/A; submittal of        N/A; submittal of
 or renotification electronically                                notice only required     notice only required
 using EPA's WIETS (261.39(a)(5)(ii),                            for new or renewing      for new or renewing
 261.39(a)(5)(vi)).                                              export shipments.        export shipments.
Exporters must file in AES for every   Optional to file in AES  same...................  same.
 shipment to validate consent on or     from 12/31/2016 until
 after a future AES filing compliance   future AES filing
 date (261.39(a)(5)(v)).                compliance date;
                                        required to file in
                                        AES thereafter.
Exporters must submit export annual    12/31/2016; paper        same...................  same.
 reports to EPA (261.39(a)(5)(xi)).     submittal to EPA prior
                                        to one year after
                                        future AES filing
                                        compliance date;
                                        electronic submittal
                                        to EPA using EPA's
                                        WIETS thereafter.
Exporters must keep each record for 3  12/31/2016.............  12/31/16; recordkeeping  12/31/16; recordkeeping
 years, may keep electronically                                  of paper records         of paper records
 submitted documents in EPA's WIETS,                             required previously.     required previously.
 providing documents are made
 available to EPA or authorized State
 inspector upon request
 (261.39(a)(5)(ix), 261.39(a)(5)(xi)).
----------------------------------------------------------------------------------------------------------------

[[Page 85705]]

 
            For Exports or Imports of Excluded Samples for Characterization or Treatability Studies:
----------------------------------------------------------------------------------------------------------------
Mass of excluded sample to be          12/31/2016; samples      12/31/2016; samples      12/31/2016; samples
 exported to a foreign lab or           exceeding 25 kg must     exceeding 25 kg must     exceeding 25 kg must
 imported to a U.S. lab must be no      follow export or         follow export or         follow export or
 more than 25 kg and comply with all    import requirements in   import requirements in   import requirements in
 other conditions of sample             Part 262 Subpart H.      Part 262 Subpart H.      Part 262 Subpart H.
 exclusions (262.82(d), 261.4(d),
 261.4(e)).
----------------------------------------------------------------------------------------------------------------
                  For Imports of Hazardous Waste Managed under Part 262, Part 266 or Part 273:
----------------------------------------------------------------------------------------------------------------
Recognized traders must obtain EPA ID  12/31/2016.............  Recognized trader may    Recognized trader may
 number prior to arranging for import                            continue managing        continue managing
 (262.12(d)).                                                    shipments occurring      shipments occurring
                                                                 under consent issued     under consent issued
                                                                 prior to 12/31/16        prior to 12/31/16
                                                                 until consent period     until consent period
                                                                 ends without EPA ID      ends without EPA ID
                                                                 number, but may not      number, but may not
                                                                 arrange renewal or new   arrange renewal or new
                                                                 imports without EPA ID   imports without EPA ID
                                                                 number.                  number.
Importers must establish/amend         12/31/2016.............  When consent period for  When consent period for
 contracts or equivalent arrangements                            consent issued to        consent issued to
 to include items listed in 262.84(f).                           foreign exporter or      foreign exporter or
                                                                 importer ends; if        importer ends; if
                                                                 requesting renewal of    requesting renewal of
                                                                 existing shipments,      existing shipments,
                                                                 should establish/amend   should establish/amend
                                                                 contract during          contract during
                                                                 existing period of       existing period of
                                                                 consent so in place      consent so in place
                                                                 prior to foreign         prior to foreign
                                                                 exporter submitting      exporter submitting
                                                                 notice to country of     notice to country of
                                                                 export for renewal.      export for renewal.
When country of export does not        12/31/16; paper          N/A; submittal of        N/A; submittal of
 control as hazardous waste export,     submittal to EPA         notice only required     notice only required
 importers must submit import notice    required prior to        for new or renewing      for new or renewing
 or renotification with all required    future electronic        import shipments.        import shipments.
 OECD items to EPA (262.84(b),          import-export                                     Paper submittal
 264.12(a)(1), 265.12(a)(1)).           reporting compliance                              required when country
                                        date; electronic                                  of export does not
                                        submittal to EPA using                            control as hazardous
                                        EPA's WIETS required                              waste export per
                                        thereafter.                                       previous Part 262
                                                                                          Subpart H.
Importers must prepare and provide     12/31/2016.............  12/31/2016; required     12/31/16; required
 RCRA manifest for every shipment                                under previous Part      under previous Part
 (262.84(c)).                                                    262 Subpart F.           262 Subpart H.
Receiving facilities must send         12/31/2016; no paper     when consent period      when consent period
 confirmation of receipt using          submittal to EPA;        ends.                    ends; paper submittal
 international movement document        electronic submittal                              required per previous
 within 3 days of shipment delivery     to EPA using EPA's                                Part 262 Subpart H.
 to foreign exporter, to countries of   WIETS required for
 export and transit that control it     shipments on or after
 as hazardous waste export or transit   future electronic
 respectively, and for shipments        import-export
 occurring after the future             reporting compliance
 electronic import-export reporting     date.
 compliance date, to EPA
 electronically using EPA's WIETS
 (262.84(d)(2)(xv), 264.12(a)(2),
 264.71(d), 265.12(a)(2), 265.71(d),
 267.71(d)).
Receiving facilities must add waste    12/31/2016.............  12/31/2016; replaces     12/31/2016; replaces
 consent numbers matched to each                                 requirement to submit    requirement to submit
 waste listed in RCRA manifest and                               paper manifest with      paper manifest with
 send copy of signed manifest to                                 copy of import consent   copy of import consent
 EPA's International Compliance                                  documentation in         documentation in
 Assurance Division within 30 days of                            previous Part 264/265/   previous Part 264/265/
 shipment delivery until such time                               267.                     267.
 the facility can send the paper
 manifest to the e-Manifest system
 (264.71(a)(3), 265.71(a)(3),
 267.71(a)(3)).

[[Page 85706]]

 
Receiving facilities must inform       12/31/16; paper          when consent period      when consent period
 importer, foreign exporter, and EPA    submittal to EPA         ends.                    ends; paper submittal
 of need to arrange alternate           required prior to                                 required per previous
 management for shipment or to return   future electronic                                 Part 262 Subpart H.
 shipment to country of export          import-export
 (262.84(f)(4)(i), 264.12(a)(3),        reporting compliance
 265.12(a)(3)).                         date; electronic
                                        submittal to EPA using
                                        EPA's WIETS required
                                        thereafter.
Receiving facilities must send         12/31/2016; no paper     when consent period      when consent period
 confirmation of recovery/disposal no   submittal to EPA prior   ends.                    ends; paper submittal
 later than 30 days of completing       to future electronic                              required per previous
 management of shipment and no later    import-export                                     Part 262 Subpart H.
 than one year after shipment           reporting compliance
 delivery to foreign exporter, to       date; electronic
 country of export if the country of    submittal to EPA using
 export controls it as hazardous        EPA's WIETS thereafter.
 waste export, and on or after future
 electronic import-export reporting
 compliance date, to EPA
 electronically using EPA's WIETS
 (262.84(g), 264.12(a)(4)(i),
 265.12(a)(4)(i)).
Receiving facilities that performed    12/31/2016; no paper     when consent period      when consent period
 interim recovery or disposal           submittal to EPA prior   ends.                    ends; paper submittal
 operations must promptly send          to future electronic                              required per previous
 confirmation of final recovery/        import-export                                     Part 262 Subpart H.
 disposal that it receives from final   reporting compliance
 recovery/disposal facility no later    date; electronic
 than after final facility receives     submittal to EPA using
 shipment to foreign exporter, to the   EPA's WIETS thereafter.
 country of export if the country
 controls it as a hazardous waste
 export, and on or after future
 electronic import-export reporting
 compliance date, to EPA using EPA's
 WIETS (262.84(f)(6),
 264.12(a)(4)(ii), 265.12(a)(4)(ii)).
----------------------------------------------------------------------------------------------------------------

III. Detailed Discussion of the Final Rule

A. Consolidation of Hazardous Waste Import and Export Requirements 
Consistent With Current OECD Procedures

    As discussed in the previous section, existing export or import 
shipments occurring under the terms of a consent issued prior to the 
effective date of this action are not required to comply with the OECD-
based requirements in the newly expanded and reorganized Part 262 
subpart H, and instead must continue to comply with the terms of the 
consent and the requirements that applied at the time the consent was 
issued until the consent expires. Prior to the expiration of the 
consent period, any exporter wishing to submit an export notice 
requesting new consent or a renewal of a previous consent must register 
in EPA's CDX, obtain an EPA ID number if he or she is a recognized 
trader that does not already have one, and establish or amend a 
contract or equivalent arrangement between all parties to require all 
the OECD-based requirements prior to submitting the export notice 
electronically. Any importer must similarly register in EPA's CDX, 
obtain an EPA ID number if he or she is a recognized trader that does 
not already have one, and establish or amend a contract or equivalent 
arrangement between all parties to require all the OECD-based 
requirements prior to the expiration of the consent issued to the 
foreign exporter. Lastly, receiving facilities that do not also act as 
an exporter or as an importer must register in EPA's CDX prior to the 
electronic import-export reporting compliance date in order to 
electronically submit to EPA import confirmations of receipt, import 
confirmations of recovery or disposal, and receiving facility 
notifications of the need to arrange alternate management or the return 
of an individual import shipment.
    Assuming the exporter obtains consent to export on or after the 
effective date of this action, the exporter must prepare and provide an 
international movement document containing all the items listed in 
Sec.  262.83(d) for each export shipment, require that the movement 
document accompanies each shipment all the way from the shipment 
starting point in the U.S. to the receiving facility in the country of 
import, and that all required signatures are obtained. If the shipment 
starting point is different from the exporter's address, the movement 
document must list both the exporter's and the shipment origination 
information (e.g., facility name, address, contact name and phone 
number, fax number and email address). The exporter must require the 
foreign receiving facility per contract terms to use the movement 
document to confirm acceptance of the waste shipment, or to document 
partial or total rejection of the waste shipment. Exporters may use the

[[Page 85707]]

widely accepted OECD/Basel international movement document, or any 
other movement document required by the country of import provided that 
all the required information can be included on the movement document. 
Environment and Climate Change Canada (ECCC) confirmed that use of the 
Canadian movement document is required in 2015, and Mexico's 
Secretar[iacute]a de Medio Ambiente y Recursos Naturales (SEMARNAT) 
confirmed in Spring 2016 that they would prefer use of the Mexican 
tracking document to minimize the number of tracking documents 
accompanying each shipment. Use of the Mexican tracking document is 
acceptable to EPA so long as all required items in Sec.  262.83(d) are 
included. The contract terms must require foreign facilities to send 
copies of the international movement document to confirm receipt to the 
exporter, the country of import and any countries of transit that 
control the shipment as an import or transit shipment of hazardous 
waste, respectively, and for shipments occurring on or after the future 
electronic import-export reporting compliance date EPA will establish 
in a separate FR notice, to EPA using EPA's WIETS within three (3) days 
of shipment delivery. If the foreign facility rejects the shipment in 
part or in whole, the contract terms must require the foreign facility 
to notify the exporter and the country of import of the need to arrange 
alternate management or the return of the waste to the United States. 
If alternate management in the country of import that is acceptable to 
the exporter and the country of import cannot be found, the exporter 
must provide for the return of the export shipment within 90 days or 
some other time frame to which the relevant competent authorities all 
agree. Whether the shipment is managed at an alternate location or 
returned, the exporter must submit an exception report to EPA.
    If the shipment is accepted by the foreign facility for recovery or 
disposal, the exporter's contract must require the foreign facility to 
confirm completion of recovering or disposing of the waste in the 
shipment as soon as possible but no later than thirty (30) days after 
completing recovery or disposal of the shipment, and no later than one 
(1) year from the shipment's delivery to the foreign facility. The 
exporter's contract must also require that the foreign facility send 
such confirmations to the exporter, the country of import, and on or 
after the future electronic import-export reporting compliance date, to 
EPA using EPA's WIETS. If the foreign facility is solely performing an 
interim recovery or disposal operation prior to final recovery or 
disposal at a final facility, the contract must require the foreign 
facility to promptly forward copies of confirmations of recovery or 
disposal that it receives in turn from the final facility to the 
exporter, the country of import, and on or after the future electronic 
import-export reporting compliance date, to EPA using EPA's WIETS. By 
March 1 of each year, the exporter must submit an annual report 
summarizing all the shipments made during the previous calendar year. 
All records must be kept by the exporter for at least three (3) years. 
Records submitted electronically may be kept in the user's account in 
WIETS, but must be made available to EPA or an authorized state 
inspector upon request. No exporter may be held liable for the 
inability to produce such documents for inspection under this section 
if the exporter can demonstrate that the inability to produce the 
document is due exclusively to technical difficulty with WIETS for 
which the exporter bears no responsibility.
    With respect to import shipments, a contract or equivalent 
arrangement between all parties to require all the OECD-based 
requirements must be established prior to any submittal of a notice. In 
most cases, prior notice is submitted and the eventual consent is 
issued to the foreign exporter rather than the importer. At the time 
the consent is sent back to the foreign exporter via the country of 
export, EPA will send a copy of import consent documentation to the 
receiving facility as well. But for cases where the country of export 
does not control the shipment as an export of hazardous waste, for 
whatever reason, the importer will be required to submit a notice 
directly to EPA requesting consent for the shipments to occur. EPA will 
issue the consent in such cases to the importer, and will send a copy 
of the consent documentation to the receiving facility as well. Just as 
with export shipments, the shipments must be accompanied by an 
international movement document and the receiving facility must both 
confirm receipt and confirm recovery or disposal of the waste shipment. 
If the country of export does not control the shipment as an export of 
hazardous waste, the receiving facility does not have to send the 
confirmations of receipt or the confirmations of recovery or disposal 
to the country of export. If the receiving facility cannot accept the 
waste shipment, it must notify the foreign exporter, the importer (if 
different from the receiving facility), and EPA of the need to arrange 
alternate management or the return of the import shipment. In cases of 
return, EPA will then notify the country of export of the need for the 
return within 90 days.
    If the receiving facility is solely performing interim recovery or 
disposal operations prior to final recovery or disposal at another 
facility, the receiving facility must promptly send confirmations of 
final recovery or disposal it receives from the final facility to the 
foreign exporter, to the country of export if it controls the shipment 
as an export of hazardous waste, and on or after the future electronic 
import-export reporting compliance date, to EPA.

B. Transition From Paper-Based to Electronic Port Procedures Under ITDS 
for RCRA Waste Exports Subject to Notice and Consent

    Under Executive Order 13659, EPA and CBP must have the 
capabilities, agreements, and requirements in place to utilize 
electronic processes in AES, or its successor system, in place of 
existing paper processes at the port or border crossing required to 
clear export shipments for departure. Under existing paper processes 
for shipments occurring under consents issued prior to the effective 
date of this action, transporters of hazardous waste export shipments 
must carry paper documentation that the exporter has received consent 
to export the wastes in the shipment, in the form of either EPA's AOC 
letter for export shipments to Canada, Chile, Mexico, or any non-OECD 
country, or a movement document for export shipments to all other OECD 
countries. In addition, for manifested hazardous waste shipments the 
transporter must give a copy of the signed and dated RCRA manifest to 
the U.S. customs official at the point of departure. Under the new 
electronic procedures in AES, or its successor system, exporters will 
file the following EPA data in the AES, along with the other 
information required under 15 CFR 30.6:

(1) EPA license required indicator (to declare shipment is subject to 
RCRA export notice and consent requirements)
(2) Commodity classification code (10 digit, numeric description of the 
commodity) per 15 CFR 30.6(a)(12)
(3) EPA consent number (specific to waste)
(4) Country of ultimate destination per 15 CFR 30.6(a)(5)
(5) Date of export per 15 CFR 30.6(a)(2)
(6) RCRA hazardous waste manifest tracking number (if required; 
universal waste, CRTs being shipped for recycling, industrial

[[Page 85708]]

ethyl alcohol being shipped for reclamation, and SLABs being shipped 
for recovery of lead are exempt from RCRA manifest requirements under 
existing RCRA regulations)
(7) Quantity of waste in shipment and units for reported quantity 
(units established by commodity classification number)
(8) EPA net quantity and EPA net quantity units of measure (if 
required, must be reported in kilograms if solid waste, and in liters 
if liquid waste; only required if commodity classification number does 
not require quantity to be reported in weight or volume units)

    Of the items listed previously, only the ``EPA license code'', 
``EPA consent number'', ``RCRA hazardous waste manifest tracking 
number'', ``EPA net quantity'', and ``EPA net quantity units of 
measurement'' are not already required to be filed in AES under the 
U.S. Census Bureau's Foreign Trade Regulations (FTR). Of these five 
items, one item is only required if the waste is subject to RCRA 
manifesting requirements and two of the remaining items are only 
required in cases where the commodity classification number-based 
quantity reporting does not require that the quantity of the commodity 
in the shipment be reported in weight or volumetric units (e.g., kg or 
L). Because an EPA license, or an EPA consent number, is required, AES 
will require the two to five additional items to be filed, as 
appropriate, and will validate the country of ultimate destination and 
the date of export against EPA-supplied reference data for the entered 
EPA consent number. If the consent number is not in the correct format, 
AES will provide a fatal error message for the filer that specifies the 
error in the filing. The filer will then need to correct and resubmit 
the filing to correct it. If the country of ultimate destination does 
not match the country of import for the consent number, AES will 
provide a fatal error message for the filer that specifies the error in 
the filing. The filer will then need to correct and resubmit the 
filing. If the expected date of shipment departure does not fall within 
the start date and end date for the consent number, AES will provide a 
fatal error message for the filer that specifies the error in the 
filing. The filer will then need to correct and resubmit the filing. If 
a RCRA manifest is required for the consent number and the filer does 
not enter a correctly formatted RCRA manifest number (i.e., nine digits 
followed by three letters), AES will provide a fatal error message for 
the filer that specifies the error in the filing. The filer will then 
need to correct and resubmit the filing. Lastly, if the EPA net 
shipping quantity is required to be entered based on the commodity 
classification number entered and the filer does not enter that 
quantity, the AES will provide a fatal error message for the filer that 
specifies the error in the filing. The filer will then need to correct 
and resubmit the filing. AES will not issue an Internal Transaction 
Number (ITN) to indicate successful completion until the filing passes 
all validations. The exporter and transporter will be in violation of 
the FTR if the shipment is exported without a valid ITN. When the 
shipment is validated and the ITN issued, the shipment will be cleared 
to leave the port of export.
    As discussed in the previous section, EPA is establishing a 
transition period under which exporters may choose to comply with 
either the electronic AES filing procedures or the paper-based 
procedures at the port. Exporters choosing to use the paper process at 
the port must provide the paper documentation of consent to the initial 
transporter, along with a paper RCRA manifest if the shipment is 
required to be manifested, and must instruct the transporter via email, 
mail or fax to give a copy of the signed and dated RCRA manifest to the 
U.S. customs official at the port or border crossing. Exporters 
choosing to use electronic AES filing procedures must file the EPA data 
listed above in AES as part of their electronic export information in 
AES, obtain an ITN number, provide the ITN number to the initial 
transporter, and if providing the transporter with a paper RCRA 
manifest, confirm to the transporter that no manifest must be given to 
the U.S. customs official at the port by manually crossing out the 
sentence instructing transporters to do so in the Instructions for the 
International Block on the RCRA manifest.
    EPA will coordinate with CBP on the selection of the future AES 
filing compliance date, but we anticipate that it will likely be at the 
start of a calendar year to ensure a full calendar year of AES filing 
data for the first year to enable EPA to build draft export annual 
reports in EPA's WIETS for electronic review and submittal by 
exporters. EPA will announce the future AES filing compliance date in a 
separate Federal Register notice. On or after the AES filing compliance 
date, all exporters of hazardous waste and cathode ray tubes for 
recycling will be required to comply with the AES filing requirements.

C. Conversion of Paper Submittals for Imports and Exports to Electronic 
Submittals Using EPA's Waste Import Export Tracking System

    As discussed in the previous section, EPA has not yet completed or 
tested out electronic versions of the export exception report, export 
confirmation of receipt, export confirmation of recovery or disposal, 
import notification, import confirmation of receipt, import 
confirmation of recovery or disposal, or the receiving facility 
notification of the need to arrange alternate management or return of 
an import shipment. Electronic submittal of these documents is 
therefore not required until a future electronic import-export 
reporting compliance date that EPA will establish in a separate Federal 
Register notice. The electronic export notice has been completed, and 
electronic submittal of export notices requesting new or renewed 
consent will be required on the effective date of this action. The 
electronic export annual report has been completed but since the draft 
export annual report will be built using AES filing data on validated 
export shipments that is automatically sent from AES to EPA's WIETS, 
electronic submittal of the export annual report will not be required 
until one year after the AES filing compliance date. Paper submittals 
of export annual reports, export exception reports, import notices, and 
receiving facility notifications of the need to arrange alternate 
management or return of an individual import shipment will be required 
from the effective date of this action until the future electronic 
import-export reporting compliance date. No submittals to EPA of export 
confirmations of receipt, export confirmations of recovery or disposal, 
import confirmations of receipt, or import confirmations of recovery or 
disposal will be required until the future electronic import-export 
reporting compliance date, on or after which electronic submittal of 
these documents to EPA using EPA's WIETS will be required.

D. Availability of Electronic Reporting

    As of December 31, 2016, exporters of cathode ray tubes for 
recycling (40 CFR 261.39(a)(5)(ii)) or RCRA-regulated hazardous wastes 
(40 CFR 262.83(b)) must complete and submit hazardous waste export 
notices using EPA's WIETS. EPA's Central Data Exchange (CDX) is the 
agency entry point for the agency electronic reporting. EPA's WIETS can 
be accessed by logging into EPA's CDX. As part of the one-time CDX 
registration process, individual

[[Page 85709]]

exporters and export preparers must create a CDX account.\8\ As of one 
year after the AES filing compliance date, exporters of cathode ray 
tubes for recycling (40 CFR 261.39(a)(5)(xi)) or RCRA-regulated 
hazardous wastes (40 CFR 262.83(g)) can review draft export annual 
reports generated by WIETS and submit final export annual reports 
similarly using EPA's WIETS. They can prepare, sign, submit and receive 
receipt of their export notice or their annual report in WIETS. The 
submitter can also track which of their export notices are pending or 
processed.
---------------------------------------------------------------------------

    \8\ Detailed directions on how to create a CDX account are 
available at https://dev.epacdx.net/About/UserGuide.
---------------------------------------------------------------------------

    A separate Federal Register Notice will be published for the other 
7 reports (40 CFR 262.83(d)(2)(xv), 262.83(f)(4), 262.83(f)(5), 
262.83(f)(6), 262.83(h), 262.84(b), 262.84(d)(2)(xv), 262.84(f)(4)(i), 
262.84(f)(6), 262.84(g), 264.12(a)(1), 264.12(a)(2), 264.12(a)(3), 
264.12(a)(4)(i), 264.12(a)(4)(ii), 264.71(d), 265.12(a)(1), 
265.12(a)(2), 265.12(a)(3), 265.12(a)(4)(i), 265.12(a)(4)(ii), 
265.71(d)).
    How to Access the System: WIETS can be accessed by going to https://cdx.epa.gov and registering with CDX and selecting WIETS as your 
Program Service.
    How to Get Help for the System: The CDX Help desk is available for 
help with CDX registration for WIETS. There are also several user's 
guides (for both CDX and the WIETS data system). There is a user guide 
to guide the user through the registration process on CDX and then 
there is a user's guide for using WIETS. That guide is posted in WIETS. 
Users may register in CDX at any time, and EPA encourages those 
exporters and export preparers that expect to submit export notices in 
2017 to begin the CDX registration process as soon as possible. For 
assistance with registering in CDX, please contact the CDX help desk 
via phone at 888-890-1995 from 8:00 a.m. to 6:00 p.m. (EST/EDT), or via 
email at helpdesk@epacdx.net. For more information about WIETS, please 
contact Jin Yoo via phone at 202-564-5721 or via email at 
yoo.jin@epa.gov.

E. Changes to Hazardous Waste Manifest Requirements for Import and 
Export Shipments

    As discussed in the previous section, exporters and receiving 
facilities will be required to list the consent number for each waste 
matched to each waste listed in the hazardous waste manifest from the 
effective date of this action but the regulatory text in 262.83(c)(3), 
264.71(a)(3)(i), 265.71(a)(3)(i), and 267.71(a)(6), respectively, does 
not specify exactly where on the manifest the consent numbers must be 
added. If additional space is needed to list the consent numbers for 
each waste on the paper manifest, a continuation sheet (EPA Form 8700-
22A) should be used. EPA is not specifying where on the manifest to 
list the consent number for each waste in order to give the exporters 
and receiving facilities more flexibility in listing the numbers on 
paper manifests, and to give EPA more flexibility in determining how 
best to design data entry of the consent numbers in the e-Manifest 
currently under development. Unlike the other requirements in this rule 
that are based on the OECD procedures, these new requirements apply 
even to existing hazardous waste export and import shipments occurring 
under the terms of a consent issued prior to the effective date of this 
action.
    Specific to hazardous waste import shipments, receiving facilities 
continue to be required to submit paper import manifests to EPA's 
International Compliance Assurance Division (ICAD) within thirty (30) 
days of shipment delivery, but the text in Sec. Sec.  264.71(a)(3)(ii), 
265.71(a)(3)(ii), and 267.71(a)(6)(ii) now clarifies that submittal to 
EPA ICAD is required only until the receiving facility can mail the 
paper manifest to the e-Manifest system per Sec. Sec.  264.71(a)(2)(v) 
or 265.71(a)(2)(v).
    Specific to hazardous waste export shipments, EPA is not finalizing 
the regulatory language proposed in Sec. Sec.  262.83(a)(5) and (6). 
These provisions had included instructions for the exporter to obtain a 
confirmation of receipt from the foreign facility and for the exporter 
to provide direction to the transporter in cases when the shipment was 
partially or wholly rejected by the foreign facility. This regulatory 
language had been in the original manifest instructions under 40 CFR 
part 262 subpart E. However, EPA is elsewhere finalizing similar 
requirements such that Sec. Sec.  262.83(a)(5) and (6) are redundant. 
Specifically, Sec.  262.83(d)(2)(xv) requires the exporter to direct 
the foreign facility to confirm receipt of each shipment, Sec.  
262.83(f)(3)(i) requires contract terms to direct the foreign facility 
to inform the exporter if the shipment cannot be managed according to 
the consent, 262.83(e) requires the exporter to arrange for the return 
of the waste as needed, and 262.83(h) requires the exporter to file an 
exception reports as needed. In addition, the proposed deletion of the 
requirement for transporters to give a copy of the signed and dated 
manifest to the U.S. customs official at the point of departure from 
the United States has been amended to reflect the transition period 
prior to the AES filing compliance date during which the exporter may 
choose to either electronically file EPA information in AES or follow 
the existing paper-based process at the port. During the transition 
period, exporters will be required to inform the transporter via mail, 
email or fax whether they have chosen to follow paper-based processes 
so that the transporter will know whether or not he or she is required 
to carry paper documentation of consent (i.e., EPA Acknowledgement of 
Consent letter, international movement document) with the shipment and 
to give a copy of the paper manifest to the U.S. customs official at 
the port or border crossing. On or after the AES filing compliance 
date, no transporter will be required to give a copy of a paper 
manifest to the U.S. customs official. Lastly, the final revision to 
the instructions for Item 16 in the Appendix to Part 262 has been 
modified to delete the last sentence in the instructions to Item 16 in 
order to reflect that transporters will not be required to give a copy 
of the manifest to the U.S. customs official at the point of departure 
on or after the electronic AES filing compliance date. But this form 
change and the other form changes from the e-Manifest Final rule (79 FR 
7518) will not be implemented until the e-Manifest system is available 
for use, and on or after the AES filing compliance date. Manifest users 
and manifest suppliers should therefore continue to use their existing 
supplies of manifests. EPA encourages exporters following electronic 
AES filing procedures to manually cross out the last sentence in the 
instructions for Item 16 to confirm that the transporter will not be 
required to give a copy of the signed and dated manifest to the U.S. 
Customs official at the port or border crossing.

F. Additional Requirements for Recognized Traders Arranging for 
Hazardous Waste Imports or Exports

    Under this action, recognized traders arranging for export or 
import will be required to obtain an EPA ID number prior to arranging 
for import or export on or after the effective date of this final rule 
per Sec.  262.12. As with the application of OECD procedures, 
recognized traders will not have to obtain an EPA ID number to continue 
managing import and export shipments occurring under the terms of a 
consent issued by EPA prior to the effective date of this final rule. 
But any recognized trader must have an EPA ID number prior to 
requesting a new or renewed

[[Page 85710]]

consent to export or import. Regulated entities request EPA ID Numbers 
by submitting EPA Form 8700-12 (or an authorized State's equivalent 
form). EPA Form 8700-12 will have to be modified in order for 
recognized traders wishing to arrange for export to request an EPA ID 
number, as the form and its instructions currently do not reflect this 
requirement. Changes to EPA Form 8700-12 are developed and approved 
separate from this action. Until changes to EPA Form 8700-12 can be 
finalized, EPA recommends that recognized traders wishing to request an 
EPA ID number in order to arrange for export of hazardous wastes fill 
out page 1 of the form, reflecting his or her place of business as the 
site in question, and note on the form in ``Item 13-Comments'' that the 
requestor is a recognized trader that arranges for import or export of 
hazardous waste, universal waste or spent lead batteries subject to 
Part 262 Subpart H requirements.

G. Incorporation by Reference of OECD Waste Lists

    This action updates the IBR source material in Sec.  260.11(g)(1) 
for the OECD amber and green waste lists, and their associated waste 
codes, which are used to identify a waste. The OECD waste lists, 
entitled ``List of Wastes Subject to the Green Control Procedures'' and 
``List of Wastes Subject to Amber Control Procedures,'' are set forth 
in Appendix 3 and Appendix 4, respectively, of the OECD Decision. The 
most current waste lists from the OECD Decision have been consolidated 
and incorporated in Annex B and C of the 2009 ``Guidance Manual for the 
Control of Transboundary Movements of Recoverable Wastes.'' Sections 
262.82(a), 262.83(b)(1)(xi), 262.83(d)(2)(vi), 262.83(g)(4)(iii), 
262.84(b)(1)(xi), and 262.84(d)(2)(vi) reference the IBR material in 
the revised Sec.  260.11(g)(1). The material is available for 
inspection at: The U.S. Environmental Protection Agency, Docket Center 
Public Reading Room, EPA West, Room 3334, 1301 Constitution Avenue NW., 
Washington, DC 20004 (Docket # EPA-HQ-RCRA-2015-0147) and may be 
obtained from the Organization for Economic Cooperation and 
Development, Environment Directorate, 2 rue Andr[eacute] Pascal, F-
75775 Paris Cedex 16, France. The material is also available online 
(for free) at http://www.oecd.org/env/waste/42262259.pdf. To contact 
the EPA Docket Center Public Reading Room, call (202) 566-1744. To 
contact the OECD, call +33 (0) 1 45 24 81 67.

H. Conforming Changes to Parts 260, 262 Through 267, 271, and 273

    A number of technical level corrections to citations previously 
referencing Part 262 Subparts E or F were made to reflect applying the 
expanded Part 262 Subpart H. For a full list of the corrections, please 
see Section III of the proposed rule or the regulatory text in this 
action.

I. Related Proposed Rulemaking

    In order to improve information on the movement and disposition of 
hazardous wastes, and to enable interested members of the community and 
the government to benefit from the provision of publicly accessible 
data, EPA intends to separately propose that U.S. exporters and U.S. 
receiving facilities be required to post the confirmations of receipt 
and confirmations of recovery or disposal that they receive for export 
shipments and import shipments respectively to a public company Web 
site until the exporters and receiving facilities are required to 
submit such confirmations electronically to EPA's WIETS on or after the 
future electronic reporting compliance date that EPA will establish in 
a separate Federal Register notice.

IV. State Authorization

A. Applicability of Rules in Authorized States

    Under section 3006 of RCRA, EPA may authorize qualified States to 
administer their own hazardous waste programs in lieu of the federal 
program within the State. Following authorization, EPA retains 
enforcement authority under sections 3008, 3013, and 7003 of RCRA, 
although authorized States have primary enforcement responsibility. The 
standards and requirements for State authorization are found at 40 CFR 
part 271.
    Prior to enactment of the Hazardous and Solid Waste Amendments of 
1984 (HSWA), a State with final RCRA authorization administered its 
hazardous waste program entirely in lieu of EPA administering the 
federal program in that State. The federal requirements no longer 
applied in the authorized State, and EPA could not issue permits for 
any facilities in that State, since only the State was authorized to 
issue RCRA permits. When new, more stringent federal requirements were 
promulgated, the State was obligated to enact equivalent authorities 
within specified time frames. However, the new federal requirements did 
not take effect in an authorized State until the State adopted the 
federal requirements as State law.
    In contrast, under RCRA section 3006(g) (42 U.S.C. 6926(g)), which 
was added by HSWA, new requirements and prohibitions imposed under HSWA 
authority take effect in authorized States at the same time that they 
take effect in unauthorized States. EPA is directed by the statute to 
implement these requirements and prohibitions in authorized States, 
including the issuance of permits, until the State is granted 
authorization to do so. While States must still adopt HSWA related 
provisions as State law to retain final authorization, EPA implements 
the HSWA provisions in authorized States until the States do so.
    Authorized States are required to modify their programs only when 
EPA enacts federal requirements that are more stringent or broader in 
scope than existing federal requirements. RCRA section 3009 allows the 
States to impose standards more stringent than those in the federal 
program (see also 40 CFR 271.1). Therefore, authorized States may, but 
are not required to, adopt federal regulations, both HSWA and non-HSWA, 
that are considered less stringent than previous federal regulations.

B. Effect on State Authorization

    Because of the federal government's special role in matters of 
foreign policy, EPA does not authorize States to administer Federal 
import/export functions in any section of the RCRA hazardous waste 
regulations. This approach of having Federal, rather than State, 
administering of the import/export functions promotes national 
coordination, uniformity and the expeditious transmission of 
information between the United States and foreign countries.
    Although States do not receive authorization to administer the 
Federal government's export functions in 40 CFR part 262 subpart E, 
import functions in 40 CFR part 262 subpart F, import/export functions 
in 40 CFR part 262 subpart H, or the import/export relation functions 
in any other section of the RCRA hazardous waste regulations, State 
programs are still required to adopt the provisions in this rule to 
maintain their equivalency with the Federal program (see 40 CFR 
271.10(e) which will also be amended in this rule).
    This rule contains many amendments to 40 CFR part 262 subpart H, 
both for clarity and organization, and replaces the regulations that 
are currently in 40 CFR part 262 subparts E and F with the more 
stringent 40 CFR part 262 subpart H regulations. The rule also contains 
conforming import and export-related

[[Page 85711]]

amendments to 40 CFR parts 260, 261, 262, 263, 264, 265, 266, 267, 271 
and 273, almost all of which are more stringent.
    The States that have already adopted 40 CFR part 262 subparts E, F 
and H, 40 CFR part 263, 40 CFR part 264, 40 CFR part 265, and any other 
import/export related regulations must adopt the revisions to those 
provisions in this final rule. But only States that have previously 
adopted the optional CRT conditional exclusion in 40 CFR 261.39, or the 
optional exclusions for samples in 40 CFR 261.4(d) and 40 CFR 261.4(e) 
are required to adopt the revisions related to those exclusions in this 
final rule.
    When a State adopts the import/export provisions in this rule (if 
final), they must not replace Federal or international references or 
terms with State references or terms.
    The provisions of this rule will take effect in all States on the 
effective date of the rule, since these import and export requirements 
will be administered by the Federal government as a foreign policy 
matter, and will not be administered by States.

V. Statutory and Executive Order Reviews

    Additional information about these statutes and Executive Orders 
can be found at https://www.epa.gov/laws-regulations/laws-and-executive-orders.

A. Executive Order 12866: Regulatory Planning and Review and Executive 
Order 13563: Improving Regulation and Regulatory Review

    This action is a significant regulatory action that was submitted 
to the Office of Management and Budget (OMB) for review, because it may 
raise novel legal or policy issues [3(f)(4)] arising out of legal 
mandates, although it is not economically significant. Any changes made 
in response to OMB recommendations have been documented in the docket. 
The EPA prepared a regulatory impact analysis of the potential costs 
and benefits associated with this action. This analysis, titled 
``Regulatory Impact Analysis: EPA's Hazardous Waste Export-Import 
Revisions Final Rule,'' is available in the docket.
    This rule is projected to result in aggregate annualized costs 
(i.e., including both industry and government costs) of approximately 
$2.42 and $2.44 million using a discount rate of 3 percent or 7 
percent, and assuming a 2018 electronic import-export reporting 
compliance date for EPA's WIETS. Costs are $2.37 and 2.38 million 
assuming a 2022 electronic import-export reporting compliance date for 
EPA's WIET and 3 and 7 percent discount rates, respectively. Costs to 
industry represent approximately 62 percent of this total. This is 
significantly below the $100 million threshold established under part 
3(f)(1) of the Executive Order. This rule is therefore not considered 
to be an economically significant action.
    In addition to calling for assessment of regulatory costs, the 
Executive Order also requires Federal agencies to assess benefits and, 
``recognizing that some costs and benefits are difficult to quantify, 
propose or adopt a regulation only upon a reasoned determination that 
the benefits of the intended regulation justify its costs.'' As 
described in Chapter 3 of the RIA, monetization of all the rule's 
benefits is not possible given limitations in the available data. The 
analysis, however, estimates that the rule will lead to quantifiable 
annualized cost savings of $0.7 million using a discount rate of 3 
percent or 7 percent associated with the relaxation of certain 
requirements and Agency benefits associated with the electronic 
submission of notices, annual reports, and other documents. Cost 
savings to industry represent approximately 66 percent of this total. 
In addition, the rule would lead to certain benefits that cannot be 
quantified. These include increased efficiency and convenience of 
electronic submission, enhanced tracking of hazardous waste 
transportation recognized trader activities, increased regulatory 
efficiency, consistency with trade requirements for OECD countries, 
reduction of risks associated with the treatment and disposal of 
hazardous wastes, and improved ability to acquire information regarding 
exports and imports of hazardous waste.

B. Paperwork Reduction Act (PRA)

    The information collection activities in this rule have been 
submitted for approval to the Office of Management and Budget (OMB) 
under the PRA. The Information Collection Request (ICR) document that 
the EPA prepared has been assigned EPA ICR number 2519.02, OMB ICR 
Control Number 2050-0214. You can find a copy of the ICR in the docket 
for this rule, and it is briefly summarized here.
    The requirements covered in this ICR are necessary for EPA to 
oversee the international trade of hazardous wastes. EPA is 
promulgating the above regulatory changes/amendments under the 
authority of Sections 1006, 1007, 2002(a), 3001 through 3010, 3013 
through 3015, and 3017 of the Solid Waste Disposal Act, as amended by 
the Resource Conservation and Recovery Act (RCRA), and as amended by 
the Hazardous and Solid Waste Amendments, 42 U.S.C. 6905, 6906, 6912, 
6921 through 6930, 6934, and 6938.
    The Office of Enforcement and Compliance Assurance, U.S. EPA, uses 
the information provided by each U.S. exporter, receiving facility, 
transporter, and recognized trader to determine compliance with the 
applicable RCRA regulatory provisions. In addition, the information is 
used to determine the number, origin, destination, and type of exports 
from and imports to the U.S. for tracking purposes and for reporting to 
the OECD. This information also is used to assess the efficiency of the 
program.
    Most of the information required by the regulations covered by this 
ICR is not available from any source but the respondents. In certain 
occasions, such as the notification of intent to export hazardous 
waste, EPA allows the primary exporter to submit one notice that covers 
activities over a period of twelve months.
    Except as described below, this rule does not result in the 
collection of duplicate data. Although some of the information required 
for the hazardous waste manifest and the movement document is 
substantively the same, up to six pieces of additional information are 
required for the movement document. In addition, these two documents 
serve different purposes. A signed copy of the hazardous waste 
manifest, which is not valid beyond U.S. borders, is sent back to the 
U.S. exporter when the shipment leaves the U.S. to verify pertinent 
information, including point of departure, date of departure, 
destination, and contents of the shipment. The movement document must 
accompany the shipment until it reaches the foreign recovery facility. 
The signed movement document is subsequently returned to EPA and the 
U.S. exporter to acknowledge receipt of the shipment.
    In certain cases, some of the information on the tracking document 
also may be collected in the Automated Export System (AES), or 
successor system. An AES filing is required for all shipments that are 
valued over $2,500 per Schedule B number or when a license is required. 
However, the information currently contained in the AES is not adequate 
for EPA's purpose of tracking and identifying the export of hazardous 
waste from the U.S. For example, the wastes are identified by tariff 
codes that are less precise than the waste codes required by the 
tracking document.
    Section 3007(b) of RCRA and 40 CFR part 2, subpart B, which defines 
EPA's

[[Page 85712]]

general policy on public disclosure of information, contain provisions 
for confidentiality. However, the Agency does not anticipate that 
businesses will assert a claim of confidentiality covering all or part 
of the final rule. If such a claim were asserted, EPA must and will 
treat the information in accordance with the regulations cited above. 
EPA also will assure that this information collection complies with the 
Privacy Act of 1974 and OMB Circular 108.
    Respondents/affected entities: Importers, exporters, and recycling 
and disposal facilities.
    Respondent's obligation to respond: Mandatory (RCRA 3002 (42 U.S.C 
6922) and RCRA 3003 (42 U.S.C 6923)).
    Estimated number of respondents: 1,305.
    Frequency of response: Annual or on occasion.
    Total estimated burden: 29,563 hours (per year). Burden is defined 
at 5 CFR 1320.3(b).
    Total estimated cost: $1,958,103 million, includes $19,455 
annualized capital or operation & maintenance costs.
    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 the 
EPA's regulations in 40 CFR are listed in 40 CFR part 9. When OMB 
approves this ICR, the Agency will announce that approval in the 
Federal Register and publish a technical amendment to 40 CFR part 9 to 
display the OMB control number for the approved information collection 
activities contained in this final rule.

C. Regulatory Flexibility Act (RFA)

    I certify that this action will not have a significant economic 
impact on a substantial number of small entities under the RFA. The 
small entities subject to the requirements of this action are 
exporters, importers, transporters, and recognized traders. The Agency 
has determined that between 22 and 25 percent of exporters, importers, 
and recognized traders, and approximately 80 percent of transporters, 
are small entities, for a total of 555 small entities, may experience 
an impact between 0.1 and 0.3 percent of annual revenues. Thus, the 
average costs of the rule, on a per entity basis, is expected to be 
less than one percent of annual revenues for any regulated entity. 
Details of this analysis are presented in the document titled 
``Regulatory Impact Analysis: EPA's Hazardous Waste Export-Import 
Revisions Final Rule,'' which is available in the docket.

D. Unfunded Mandates Reform Act (UMRA)

    This action does not contain an unfunded mandate of $100 million or 
more as described in UMRA, 2 U.S.C. 1531-1538, and does not 
significantly or uniquely affect small governments. Further, UMRA does 
not apply to the portions of this action concerning application of OECD 
import and export procedures because those portions are necessary for 
the national security or the ratification or implementation of 
international treaty obligations (i.e., the 1986 OECD Decision-
Recommendation and the Amended 2001 OECD Decision).

E. Executive Order 13132: Federalism

    This action does not have federalism implications because the state 
and local governments do not administer the export and import 
requirements under RCRA. It will not have substantial direct effects on 
the states, on the relationship between the national government and the 
states, or on the distribution of power and responsibilities among the 
various levels of government.

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

    This action does not have tribal implications as specified in 
Executive Order 13175. No exporters, importers or transporters affected 
by this action are known to be owned by Tribal governments or located 
within or adjacent to Tribal lands. Thus, Executive Order 13175 does 
not apply to this action.

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

    The EPA interprets Executive Order 13045 as applying only to those 
regulatory actions that concern environmental health or safety risks 
that the EPA has reason to believe may disproportionately affect 
children, per the definition of ``covered regulatory action'' in 
section 2-202 of the Executive Order. This action is not subject to 
Executive Order 13045 because it is not economically significant as 
defined in Executive Order 12866, and because the EPA does not believe 
the environmental health or safety risks addressed by this action 
present a disproportionate risk to children. The procedural 
requirements in this action should prevent mismanagement of hazardous 
wastes in foreign countries and better document proper management of 
imported hazardous wastes in the United States.

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

    This action is not a ``significant energy action'' because it is 
not likely to have a significant adverse effect on the supply, 
distribution or use of energy. This action will have little to no 
effect on the supply, distribution, or use of energy, as this action is 
intended to prevent mismanagement of hazardous wastes in foreign 
countries and better document proper management of imported hazardous 
wastes in the United States.

I. National Technology Transfer and Advancement Act (NTTAA)

    This rulemaking does not involve technical standards.

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

    The EPA believes the human health or environmental risk addressed 
by this action will not have potential disproportionately high and 
adverse human health or environmental effects on minority, low-income 
or indigenous populations because this action should prevent 
mismanagement of hazardous wastes in foreign countries and better 
document proper management of imported hazardous wastes in the United 
States. Specifically, this action is designed to increase tracking of 
individual hazardous waste import and export shipments, improve 
regulatory efficiency and improve information collection on imports and 
exports of hazardous wastes subject to RCRA notice and consent 
requirements.

K. Executive Order 13659: Streamlining the Export/Import Process for 
America's Businesses

    Executive Order 13659, titled ``Streamlining the Export/Import 
Process for America's Businesses'' (79 FR 10657, February 25, 2014), 
establishes federal executive policy on improving the technologies, 
policies, and other controls governing the movement of goods across our 
national borders. It directs participating agencies to have 
capabilities, agreements, and other requirements in place by December 
31, 2016, to utilize the ITDS and supporting systems as the primary 
means of receiving from users the standard set of data and other 
relevant documentation (exclusive of applications for permits, 
licenses, or certifications) required for the release of imported cargo 
and clearance of cargo for export. To meet the requirement of

[[Page 85713]]

the Executive Order, portions of this action directly require exporters 
subject to RCRA export consent requirements to electronically file 
consent related data and the manifest tracking number within AES, the 
supporting IT system for exports under the ITDS after a transition 
period. Additionally, this action improves regulatory efficiency 
related to hazardous waste imports and exports by consolidating import 
and export procedures for hazardous waste into one set of procedures 
that are widely accepted by other countries, and by replacing existing 
submittals to EPA of paper documentation related to hazardous waste 
imports and exports with electronic submittal into EPA's WIETS. Thus, 
this action complies with Executive Order 13659.

L. Congressional Review Act

    This action is subject to the CRA, and the EPA will submit a rule 
report to each House of the Congress and to the Comptroller General of 
the United States. This action is not a ``major rule'' as defined by 5 
U.S.C. 804(2).

List of Subjects

40 CFR Part 260

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Hazardous waste, Incorporation by 
reference.

40 CFR Part 261

    Environmental protection, Hazardous materials, Intergovernmental 
relations, Recycling, Waste treatment and disposal.

40 CFR Part 262

    Environmental protection, Exports, Hazardous materials 
transportation, Hazardous waste, Imports, Incorporation by reference, 
International organizations, Labeling, Packaging and containers, 
Recycling, Reporting and recordkeeping requirements.

40 CFR Part 263

    Environmental protection, Exports, Hazardous materials 
transportation.

40 CFR Part 264

    Environmental protection, Hazardous waste, Imports, Packaging and 
containers, Reporting and recordkeeping requirements.

40 CFR Part 265

    Environmental protection, Hazardous waste, Imports, Packaging and 
containers, Reporting and recordkeeping requirements.

40 CFR Part 266

    Environmental protection, Exports, Hazardous recyclable materials, 
Imports, Precious metal recovery, Recycling, Spent lead-acid batteries, 
Waste treatment and disposal.

40 CFR Part 267

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

40 CFR Part 271

    Environmental protection, Administrative practice and procedure, 
Hazardous materials transportation, Hazardous waste, Intergovernmental 
relations, Penalties, Reporting and recordkeeping requirements.

40 CFR Part 273

    Environmental protection, Exports, Imports, Universal waste.

    Dated: October 28, 2016.
Gina McCarthy,
Administrator.
    For the reasons stated in the preamble, EPA amends title 40, 
chapter 1 of the Code of Federal Regulations as follows:

PART 260--HAZARDOUS WASTE MANAGEMENT SYSTEM: GENERAL

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

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


0
2. Amend Sec.  260.10 by adding, in alphabetical order, the definitions 
of ``AES filing compliance date,'' ``Electronic import-export reporting 
compliance date,'' and ``Recognized trader'' to read as follows:


Sec.  260.10   Definitions.

* * * * *
    AES filing compliance date means the date that EPA announces in the 
Federal Register, on or after which exporters of hazardous waste and 
exporters of cathode ray tubes for recycling are required to file EPA 
information in the Automated Export System or its successor system, 
under the International Trade Data System (ITDS) platform.
* * * * *
    Electronic import-export reporting compliance date means the date 
that EPA announces in the Federal Register, on or after which 
exporters, importers, and receiving facilities are required to submit 
certain export and import related documents to EPA using EPA's Waste 
Import Export Tracking System, or its successor system.
* * * * *
    Recognized trader means a person domiciled in the United States, by 
site of business, who acts to arrange and facilitate transboundary 
movements of wastes destined for recovery or disposal operations, 
either by purchasing from and subsequently selling to United States and 
foreign facilities, or by acting under arrangements with a United 
States waste facility to arrange for the export or import of the 
wastes.
* * * * *

0
3. Amend Sec.  260.11 by revising paragraph (g) to read as follows:


Sec.  260.11  Incorporation by reference.

* * * * *
    (g) The following materials are available for purchase from the 
Organization for Economic Cooperation and Development, Environment 
Directorate, 2 rue Andr[eacute] Pascal, F-75775 Paris Cedex 16, France.
    (1) Guidance Manual for the Control of Transboundary Movements of 
Recoverable Wastes, copyright 2009, Annex B: OECD Consolidated List of 
Wastes Subject to the Green Control Procedure and Annex C: OECD 
Consolidated List of Wastes Subject to the Amber Control Procedure, IBR 
approved for Sec. Sec.  262.82(a), 262.83(b),(d), and (g), and 
262.84(b) and (d) of this chapter.
    (2) [Reserved]

PART 261--IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

0
4. The authority citation for part 261 continues to read as follows:

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

0
5. Amend Sec.  261.4 by:
0
a. Revising paragraph (d)(1) introductory text;
0
b. Adding paragraph (d)(4);
0
c. Revising paragraph (e)(1) introductory text; and
0
d. Adding paragraph (e)(4).
    The revisions and additions read as follows:


Sec.  261.4  Exclusions.

* * * * *
    (d) * * * (1) Except as provided in paragraphs (d)(2) and (4) of 
this section, a sample of solid waste or a sample of water, soil, or 
air, which is collected for the sole purpose of testing to determine 
its characteristics or composition, is not subject to any requirements 
of this part or parts 262 through 268 or part 270 or part 124 of this 
chapter or to the

[[Page 85714]]

notification requirements of section 3010 of RCRA, when:
* * * * *
    (4) In order to qualify for the exemption in paragraphs (d)(1)(i) 
and (ii) of this section, the mass of a sample that will be exported to 
a foreign laboratory or that will be imported to a U.S. laboratory from 
a foreign source must additionally not exceed 25 kg.
    (e) * * * (1) Except as provided in paragraphs (e)(2) and (4) of 
this section, persons who generate or collect samples for the purpose 
of conducting treatability studies as defined in 40 CFR 260.10, are not 
subject to any requirement of 40 CFR parts 261 through 263 or to the 
notification requirements of Section 3010 of RCRA, nor are such samples 
included in the quantity determinations of 40 CFR 261.5 and 262.34(d) 
when:
* * * * *
    (4) In order to qualify for the exemption in paragraph (e)(1)(i) of 
this section, the mass of a sample that will be exported to a foreign 
laboratory or testing facility, or that will be imported to a U.S. 
laboratory or testing facility from a foreign source must additionally 
not exceed 25 kg.
* * * * *

0
6. Amend Sec.  261.6 by revising paragraphs (a)(3)(i) and (a)(5) to 
read as follows:


Sec.  261.6  Requirements for recyclable materials.

    (a) * * *
    (3) * * *
    (i) Industrial ethyl alcohol that is reclaimed except that exports 
and imports of such recyclable materials must comply with the 
requirements of 40 CFR part 262, subpart H.
* * * * *
    (5) Hazardous waste that is exported or imported for purpose of 
recovery is subject to the requirements of 40 CFR part 262, subpart H.
* * * * *

0
7. Amend Sec.  261.39 by revising paragraphs (a)(5)(ii), (v), (vi), 
(ix), and (xi) to read as follows:


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

* * * * *
    (a) * * *
    (5) * * *
    (ii) Notifications must be submitted electronically using EPA's 
Waste Import Export Tracking System (WIETS), or its successor system.
* * * * *
    (v) The export of CRTs is prohibited unless all of the following 
occur:
    (A) The receiving country consents to the intended export. When the 
receiving country consents in writing to the receipt of the CRTs, EPA 
will forward an Acknowledgment of Consent to Export CRTs to the 
exporter. Where the receiving country objects to receipt of the CRTs or 
withdraws a prior consent, EPA will notify the exporter in writing. EPA 
will also notify the exporter of any responses from transit countries.
    (B) On or after the AES filing compliance date, the exporter or a 
U.S. authorized agent must:
    (1) Submit Electronic Export Information (EEI) for each shipment to 
the Automated Export System (AES) or its successor system, under the 
International Trade Data System (ITDS) platform, in accordance with 15 
CFR 30.4(b).
    (2) Include the following items in the EEI, along with the other 
information required under 15 CFR 30.6:
    (i) EPA license code;
    (ii) Commodity classification code per 15 CFR 30.6(a)(12);
    (iii) EPA consent number;
    (iv) Country of ultimate destination per 15 CFR 30.6(a)(5);
    (v) Date of export per 15 CFR 30.6(a)(2);
    (vi) Quantity of waste in shipment and units for reported quantity, 
if required reporting units established by value for the reported 
commodity classification number are in units of weight or volume per 15 
CFR 30.6(a)(15); or
    (vii) EPA net quantity reported in units of kilograms, if required 
reporting units established by value for the reported commodity 
classification number are not in units of weight or volume.
    (vi) When the conditions specified on the original notification 
change, the exporter must provide EPA with a written renotification of 
the change using the allowable methods listed in paragraph (a)(5)(ii) 
of this section, except for changes to the telephone number in 
paragraph (a)(5)(i)(A) of this section and decreases in the quantity 
indicated pursuant to paragraph (a)(5)(i)(C) of this section. The 
shipment cannot take place until consent of the receiving country to 
the changes has been obtained (except for changes to information about 
points of entry and departure and transit countries pursuant to 
paragraphs (a)(5)(i)(D) and (H) of this section) and the exporter of 
CRTs receives from EPA a copy of the Acknowledgment of Consent to 
Export CRTs reflecting the receiving country's consent to the changes.
* * * * *
    (ix) Exporters must keep copies of notifications and 
Acknowledgments of Consent to Export CRTs for a period of three years 
following receipt of the Acknowledgment. Exporters may satisfy this 
recordkeeping requirement by retaining electronically submitted 
notifications or electronically generated Acknowledgements in the CRT 
exporter's account on EPA's Waste Import Export Tracking System 
(WIETS), or its successor system, provided that such copies are readily 
available for viewing and production if requested by any EPA or 
authorized state inspector. No CRT exporter may be held liable for the 
inability to produce a notification or Acknowledgement for inspection 
under this section if the CRT exporter can demonstrate that the 
inability to produce such copies are due exclusively to technical 
difficulty with EPA's Waste Import Export Tracking System (WIETS), or 
its successor system for which the CRT exporter bears no 
responsibility.
* * * * *
    (xi) Prior to one year after the AES filing compliance date, annual 
reports must be sent to the following mailing address: Office of 
Enforcement and Compliance Assurance, Office of Federal Activities, 
International Compliance Assurance Division, (Mail Code 2254A), 
Environmental Protection Agency, 1200 Pennsylvania Ave. NW., 
Washington, DC 20460. Hand-delivered annual reports on used CRTs 
exported during 2016 should be sent to: Office of Enforcement and 
Compliance Assurance, Office of Federal Activities, International 
Compliance Assurance Division, (Mail Code 2254A), Environmental 
Protection Agency, Ariel Rios Bldg., Room 6144, 1200 Pennsylvania Ave. 
NW., Washington, DC. Subsequently, annual reports must be submitted to 
the office listed using the allowable methods specified in paragraph 
(a)(5)(ii) of this section. Exporters must keep copies of each annual 
report for a period of at least three years from the due date of the 
report. Exporters may satisfy this recordkeeping requirement by 
retaining electronically submitted annual reports in the CRT exporter's 
account on EPA's Waste Import Export Tracking System (WIETS), or its 
successor system, provided that a copy is readily available for viewing 
and production if requested by any EPA or authorized state inspector. 
No CRT exporter may be held liable for the inability to produce an 
annual report for inspection under this section if the CRT exporter can 
demonstrate that the inability to produce the annual report is due

[[Page 85715]]

exclusively to technical difficulty with EPA's Waste Import Export 
Tracking System (WIETS), or its successor system for which the CRT 
exporter bears no responsibility.
* * * * *

PART 262--STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE

0
8. The authority citation for part 262 continues to read as follows:

    Authority:  42 U.S.C 6906, 6912, 6922-6925, 6937, and 6938.


0
9. Amend Sec.  262.10 by revising paragraph (d) to read as follows:


Sec.  262.10  Purpose, scope, and applicability.

* * * * *
    (d) Any person who exports or imports hazardous wastes must comply 
with Sec.  262.12 and subpart H of this part.
* * * * *

0
10. Amend Sec.  262.12 by adding paragraph (d) to read as follows:


Sec.  262.12  EPA identification numbers.

* * * * *
    (d) A recognized trader must not arrange for import or export of 
hazardous waste without having received an EPA identification number 
from the Administrator.

0
11. Amend Sec.  262.41 by revising the last sentence in paragraph (b) 
to read as follows:


Sec.  262.41  Biennial report.

* * * * *
    (b) * * * A separate annual report requirement is set forth at 
Sec.  262.83(g) for hazardous waste exporters.

Subpart E--[Removed and Reserved]

0
12. Remove and reserve subpart E, consisting of Sec. Sec.  262.50 
through 262.58.

Subpart F--[Removed and Reserved]

0
13. Remove and reserve subpart F, consisting of Sec.  262.60.

0
14. Subpart H is revised to read as follows:
Subpart H--Transboundary Movements of Hazardous Waste for Recovery or 
Disposal
Sec.
262.80 Applicability.
262.81 Definitions.
262.82 General conditions.
262.83 Exports of hazardous waste.
262.84 Imports of hazardous waste.
262.85-262.89 [Reserved]

Subpart H--Transboundary Movements of Hazardous Waste for Recovery 
or Disposal


Sec.  262.80  Applicability.

    (a) The requirements of this subpart apply to transboundary 
movements of hazardous wastes.
    (b) Any person (including exporter, importer, disposal facility 
operator, or recovery facility operator) who mixes two or more wastes 
(including hazardous and non-hazardous wastes) or otherwise subjects 
two or more wastes (including hazardous and non-hazardous wastes) to 
physical or chemical transformation operations, and thereby creates a 
new hazardous waste, becomes a generator and assumes all subsequent 
generator duties under RCRA and any exporter duties, if applicable, 
under this subpart.


Sec.  262.81  Definitions.

    In addition to the definitions set forth at 40 CFR 260.10, the 
following definitions apply to this subpart:
    Competent authority means the regulatory authority or authorities 
of concerned countries having jurisdiction over transboundary movements 
of wastes.
    Countries concerned means the countries of export or import and any 
countries of transit.
    Country of export means any country from which a transboundary 
movement of hazardous wastes is planned to be initiated or is 
initiated.
    Country of import means any country to which a transboundary 
movement of hazardous wastes is planned or takes place for the purpose 
of submitting the wastes to recovery or disposal operations therein.
    Country of transit means any country other than the country of 
export or country of import across which a transboundary movement of 
hazardous wastes is planned or takes place.
    Disposal operations means activities which do not lead to the 
possibility of resource recovery, recycling, reclamation, direct re-use 
or alternate uses, which include:
    (1) D1 Release or Deposit into or onto land, other than by any of 
operations D2 through D5 or D12.
    (2) D2 Land treatment, such as biodegradation of liquids or sludges 
in soils.
    (3) D3 Deep injection, such as injection into wells, salt domes or 
naturally occurring repositories.
    (4) D4 Surface impoundment, such as placing of liquids or sludges 
into pits, ponds or lagoons.
    (5) D5 Specially engineered landfill, such as placement into lined 
discrete cells which are capped and isolated from one another and the 
environment.
    (6) D6 Release into a water body other than a sea or ocean, and 
other than by operation D4.
    (7) D7 Release into a sea or ocean, including sea-bed insertion, 
other than by operation D4.
    (8) D8 Biological treatment not specified elsewhere in operations 
D1 through D12, which results in final compounds or mixtures which are 
discarded by means of any of operations D1 through D12.
    (9) D9 Physical or chemical treatment not specified elsewhere in 
operations D1 through D12, such as evaporation, drying, calcination, 
neutralization, or precipitation, which results in final compounds or 
mixtures which are discarded by means of any of operations D1through 
D12.
    (10) D10 Incineration on land.
    (11) D11 Incineration at sea.
    (12) D12 Permanent storage.
    (13) D13 Blending or mixing, prior to any of operations D1 through 
D12.
    (14) D14 Repackaging, prior to any of operations D1 through D13.
    (15) D15 (or DC17 for transboundary movements with Canada only) 
Interim Storage, prior to any of operations D1 through D12.
    (16) DC15 Release, including the venting of compressed or liquified 
gases, or treatment, other than by any of operations D1 to D12 (for 
transboundary movements with Canada only).
    (17) DC16 Testing of a new technology to dispose of a hazardous 
waste (for transboundary movements with Canada only).
    EPA Acknowledgment of Consent (AOC) means the letter EPA sends to 
the exporter documenting the specific terms of the country of import's 
consent and the country(ies) of transit's consent(s). The AOC meets the 
definition of an export license in U.S. Census Bureau regulations 15 
CFR 30.1.
    Export means the transportation of hazardous waste from a location 
under the jurisdiction of the United States to a location under the 
jurisdiction of another country, or a location not under the 
jurisdiction of any country, for the purposes of recovery or disposal 
operations therein.
    Exporter, also known as primary exporter on the RCRA hazardous 
waste manifest, means the person domiciled in the United States who is 
required to originate the movement document in accordance with Sec.  
262.83(d) or the manifest for a shipment of hazardous waste in 
accordance with subpart B of this part, or equivalent State provision, 
which specifies a foreign receiving facility as the facility to which 
the

[[Page 85716]]

hazardous wastes will be sent, or any recognized trader who proposes 
export of the hazardous wastes for recovery or disposal operations in 
the country of import.
    Foreign exporter means the person under the jurisdiction of the 
country of export who has, or will have at the time the planned 
transboundary movement commences, possession or other forms of legal 
control of the hazardous wastes and who proposes shipment of the 
hazardous wastes to the United States for recovery or disposal 
operations.
    Foreign importer means the person to whom possession or other form 
of legal control of the hazardous waste is assigned at the time the 
exported hazardous waste is received in the country of import.
    Foreign receiving facility means a facility which, under the 
importing country's applicable domestic law, is operating or is 
authorized to operate in the country of import to receive the hazardous 
wastes and to perform recovery or disposal operations on them.
    Import means the transportation of hazardous waste from a location 
under the jurisdiction of another country to a location under the 
jurisdiction of the United States for the purposes of recovery or 
disposal operations therein.
    Importer means the person to whom possession or other form of legal 
control of the hazardous waste is assigned at the time the imported 
hazardous waste is received in the United States.
    OECD area means all land or marine areas under the national 
jurisdiction of any OECD Member country. When the regulations refer to 
shipments to or from an OECD Member country, this means OECD area.
    OECD means the Organization for Economic Cooperation and 
Development.
    OECD Member country means the countries that are members of the 
OECD and participate in the Amended 2001 OECD Decision. (EPA provides a 
list of OECD Member countries at https://www.epa.gov/hwgenerators/international-agreements-transboundary-shipments-waste).
    Receiving facility means a U.S. facility which, under RCRA and 
other applicable domestic laws, is operating or is authorized to 
operate to receive hazardous wastes and to perform recovery or disposal 
operations on them.
    Recovery operations means activities leading to resource recovery, 
recycling, reclamation, direct re-use or alternative uses, which 
include:
    (1) R1 Use as a fuel (other than in direct incineration) or other 
means to generate energy.
    (2) R2 Solvent reclamation/regeneration.
    (3) R3 Recycling/reclamation of organic substances which are not 
used as solvents.
    (4) R4 Recycling/reclamation of metals and metal compounds.
    (5) R5 Recycling/reclamation of other inorganic materials.
    (6) R6 Regeneration of acids or bases.
    (7) R7 Recovery of components used for pollution abatement.
    (8) R8 Recovery of components used from catalysts.
    (9) R9 Used oil re-refining or other reuses of previously used oil.
    (10) R10 Land treatment resulting in benefit to agriculture or 
ecological improvement.
    (11) R11 Uses of residual materials obtained from any of the 
operations numbered R1 through R10 or RC14 (for transboundary shipments 
with Canada only).
    (12) R12 Exchange of wastes for submission to any of the operations 
numbered R1 through R11 or RC14 (for transboundary shipments with 
Canada only).
    (13) R13 Accumulation of material intended for any operation 
numbered R1 through R12 or RC14 (for transboundary shipments with 
Canada only).
    (14) RC14 Recovery or regeneration of a substance or use or re-use 
of a recyclable material, other than by any of operations R1 to R10 
(for transboundary shipments with Canada only).
    (15) RC15 Testing of a new technology to recycle a hazardous 
recyclable material (for transboundary shipments with Canada only).
    (16) RC16 Interim storage prior to any of operations R1 to R11 or 
RC14 (for transboundary shipments with Canada only).
    Transboundary movement means any movement of hazardous wastes from 
an area under the national jurisdiction of one country to an area under 
the national jurisdiction of another country.


Sec.  262.82  General conditions.

    (a) Scope. The level of control for exports and imports of waste is 
indicated by assignment of the waste to either a list of wastes subject 
to the Green control procedures or a list of wastes subject to the 
Amber control procedures and whether the waste is or is not hazardous 
waste. The OECD Green and Amber lists are incorporated by reference in 
40 CFR 260.11.
    (1) Green list wastes. (i) Green wastes that are not hazardous 
wastes are subject to existing controls normally applied to commercial 
transactions, and are not subject to the requirements of this subpart.
    (ii) Green wastes that are hazardous wastes are subject to the 
requirements of this subpart.
    (2) Amber list wastes. (i) Amber wastes that are hazardous wastes 
are subject to the requirements of this subpart, even if they are 
imported to or exported from a country that does not consider the waste 
to be hazardous or control the transboundary shipment as a hazardous 
waste import or export.
    (A) For exports, the exporter must comply with Sec.  262.83.
    (B) For imports, the recovery or disposal facility and the importer 
must comply with Sec.  262.84.
    (ii) Amber wastes that are not hazardous wastes, but are considered 
hazardous by the other country are subject to the Amber control 
procedures in the country that considers the waste hazardous, and are 
not subject to the requirements of this subpart. All responsibilities 
of the importer or exporter shift to the foreign importer or foreign 
exporter in the other country that considers the waste hazardous unless 
the parties make other arrangements through contracts.

    Note to paragraph (a)(2): Some Amber list wastes are not listed 
or otherwise identified as hazardous under RCRA, and therefore are 
not subject to the requirements of this subpart. Regardless of the 
status of the waste under RCRA, however, other Federal environmental 
statutes (e.g., the Toxic Substances Control Act) restrict certain 
waste imports or exports. Such restrictions continue to apply with 
regard to this subpart.

    (3) Mixtures of wastes. (i) A Green waste that is mixed with one or 
more other Green wastes such that the resulting mixture is not 
hazardous waste is not subject to the requirements of this subpart.

    Note to paragraph (a)(3)(i): The regulated community should note 
that some countries may require, by domestic law, that mixtures of 
different Green wastes be subject to the Amber control procedures.

    (ii) A Green waste that is mixed with one or more Amber wastes, in 
any amount, de minimis or otherwise, or a mixture of two or more Amber 
wastes, such that the resulting waste mixture is hazardous waste is 
subject to the requirements of this subpart.

    Note to paragraph (a)(3)(ii): The regulated community should 
note that some countries may require, by domestic law, that a 
mixture of a Green waste and more than a de minimis amount of an 
Amber waste or a mixture of two or more Amber wastes be subject to 
the Amber control procedures.


[[Page 85717]]


    (4) Wastes not yet assigned to an OECD waste list are eligible for 
transboundary movements, as follows:
    (i) If such wastes are hazardous wastes, such wastes are subject to 
the requirements of this subpart.
    (ii) If such wastes are not hazardous wastes, such wastes are not 
subject to the requirements of this subpart.
    (b) General conditions applicable to transboundary movements of 
hazardous waste. (1) The hazardous waste must be destined for recovery 
or disposal operations at a facility that, under applicable domestic 
law, is operating or is authorized to operate in the country of import;
    (2) The transboundary movement must be in compliance with 
applicable international transport agreements; and

    Note to paragraph (b)(2): These international agreements 
include, but are not limited to, the Chicago Convention (1944), ADR 
(1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS Convention 
(1974), IMDG Code (1985), COTIF (1985), and RID (1985).

    (3) Any transit of hazardous waste through one or more countries 
must be conducted in compliance with all applicable international and 
national laws and regulations.
    (c) Duty to return wastes subject to the Amber control procedures 
during transit through the United States. When a transboundary movement 
of hazardous wastes transiting the United States and subject to the 
Amber control procedures does not comply with the requirements of the 
notification and movement documents or otherwise constitutes illegal 
shipment, and if alternative arrangements cannot be made to recover or 
dispose of these wastes in an environmentally sound manner, the waste 
must be returned to the country of export. The U.S. transporter must 
inform EPA at the specified mailing address in paragraph (e) of this 
section of the need to return the shipment. EPA will then inform the 
competent authority of the country of export, citing the reason(s) for 
returning the waste. The U.S. transporter must complete the return 
within ninety (90) days from the time EPA informs the country of export 
of the need to return the waste, unless informed in writing by EPA of 
another timeframe agreed to by the concerned countries.
    (d) Laboratory analysis exemption. Export or import of a hazardous 
waste sample is exempt from the requirements of this subpart if the 
sample is destined for laboratory analysis to assess its physical or 
chemical characteristics, or to determine its suitability for recovery 
or disposal operations, does not exceed twenty-five kilograms (25 kg) 
in quantity, is appropriately packaged and labeled, and complies with 
the conditions of 40 CFR 261.4(d) or (e).
    (e) EPA Address for submittals by postal mail or hand delivery. 
Submittals required in this subpart to be made by postal mail or hand 
delivery should be sent to the following addresses:
    (1) For postal mail delivery, the Office of Enforcement and 
Compliance Assurance, Office of Federal Activities, International 
Compliance Assurance Division (2254A), Environmental Protection Agency, 
1200 Pennsylvania Avenue NW., Washington, DC 20460.
    (2) For hand-delivery, the Office of Enforcement and Compliance 
Assurance, Office of Federal Activities, International Compliance 
Assurance Division, Environmental Protection Agency, William Jefferson 
Clinton South Bldg., Room 6144, 12th St. and Pennsylvania Ave NW., 
Washington, DC 20004.


Sec.  262.83  Exports of hazardous waste.

    (a) General export requirements. Except as provided in paragraphs 
(a)(5) and (6) of this section, exporters that have received an AOC 
from EPA before December 31, 2016 are subject to that approval and the 
requirements listed in the AOC that existed at the time of that 
approval until such time the approval period expires. All other exports 
of hazardous waste are prohibited unless:
    (1) The exporter complies with the contract requirements in 
paragraph (f) of this section;
    (2) The exporter complies with the notification requirements in 
paragraph (b) of this section;
    (3) The exporter receives an AOC from EPA documenting consent from 
the countries of import and transit (and original country of export if 
exporting previously imported hazardous waste);
    (4) The exporter ensures compliance with the movement documents 
requirements in paragraph (d) of this section;
    (5) The exporter ensures compliance with the manifest instructions 
for export shipments in paragraph (c) of this section; and
    (6) The exporter or a U.S. authorized agent:
    (i) For shipments initiated prior to the AES filing compliance 
date, does one of the following:
    (A) Submits Electronic Export Information (EEI) for each shipment 
to the Automated Export System (AES) or its successor system, under the 
International Trade Data System (ITDS) platform, in accordance with 15 
CFR 30.4(b), and includes the following items in the EEI, along with 
the other information required under 15 CFR 30.6:
    (1) EPA license code;
    (2) Commodity classification code for each hazardous waste per 15 
CFR 30.6(a)(12);
    (3) EPA consent number for each hazardous waste;
    (4) Country of ultimate destination code per 15 CFR 30.6(a)(5);
    (5) Date of export per 15 CFR 30.6(a)(2);
    (6) RCRA hazardous waste manifest tracking number, if required;
    (7) Quantity of each hazardous waste in shipment and units for 
reported quantity, if required reporting units established by value for 
the reported commodity classification number are in units of weight or 
volume per 15 CFR 30.6(a)(15); or
    (8) EPA net quantity for each hazardous waste reported in units of 
kilograms if solid or in units of liters if liquid, if required 
reporting units established by value for the reported commodity 
classification number are not in units of weight or volume.
    (B) Complies with a paper-based process by:
    (1) Attaching paper documentation of consent (i.e., a copy of the 
EPA Acknowledgment of Consent, international movement document) to the 
manifest, or shipping papers if a manifest is not required, which must 
accompany the hazardous waste shipment. For exports by rail or water 
(bulk shipment), the primary exporter must provide the transporter with 
the paper documentation of consent which must accompany the hazardous 
waste but which need not be attached to the manifest except that for 
exports by water (bulk shipment) the primary exporter must attach the 
paper documentation of consent to the shipping paper.
    (2) Providing the transporter with an additional copy of the 
manifest, and instructing the transporter via mail, email or fax to 
deliver that copy to the U.S. Customs official at the point the 
hazardous waste leaves the United States in accordance with 40 CFR 
263.20(g)(4)(ii)
    (ii) For shipments initiated on or after the AES filing compliance 
date, submits Electronic Export Information (EEI) for each shipment to 
the Automated Export System (AES) or its successor system, under the 
International Trade Data System (ITDS) platform, in accordance with 15 
CFR 30.4(b), and includes the following items in the EEI, along with 
the other information required under 15 CFR 30.6:
    (A) EPA license code;

[[Page 85718]]

    (B) Commodity classification code for each hazardous waste per 15 
CFR 30.6(a)(12);
    (C) EPA consent number for each hazardous waste;
    (D) Country of ultimate destination code per 15 CFR 30.6(a)(5);
    (E) Date of export per 15 CFR 30.6(a)(2);
    (F) RCRA hazardous waste manifest tracking number, if required;
    (G) Quantity of each hazardous waste in shipment and units for 
reported quantity, if required reporting units established by value for 
the reported commodity classification number are in units of weight or 
volume per 15 CFR 30.6(a)(15); or
    (H) EPA net quantity for each hazardous waste reported in units of 
kilograms if solid or in units of liters if liquid, if required 
reporting units established by value for the reported commodity 
classification number are not in units of weight or volume.
    (b) Notifications--(1) General notifications. At least sixty (60) 
days before the first shipment of hazardous waste is expected to leave 
the United States, the exporter must provide notification in English to 
EPA of the proposed transboundary movement. Notifications must be 
submitted electronically using EPA's Waste Import Export Tracking 
System (WIETS), or its successor system. The notification may cover up 
to one year of shipments of one or more hazardous wastes being sent to 
the same recovery or disposal facility, and must include all of the 
following information:
    (i) Exporter name and EPA identification number, address, 
telephone, fax numbers, and email address;
    (ii) Foreign receiving facility name, address, telephone, fax 
numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (iii) Foreign importer name (if not the owner or operator of the 
foreign receiving facility), address, telephone, fax numbers, and email 
address;
    (iv) Intended transporter(s) and/or their agent(s); address, 
telephone, fax, and email address;
    (v) ``U.S.'' as the country of export name, ``USA01'' as the 
relevant competent authority code, and the intended U.S. port(s) of 
exit;
    (vi) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and the ports of entry and exit for each 
country of transit;
    (vii) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and port of entry for the country of import;
    (viii) Statement of whether the notification covers a single 
shipment or multiple shipments;
    (ix) Start and End Dates requested for transboundary movements;
    (x) Means of transport planned to be used;
    (xi) Description(s) of each hazardous waste, including whether each 
hazardous waste is regulated universal waste under 40 CFR part 273, or 
the state equivalent, spent lead-acid batteries being exported for 
recovery of lead under 40 CFR part 266, subpart G, or the state 
equivalent, or industrial ethyl alcohol being exported for reclamation 
under 40 CFR 261.6(a)(3)(i), or the state equivalent, estimated total 
quantity of each waste in either metric tons or cubic meters, the 
applicable RCRA waste code(s) for each hazardous waste, the applicable 
OECD waste code from the lists incorporated by reference in 40 CFR 
260.11, and the United Nations/U.S. Department of Transportation (DOT) 
ID number for each waste;
    (xii) Specification of the recovery or disposal operation(s) as 
defined in Sec.  262.81.
    (xiii) Certification/Declaration signed by the exporter that 
states:

    I certify that the above information is complete and correct to 
the best of my knowledge. I also certify that legally enforceable 
written contractual obligations have been entered into and that any 
applicable insurance or other financial guarantee is or shall be in 
force covering the transboundary movement.

Name:
Signature:
Date:

    (2) Exports to pre-consented recovery facilities in OECD Member 
countries. If the recovery facility is located in an OECD member 
country and has been pre-consented by the competent authority of the 
OECD member country to recover the waste sent by exporters located in 
other OECD member countries, the notification may cover up to three 
years of shipments. Notifications proposing export to a pre-consented 
facility in an OECD member country must include all information listed 
in paragraphs (b)(1)(i) through (b)(1)(xiii) of this section and 
additionally state that the facility is pre-consented. Exporters must 
submit the notification to EPA using the allowable methods listed in 
paragraph (b)(1) of this section at least ten days before the first 
shipment is expected to leave the United States.
    (3) Notifications listing interim recycling operations or interim 
disposal operations. If the foreign receiving facility listed in 
paragraph (b)(1)(ii) of this section will engage in any of the interim 
recovery operations R12 or R13 or interim disposal operations D13 
through D15, or in the case of transboundary movements with Canada, any 
of the interim recovery operations R12, R13, or RC16, or interim 
disposal operations D13 to D14, or DC17, the notification submitted 
according to paragraph (b)(1) of this section must also include the 
final foreign recovery or disposal facility name, address, telephone, 
fax numbers, email address, technologies employed, and which of the 
applicable recovery or disposal operations R1 through R11 and D1 
through D12, or in the case of transboundary movements with Canada, 
which of the applicable recovery or disposal operations R1 through R11, 
RC14 to RC15, D1 through D12, and DC15 to DC16 will be employed at the 
final foreign recovery or disposal facility. The recovery and disposal 
operations in this paragraph are defined in Sec.  262.81.
    (4) Renotifications. When the exporter wishes to change any of the 
information specified on the original notification (including 
increasing the estimate of the total quantity of hazardous waste 
specified in the original notification or adding transporters), the 
exporter must submit a renotification of the changes to EPA using the 
allowable methods in paragraph (b)(1) of this section. Any shipment 
using the requested changes cannot take place until the countries of 
import and transit consent to the changes and the exporter receives an 
EPA AOC letter documenting the countries' consents to the changes.
    (5) For cases where the proposed country of import and recovery or 
disposal operations are not covered under an international agreement to 
which both the United States and the country of import are parties, EPA 
will coordinate with the Department of State to provide the complete 
notification to country of import and any countries of transit. In all 
other cases, EPA will provide the notification directly to the country 
of import and any countries of transit. A notification is complete when 
EPA receives a notification which EPA determines satisfies the 
requirements of paragraph (b)(1)(i) through (b)(1)(xiii) of this 
section. Where a claim of confidentiality is asserted with respect to 
any notification information required by paragraphs (b)(1)(i) through 
(b)(1)(xiii) of this section, EPA may find the notification not 
complete until any such claim is resolved in accordance with 40 CFR 
260.2.

[[Page 85719]]

    (6) Where the countries of import and transit consent to the 
proposed transboundary movement(s) of the hazardous waste(s), EPA will 
forward an EPA AOC letter to the exporter documenting the countries' 
consents. Where any of the countries of import and transit objects to 
the proposed transboundary movement(s) of the hazardous waste or 
withdraws a prior consent, EPA will notify the exporter.
    (7) Export of hazardous wastes for recycling or disposal operations 
that were originally imported into the United States for recycling or 
disposal operations in a third country is prohibited unless an exporter 
in the United States complies with the export requirements in Sec.  
262.83, including providing notification to EPA in accordance with 
paragraph (b)(1) of this section. In addition to listing all required 
information in paragraphs (b)(1)(i) through (b)(1)(xiii) of this 
section, the exporter must provide the original consent number issued 
for the initial import of the wastes in the notification, and receive 
an AOC from EPA documenting the consent of the competent authorities in 
new country of import, the original country of export, and any transit 
countries prior to re-export.
    (8) Upon request by EPA, the exporter must furnish to EPA any 
additional information which the country of import requests in order to 
respond to a notification.
    (c) RCRA manifest instructions for export shipments. The exporter 
must comply with the manifest requirements of Sec. Sec.  262.20 through 
262.23 except that:
    (1) In lieu of the name, site address and EPA ID number of the 
designated permitted facility, the exporter must enter the name and 
site address of the foreign receiving facility;
    (2) In the International Shipments block, the exporter must check 
the export box and enter the U.S. port of exit (city and State) from 
the United States.
    (3) The exporter must list the consent number from the AOC for each 
hazardous waste listed on the manifest, matched to the relevant list 
number for the hazardous waste from block 9b. If additional space is 
needed, the exporter should use a Continuation Sheet(s) (EPA Form 8700-
22A).
    (4) The exporter may obtain the manifest from any source that is 
registered with the U.S. EPA as a supplier of manifests (e.g., states, 
waste handlers, and/or commercial forms printers).
    (d) Movement document requirements for export shipments. (1) All 
exporters must ensure that a movement document meeting the conditions 
of paragraph (d)(2) of this section accompanies each transboundary 
movement of hazardous wastes from the initiation of the shipment until 
it reaches the foreign receiving facility, including cases in which the 
hazardous waste is stored and/or sorted by the foreign importer prior 
to shipment to the foreign receiving facility, except as provided in 
paragraphs (d)(1)(i) and (ii) of this section.
    (i) For shipments of hazardous waste within the United States 
solely by water (bulk shipments only), the exporter must forward the 
movement document to the last water (bulk shipment) transporter to 
handle the hazardous waste in the United States if exported by water.
    (ii) For rail shipments of hazardous waste within the United States 
which start from the company originating the export shipment, the 
exporter must forward the movement document to the next non-rail 
transporter, if any, or the last rail transporter to handle the 
hazardous waste in the United States if exported by rail.
    (2) The movement document must include the following paragraphs 
(d)(2)(i) through (xv) of this section:
    (i) The corresponding consent number(s) and hazardous waste 
number(s) for the listed hazardous waste from the relevant EPA AOC(s);
    (ii) The shipment number and the total number of shipments from the 
EPA AOC;
    (iii) Exporter name and EPA identification number, address, 
telephone, fax numbers, and email address;
    (iv) Foreign receiving facility name, address, telephone, fax 
numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (v) Foreign importer name (if not the owner or operator of the 
foreign receiving facility), address, telephone, fax numbers, and email 
address;
    (vi) Description(s) of each hazardous waste, quantity of each 
hazardous waste in the shipment, applicable RCRA hazardous waste 
code(s) for each hazardous waste, applicable OECD waste code for each 
hazardous waste from the lists incorporated by reference in 40 CFR 
260.11, and the United Nations/U.S. Department of Transportation (DOT) 
ID number for each hazardous waste;
    (vii) Date movement commenced;
    (viii) Name (if not exporter), address, telephone, fax numbers, and 
email of company originating the shipment;
    (ix) Company name, EPA ID number, address, telephone, fax, and 
email address of all transporters;
    (x) Identification (license, registered name or registration 
number) of means of transport, including types of packaging;
    (xi) Any special precautions to be taken by transporter(s);
    (xii) Certification/declaration signed and dated by the exporter 
that the information in the movement document is complete and correct;
    (xiii) Appropriate signatures for each custody transfer (e.g., 
transporter, importer, and owner or operator of the foreign receiving 
facility);
    (xiv) Each U.S. person that has physical custody of the hazardous 
waste from the time the movement commences until it arrives at the 
foreign receiving facility must sign the movement document (e.g., 
transporter, foreign importer, and owner or operator of the foreign 
receiving facility); and
    (xv) As part of the contract requirements per paragraph (f) of this 
section, the exporter must require that the foreign receiving facility 
send a copy of the signed movement document to confirm receipt within 
three working days of shipment delivery to the exporter, to the 
competent authorities of the countries of import and transit, and for 
shipments occurring on or after the electronic import-export reporting 
compliance date, the exporter must additionally require that the 
foreign receiving facility send a copy to EPA at the same time using 
the allowable methods listed in paragraph (b)(1) of this section.
    (e) Duty to return or re-export hazardous wastes. When a 
transboundary movement of hazardous wastes cannot be completed in 
accordance with the terms of the contract or the consent(s) and 
alternative arrangements cannot be made to recover or dispose of the 
waste in an environmentally sound manner in the country of import, the 
exporter must ensure that the hazardous waste is returned to the United 
States or re-exported to a third country. If the waste must be 
returned, the exporter must provide for the return of the hazardous 
waste shipment within ninety days from the time the country of import 
informs EPA of the need to return the waste or such other period of 
time as the concerned countries agree. In all cases, the exporter must 
submit an exception report to EPA in accordance with paragraph (h) of 
this section.
    (f) Export contract requirements. (1) Exports of hazardous waste 
are prohibited unless they occur under the terms of a valid written 
contract, chain

[[Page 85720]]

of contracts, or equivalent arrangements (when the movement occurs 
between parties controlled by the same corporate or legal entity). Such 
contracts or equivalent arrangements must be executed by the exporter, 
foreign importer (if different from the foreign receiving facility), 
and the owner or operator of the foreign receiving facility, and must 
specify responsibilities for each. Contracts or equivalent arrangements 
are valid for the purposes of this section only if persons assuming 
obligations under the contracts or equivalent arrangements have 
appropriate legal status to conduct the operations specified in the 
contract or equivalent arrangements.
    (2) Contracts or equivalent arrangements must specify the name and 
EPA ID number, where available, of paragraph (f)(2)(i) through (iv) of 
this section:
    (i) The company from where each export shipment of hazardous waste 
is initiated;
    (ii) Each person who will have physical custody of the hazardous 
wastes;
    (iii) Each person who will have legal control of the hazardous 
wastes; and
    (iv) The foreign receiving facility.
    (3) Contracts or equivalent arrangements must specify which party 
to the contract will assume responsibility for alternate management of 
the hazardous wastes if their disposition cannot be carried out as 
described in the notification of intent to export. In such cases, 
contracts must specify that:
    (i) The transporter or foreign receiving facility having actual 
possession or physical control over the hazardous wastes will 
immediately inform the exporter, EPA, and either the competent 
authority of the country of transit or the competent authority of the 
country of import of the need to make alternate management 
arrangements; and
    (ii) The person specified in the contract will assume 
responsibility for the adequate management of the hazardous wastes in 
compliance with applicable laws and regulations including, if 
necessary, arranging the return of hazardous wastes and, as the case 
may be, shall provide the notification for re-export to the competent 
authority in the country of import and include the equivalent of the 
information required in paragraph (b)(1) of this section, the original 
consent number issued for the initial export of the hazardous wastes in 
the notification, and obtain consent from EPA and the competent 
authorities in the new country of import and any transit countries 
prior to re-export.
    (4) Contracts must specify that the foreign receiving facility send 
a copy of the signed movement document to confirm receipt within three 
working days of shipment delivery to the exporter and to the competent 
authorities of the countries of import and transit. For contracts that 
will be in effect on or after the electronic import-export reporting 
compliance date, the contracts must additionally specify that the 
foreign receiving facility send a copy to EPA at the same time using 
the allowable methods listed in paragraph (b)(1) of this section on or 
after that date.
    (5) Contracts must specify that the foreign receiving facility 
shall send a copy of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
exporter and to the competent authority of the country of import. For 
contracts that will be in effect on or after the electronic import-
export reporting compliance date, the contracts must additionally 
specify that the foreign receiving facility send a copy to EPA at the 
same time using the allowable methods listed in paragraph (b)(1) of 
this section on or after that date.
    (6) Contracts must specify that the foreign importer or the foreign 
receiving facility that performed interim recycling operations R12, 
R13, or RC16, or interim disposal operations D13 through D15 or DC17, 
(recovery and disposal operations defined in 40 CFR 262.81) as 
appropriate, will:
    (i) Provide the notification required in paragraph (f)(3)(ii) of 
this section prior to any re-export of the hazardous wastes to a final 
foreign recovery or disposal facility in a third country; and
    (ii) Promptly send copies of the confirmation of recovery or 
disposal that it receives from the final foreign recovery or disposal 
facility within one year of shipment delivery to the final foreign 
recovery or disposal facility that performed one of recovery operations 
R1 through R11, or RC16, or one of disposal operations D1 through D12, 
DC15 or DC16 to the competent authority of the country of import. For 
contracts that will be in effect on or after the electronic import-
export reporting compliance date, the contracts must additionally 
specify that the foreign facility send copies to EPA at the same time 
using the allowable method listed in paragraph (b)(1) of this section 
on or after that date.
    (7) Contracts or equivalent arrangements must include provisions 
for financial guarantees, if required by the competent authorities of 
the country of import and any countries of transit, in accordance with 
applicable national or international law requirements.

    Note 1 to paragraph (f)(7): Financial guarantees so required are 
intended to provide for alternate recycling, disposal or other means 
of sound management of the wastes in cases where arrangements for 
the shipment and the recovery operations cannot be carried out as 
foreseen. The United States does not require such financial 
guarantees at this time; however, some OECD Member countries and 
other foreign countries do. It is the responsibility of the exporter 
to ascertain and comply with such requirements; in some cases, 
persons or facilities located in those OECD Member countries or 
other foreign countries may refuse to enter into the necessary 
contracts absent specific references or certifications to financial 
guarantees.

    (8) Contracts or equivalent arrangements must contain provisions 
requiring each contracting party to comply with all applicable 
requirements of this subpart.
    (9) Upon request by EPA, U.S. exporters, importers, or recovery 
facilities must submit to EPA copies of contracts, chain of contracts, 
or equivalent arrangements (when the movement occurs between parties 
controlled by the same corporate or legal entity). Information 
contained in the contracts or equivalent arrangements for which a claim 
of confidentiality is asserted in accordance with 40 CFR 2.203(b) will 
be treated as confidential and will be disclosed by EPA only as 
provided in 40 CFR 260.2.
    (g) Annual reports. The exporter shall file an annual report with 
EPA no later than March 1 of each year summarizing the types, 
quantities, frequency, and ultimate destination of all such hazardous 
waste exported during the previous calendar year. Prior to one year 
after the AES filing compliance date, the exporter must mail or hand-
deliver annual reports to EPA using one of the addresses specified in 
Sec.  262.82(e), or submit to EPA using the allowable methods specified 
in paragraph (b)(1) of this section if the exporter has electronically 
filed EPA information in AES, or its successor system, per paragraph 
(a)(6)(i)(A) of this section for all shipments made the previous 
calendar year. Subsequently, the exporter must submit annual reports to 
EPA using the allowable methods specified in paragraph (b)(1) of this 
section. The annual report must include all of the following paragraphs 
(g)(1) through (6) of this section specified as follows:
    (1) The EPA identification number, name, and mailing and site 
address of the exporter filing the report;

[[Page 85721]]

    (2) The calendar year covered by the report;
    (3) The name and site address of each foreign receiving facility;
    (4) By foreign receiving facility, for each hazardous waste 
exported:
    (i) A description of the hazardous waste;
    (ii) The applicable EPA hazardous waste code(s) (from 40 CFR part 
261, subpart C or D) for each waste;
    (iii) The applicable waste code from the appropriate OECD waste 
list incorporated by reference in 40 CFR 260.11;
    (iv) The applicable DOT ID number;
    (v) The name and U.S. EPA ID number (where applicable) for each 
transporter used over the calendar year covered by the report; and
    (vi) The consent number(s) under which the hazardous waste was 
shipped, and for each consent number, the total amount of the hazardous 
waste and the number of shipments exported during the calendar year 
covered by the report;
    (5) In even numbered years, for each hazardous waste exported, 
except for hazardous waste produced by exporters of greater than 100kg 
but less than 1,000kg in a calendar month, and except for hazardous 
waste for which information was already provided pursuant to Sec.  
262.41:
    (i) A description of the efforts undertaken during the year to 
reduce the volume and toxicity of the waste generated; and
    (ii) A description of the changes in volume and toxicity of the 
waste actually achieved during the year in comparison to previous years 
to the extent such information is available for years prior to 1984; 
and
    (6) A certification signed by the exporter that states:

    I certify under penalty of law that I have personally examined 
and am familiar with the information submitted in this and all 
attached documents, and that based on my inquiry of those 
individuals immediately responsible for obtaining the information, I 
believe that the submitted information is true, accurate, and 
complete. I am aware that there are significant penalties for 
submitting false information including the possibility of fine and 
imprisonment.

    (h) Exception reports. (1) The exporter must file an exception 
report in lieu of the requirements of Sec.  262.42 (if applicable) with 
EPA if any of the following occurs:
    (i) The exporter has not received a copy of the RCRA hazardous 
waste manifest (if applicable) signed by the transporter identifying 
the point of departure of the hazardous waste from the United States, 
within forty-five (45) days from the date it was accepted by the 
initial transporter, in which case the exporter must file the exception 
report within the next thirty (30) days;
    (ii) The exporter has not received a written confirmation of 
receipt from the foreign receiving facility in accordance with 
paragraph (d) of this section within ninety (90) days from the date the 
waste was accepted by the initial transporter in which case the 
exporter must file the exception report within the next thirty (30) 
days; or
    (iii) The foreign receiving facility notifies the exporter, or the 
country of import notifies EPA, of the need to return the shipment to 
the U.S. or arrange alternate management, in which case the exporter 
must file the exception report within thirty (30) days of notification, 
or one (1) day prior to the date the return shipment commences, 
whichever is sooner.
    (2) Prior to the electronic import-export reporting compliance 
date, exception reports must be mailed or hand delivered to EPA using 
the addresses listed in Sec.  262.82(e). Subsequently, exception 
reports must be submitted to EPA using the allowable methods listed in 
paragraph (b)(1) of this section.
    (i) Recordkeeping. (1) The exporter shall keep the following 
records in paragraphs (i)(1)(i) through (v) of this section and provide 
them to EPA or authorized state personnel upon request:
    (i) A copy of each notification of intent to export and each EPA 
AOC for a period of at least three (3) years from the date the 
hazardous waste was accepted by the initial transporter;
    (ii) A copy of each annual report for a period of at least three 
(3) years from the due date of the report;
    (iii) A copy of any exception reports and a copy of each 
confirmation of receipt (i.e., movement document) sent by the foreign 
receiving facility to the exporter for at least three (3) years from 
the date the hazardous waste was accepted by the initial transporter; 
and
    (iv) A copy of each confirmation of recovery or disposal sent by 
the foreign receiving facility to the exporter for at least three (3) 
years from the date that the foreign receiving facility completed 
interim or final processing of the hazardous waste shipment.
    (v) A copy of each contract or equivalent arrangement established 
per Sec.  262.85 for at least three (3) years from the expiration date 
of the contract or equivalent arrangement.
    (2) Exporters may satisfy these recordkeeping requirements by 
retaining electronically submitted documents in the exporter's account 
on EPA's Waste Import Export Tracking System (WIETS), or its successor 
system, provided that copies are readily available for viewing and 
production if requested by any EPA or authorized state inspector. No 
exporter may be held liable for the inability to produce such documents 
for inspection under this section if the exporter can demonstrate that 
the inability to produce the document is due exclusively to technical 
difficulty with EPA's Waste Import Export Tracking System (WIETS), or 
its successor system for which the exporter bears no responsibility.
    (3) The periods of retention referred to in this section are 
extended automatically during the course of any unresolved enforcement 
action regarding the regulated activity or as requested by the 
Administrator.


Sec.  262.84  Imports of hazardous waste.

    (a) General import requirements. (1) With the exception of 
paragraph (a)(5) of this section, importers of shipments covered under 
a consent from EPA to the country of export issued before December 31, 
2016 are subject to that approval and the requirements that existed at 
the time of that approval until such time the approval period expires. 
Otherwise, any other person who imports hazardous waste from a foreign 
country into the United States must comply with the requirements of 
this part and the special requirements of this subpart.
    (2) In cases where the country of export does not require the 
foreign exporter to submit a notification and obtain consent to the 
export prior to shipment, the importer must submit a notification to 
EPA in accordance with paragraph (b) of this section.
    (3) The importer must comply with the contract requirements in 
paragraph (f) of this section.
    (4) The importer must ensure compliance with the movement documents 
requirements in paragraph (d) of this section; and
    (5) The importer must ensure compliance with the manifest 
instructions for import shipments in paragraph (c) of this section.
    (b) Notifications. In cases where the competent authority of the 
country of export does not regulate the waste as hazardous waste and, 
thus, does not require the foreign exporter to submit to it a 
notification proposing export and obtain consent from EPA and the 
competent authorities for the countries of transit, but EPA does 
regulate the waste as hazardous waste:
    (1) The importer is required to provide notification in English to 
EPA

[[Page 85722]]

of the proposed transboundary movement of hazardous waste at least 
sixty (60) days before the first shipment is expected to depart the 
country of export. Notifications submitted prior to the electronic 
import-export reporting compliance date must be mailed or hand 
delivered to EPA at the addresses specified in Sec.  262.82(e). 
Notifications submitted on or after the electronic import-export 
reporting compliance date must be submitted electronically using EPA's 
Waste Import Export Tracking System (WIETS), or its successor system. 
The notification may cover up to one year of shipments of one or more 
hazardous wastes being sent from the same foreign exporter, and must 
include all of the following information:
    (i) Foreign exporter name, address, telephone, fax numbers, and 
email address;
    (ii) Receiving facility name, EPA ID number, address, telephone, 
fax numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (iii) Importer name (if not the owner or operator of the receiving 
facility), EPA ID number, address, telephone, fax numbers, and email 
address;
    (iv) Intended transporter(s) and/or their agent(s); address, 
telephone, fax, and email address;
    (v) ``U.S.'' as the country of import, ``USA01'' as the relevant 
competent authority code, and the intended U.S. port(s) of entry;
    (vi) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and the ports of entry and exit for each 
country of transit;
    (vii) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and port of exit for the country of export;
    (viii) Statement of whether the notification covers a single 
shipment or multiple shipments;
    (ix) Start and End Dates requested for transboundary movements;
    (x) Means of transport planned to be used;
    (xi) Description(s) of each hazardous waste, including whether each 
hazardous waste is regulated universal waste under 40 CFR part 273, or 
the state equivalent, spent lead-acid batteries being exported for 
recovery of lead under 40 CFR part 266, subpart G, or the state 
equivalent, or industrial ethyl alcohol being exported for reclamation 
under 40 CFR 261.6(a)(3)(i), or the state equivalent, estimated total 
quantity of each hazardous waste, the applicable RCRA hazardous waste 
code(s) for each hazardous waste, the applicable OECD waste code from 
the lists incorporated by reference in 40 CFR 260.11, and the United 
Nations/U.S. Department of Transportation (DOT) ID number for each 
hazardous waste;
    (xii) Specification of the recovery or disposal operation(s) as 
defined in Sec.  262.81; and
    (xiii) Certification/Declaration signed by the importer that 
states:

    I certify that the above information is complete and correct to 
the best of my knowledge. I also certify that legally enforceable 
written contractual obligations have been entered into and that any 
applicable insurance or other financial guarantee is or shall be in 
force covering the transboundary movement.

Name:
Signature:
Date:

    Note to paragraph (b)(1)(xiii): The United States does not 
currently require financial assurance for these waste shipments.

    (2) Notifications listing interim recycling operations or interim 
disposal operations. If the receiving facility listed in paragraph 
(b)(1)(ii) of this section will engage in any of the interim recovery 
operations R12 or R13 or interim disposal operations D13 through D15, 
the notification submitted according to paragraph (b)(1) of this 
section must also include the final recovery or disposal facility name, 
address, telephone, fax numbers, email address, technologies employed, 
and which of the applicable recovery or disposal operations R1 through 
R11 and D1 through D12, will be employed at the final recovery or 
disposal facility. The recovery and disposal operations in this 
paragraph are defined in Sec.  262.81.
    (3) Renotifications. When the foreign exporter wishes to change any 
of the conditions specified on the original notification (including 
increasing the estimate of the total quantity of hazardous waste 
specified in the original notification or adding transporters), the 
importer must submit a renotification of the changes to EPA using the 
allowable methods in paragraph (b)(1) of this section. Any shipment 
using the requested changes cannot take place until EPA and the 
countries of transit consent to the changes and the importer receives 
an EPA AOC letter documenting the consents to the changes.
    (4) A notification is complete when EPA determines the notification 
satisfies the requirements of paragraph (b)(1)(i) through (xiii) of 
this section. Where a claim of confidentiality is asserted with respect 
to any notification information required by paragraphs (b)(1)(i) 
through (xiii) of this section, EPA may find the notification not 
complete until any such claim is resolved in accordance with 40 CFR 
260.2.
    (5) Where EPA and the countries of transit consent to the proposed 
transboundary movement(s) of the hazardous waste(s), EPA will forward 
an EPA AOC letter to the importer documenting the countries' consents 
and EPA's consent. Where any of the countries of transit or EPA objects 
to the proposed transboundary movement(s) of the hazardous waste or 
withdraws a prior consent, EPA will notify the importer.
    (6) Export of hazardous wastes originally imported into the United 
States. Export of hazardous wastes that were originally imported into 
the United States for recycling or disposal operations is prohibited 
unless an exporter in the United States complies with the export 
requirements in Sec.  262.83(b)(7).
    (c) RCRA Manifest instructions for import shipments. (1) When 
importing hazardous waste, the importer must meet all the requirements 
of Sec.  262.20 for the manifest except that:
    (i) In place of the generator's name, address and EPA 
identification number, the name and address of the foreign generator 
and the importer's name, address and EPA identification number must be 
used.
    (ii) In place of the generator's signature on the certification 
statement, the importer or his agent must sign and date the 
certification and obtain the signature of the initial transporter.
    (2) The importer may obtain the manifest form from any source that 
is registered with the EPA as a supplier of manifests (e.g., states, 
waste handlers, and/or commercial forms printers).
    (3) In the International Shipments block, the importer must check 
the import box and enter the point of entry (city and State) into the 
United States.
    (4) The importer must provide the transporter with an additional 
copy of the manifest to be submitted by the receiving facility to U.S. 
EPA in accordance with 40 CFR 264.71(a)(3) and 265.71(a)(3).
    (5) In lieu of the requirements of Sec.  262.20(d), where a 
shipment cannot be delivered for any reason to the receiving facility, 
the importer must instruct the transporter in writing via fax, email or 
mail to:
    (i) Return the hazardous waste to the foreign exporter or designate 
another facility within the United States; and
    (ii) Revise the manifest in accordance with the importer's 
instructions.
    (d) Movement document requirements for import shipments. (1) The 
importer

[[Page 85723]]

must ensure that a movement document meeting the conditions of 
paragraph (d)(2) of this section accompanies each transboundary 
movement of hazardous wastes from the initiation of the shipment in the 
country of export until it reaches the receiving facility, including 
cases in which the hazardous waste is stored and/or sorted by the 
importer prior to shipment to the receiving facility, except as 
provided in paragraphs (d)(1)(i) and (ii) of this section.
    (i) For shipments of hazardous waste within the United States by 
water (bulk shipments only), the importer must forward the movement 
document to the last water (bulk shipment) transporter to handle the 
hazardous waste in the United States if imported by water.
    (ii) For rail shipments of hazardous waste within the United States 
which start from the company originating the export shipment, the 
importer must forward the movement document to the next non-rail 
transporter, if any, or the last rail transporter to handle the 
hazardous waste in the United States if imported by rail.
    (2) The movement document must include the following paragraphs 
(d)(2)(i) through (xv) of this section:
    (i) The corresponding AOC number(s) and waste number(s) for the 
listed waste;
    (ii) The shipment number and the total number of shipments under 
the AOC number;
    (iii) Foreign exporter name, address, telephone, fax numbers, and 
email address;
    (iv) Receiving facility name, EPA ID number, address, telephone, 
fax numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (v) Importer name (if not the owner or operator of the receiving 
facility), EPA ID number, address, telephone, fax numbers, and email 
address;
    (vi) Description(s) of each hazardous waste, quantity of each 
hazardous waste in the shipment, applicable RCRA hazardous waste 
code(s) for each hazardous waste, the applicable OECD waste code for 
each hazardous waste from the lists incorporated by reference in 40 CFR 
260.11, and the United Nations/U.S. Department of Transportation (DOT) 
ID number for each hazardous waste;
    (vii) Date movement commenced;
    (viii) Name (if not the foreign exporter), address, telephone, fax 
numbers, and email of the foreign company originating the shipment;
    (ix) Company name, EPA ID number, address, telephone, fax, and 
email address of all transporters;
    (x) Identification (license, registered name or registration 
number) of means of transport, including types of packaging;
    (xi) Any special precautions to be taken by transporter(s);
    (xii) Certification/declaration signed and dated by the foreign 
exporter that the information in the movement document is complete and 
correct;
    (xiii) Appropriate signatures for each custody transfer (e.g., 
transporter, importer, and owner or operator of the receiving 
facility);
    (xiv) Each person that has physical custody of the waste from the 
time the movement commences until it arrives at the receiving facility 
must sign the movement document (e.g., transporter, importer, and owner 
or operator of the receiving facility); and
    (xv) The receiving facility must send a copy of the signed movement 
document to confirm receipt within three working days of shipment 
delivery to the foreign exporter, to the competent authorities of the 
countries of export and transit, and for shipments received on or after 
the electronic import-export reporting compliance date, to EPA 
electronically using EPA's Waste Import Export Tracking System (WIETS), 
or its successor system.
    (e) Duty to return or export hazardous wastes. When a transboundary 
movement of hazardous wastes cannot be completed in accordance with the 
terms of the contract or the consent(s), the provisions of paragraph 
(f)(4) of this section apply. If alternative arrangements cannot be 
made to recover the hazardous waste in an environmentally sound manner 
in the United States, the hazardous waste must be returned to the 
country of export or exported to a third country. The provisions of 
paragraph (b)(6) of this section apply to any hazardous waste shipments 
to be exported to a third country. If the return shipment will cross 
any transit country, the return shipment may only occur after EPA 
provides notification to and obtains consent from the competent 
authority of the country of transit, and provides a copy of that 
consent to the importer.
    (f) Import contract requirements. (1) Imports of hazardous waste 
must occur under the terms of a valid written contract, chain of 
contracts, or equivalent arrangements (when the movement occurs between 
parties controlled by the same corporate or legal entity). Such 
contracts or equivalent arrangements must be executed by the foreign 
exporter, importer, and the owner or operator of the receiving 
facility, and must specify responsibilities for each. Contracts or 
equivalent arrangements are valid for the purposes of this section only 
if persons assuming obligations under the contracts or equivalent 
arrangements have appropriate legal status to conduct the operations 
specified in the contract or equivalent arrangements.
    (2) Contracts or equivalent arrangements must specify the name and 
EPA ID number, where available, of paragraph (f)(2)(i) through (iv) of 
this section:
    (i) The foreign company from where each import shipment of 
hazardous waste is initiated;
    (ii) Each person who will have physical custody of the hazardous 
wastes;
    (iii) Each person who will have legal control of the hazardous 
wastes; and
    (iv) The receiving facility.
    (3) Contracts or equivalent arrangements must specify the use of a 
movement document in accordance with Sec.  262.84(d).
    (4) Contracts or equivalent arrangements must specify which party 
to the contract will assume responsibility for alternate management of 
the hazardous wastes if their disposition cannot be carried out as 
described in the notification of intent to export submitted by either 
the foreign exporter or the importer. In such cases, contracts must 
specify that:
    (i) The transporter or receiving facility having actual possession 
or physical control over the hazardous wastes will immediately inform 
the foreign exporter and importer, and the competent authority where 
the shipment is located of the need to arrange alternate management or 
return; and
    (ii) The person specified in the contract will assume 
responsibility for the adequate management of the hazardous wastes in 
compliance with applicable laws and regulations including, if 
necessary, arranging the return of the hazardous wastes and, as the 
case may be, shall provide the notification for re-export required in 
Sec.  262.83(b)(7).
    (5) Contracts must specify that the importer or the receiving 
facility that performed interim recycling operations R12, R13, or RC16, 
or interim disposal operations D13 through D15 or DC15 through DC17, as 
appropriate, will provide the notification required in Sec.  
262.83(b)(7) prior to the re-export of hazardous wastes. The recovery 
and disposal operations in this paragraph are defined in Sec.  262.81.
    (6) Contracts or equivalent arrangements must include provisions

[[Page 85724]]

for financial guarantees, if required by the competent authorities of 
any countries concerned, in accordance with applicable national or 
international law requirements.

    Note to paragraph (f)(6): Financial guarantees so required are 
intended to provide for alternate recycling, disposal or other means 
of sound management of the wastes in cases where arrangements for 
the shipment and the recovery operations cannot be carried out as 
foreseen. The United States does not require such financial 
guarantees at this time; however, some OECD Member countries or 
other foreign countries do. It is the responsibility of the importer 
to ascertain and comply with such requirements; in some cases, 
persons or facilities located in those countries may refuse to enter 
into the necessary contracts absent specific references or 
certifications to financial guarantees.

    (7) Contracts or equivalent arrangements must contain provisions 
requiring each contracting party to comply with all applicable 
requirements of this subpart.
    (8) Upon request by EPA, importers or disposal or recovery 
facilities must submit to EPA copies of contracts, chain of contracts, 
or equivalent arrangements (when the movement occurs between parties 
controlled by the same corporate or legal entity). Information 
contained in the contracts or equivalent arrangements for which a claim 
of confidentiality is asserted in accordance with 40 CFR 2.203(b) will 
be treated as confidential and will be disclosed by EPA only as 
provided in 40 CFR 260.2.
    (g) Confirmation of recovery or disposal. The receiving facility 
must do the following:
    (1) Send copies of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
foreign exporter, to the competent authority of the country of export, 
and for shipments recycled or disposed of on or after the electronic 
import-export reporting compliance date, to EPA electronically using 
EPA's Waste Import Export Tracking System (WIETS), or its successor 
system.
    (2) If the receiving facility performed any of recovery operations 
R12, R13, or RC16, or disposal operations D13 through D15, or DC17, the 
receiving facility shall promptly send copies of the confirmation of 
recovery or disposal that it receives from the final recovery or 
disposal facility within one year of shipment delivery to the final 
recovery or disposal facility that performed one of recovery operations 
R1 through R11, or RC14 to RC15, or one of disposal operations D1 
through D12, or DC15 to DC16, to the competent authority of the country 
of export, and for confirmations received on or after the electronic 
import-export reporting compliance date, to EPA electronically using 
EPA's Waste Import Export Tracking System (WIETS), or its successor 
system. The recovery and disposal operations in this paragraph are 
defined in Sec.  262.81.
    (h) Recordkeeping. (1) The importer shall keep the following 
records and provide them to EPA or authorized state personnel upon 
request:
    (i) A copy of each notification that the importer sends to EPA 
under paragraph (b)(1) of this section and each EPA AOC it receives in 
response for a period of at least three (3) years from the date the 
hazardous waste was accepted by the initial foreign transporter; and
    (ii) A copy of each contract or equivalent arrangement established 
per paragraph (f) of this section for at least three (3) years from the 
expiration date of the contract or equivalent arrangement.
    (2) The receiving facility shall keep the following records:
    (i) A copy of each confirmation of receipt (i.e., movement 
document) that the receiving facility sends to the foreign exporter for 
at least three (3) years from the date it received the hazardous waste;
    (ii) A copy of each confirmation of recovery or disposal that the 
receiving facility sends to the foreign exporter for at least three (3) 
years from the date that it completed processing the waste shipment;
    (iii) For the receiving facility that performed any of recovery 
operations R12, R13, or RC16, or disposal operations D13 through D15, 
or DC17 (recovery and disposal operations defined in Sec.  262.81), a 
copy of each confirmation of recovery or disposal that the final 
recovery or disposal facility sent to it for at least three (3) years 
from the date that the final recovery or disposal facility completed 
processing the waste shipment; and
    (iv) A copy of each contract or equivalent arrangement established 
per paragraph (f) of this section for at least three (3) years from the 
expiration date of the contract or equivalent arrangement.
    (3) Importers and receiving facilities may satisfy these 
recordkeeping requirements by retaining electronically submitted 
documents in the importer's or receiving facility's account on EPA's 
Waste Import Export Tracking System (WIETS), or its successor system, 
provided that copies are readily available for viewing and production 
if requested by any EPA or authorized state inspector. No importer or 
receiving facility may be held liable for the inability to produce such 
documents for inspection under this section if the importer or 
receiving facility can demonstrate that the inability to produce the 
document is due exclusively to technical difficulty with EPA's Waste 
Import Export Tracking System (WIETS), or its successor system for 
which the importer or receiving facility bears no responsibility.
    (4) The periods of retention referred to in this section are 
extended automatically during the course of any unresolved enforcement 
action regarding the regulated activity or as requested by the 
Administrator.


Sec. Sec.  262.85-262.89  [Reserved]

Appendix to Part 262 [Amended]

0
15. Amend the Appendix to Part 262, under ``II Instructions for 
International Shipment Block'' by removing the last sentence in the 
instructions for Item 16.

PART 263--STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

0
16. The authority citation for part 263 continues to read as follows:

    Authority: 42 U.S.C. 6906, 6912, 6922-6925, 6937, and 6938.


0
17. Amend Sec.  263.10 by:
0
 a. Removing from paragraph (a), in the Note, the last paragraph; and
0
 b. Revising paragraph (d).
    The revisions read as follows:


Sec.  263.10  Scope.

* * * * *
    (d) A transporter of hazardous waste that is being imported from or 
exported to any other country for purposes of recovery or disposal is 
subject to this Subpart and to all other relevant requirements of 
subpart H of 40 CFR part 262, including, but not limited to, 40 CFR 
262.83(d) and 262.84(d) for movement documents.
* * * * *

0
18. Amend Sec.  263.20 by revising paragraphs (a)(2), (c), (e)(2), 
(f)(2), and (g) to read as follows:


Sec.  263.20  The manifest system.

    (a) * * *
    (2) Exports. For exports of hazardous waste subject to the 
requirements of subpart H of 40 CFR part 262, a transporter may not 
accept hazardous waste without a manifest signed by the generator in 
accordance with this section, as appropriate, and for exports occurring 
under the terms of a consent issued by EPA on or after December 31, 
2016, a movement document that

[[Page 85725]]

includes all information required by 40 CFR 262.83(d).
* * * * *
    (c) The transporter must ensure that the manifest accompanies the 
hazardous waste. In the case of exports occurring under the terms of a 
consent issued by EPA to the exporter on or after December 31, 2016, 
the transporter must ensure that a movement document that includes all 
information required by 40 CFR 262.83(d) also accompanies the hazardous 
waste. In the case of imports occurring under the terms of a consent 
issued by EPA to the country of export or the importer on or after 
December 31, 2016, the transporter must ensure that a movement document 
that includes all information required by 40 CFR 262.84(d) also 
accompanies the hazardous waste.
* * * * *
    (e) * * *
    (2) A shipping paper containing all the information required on the 
manifest (excluding the EPA identification numbers, generator 
certification, and signatures) and, for exports or imports occurring 
under the terms of a consent issued by EPA on or after December 31, 
2016, a movement document that includes all information required by 40 
CFR 262.83(d) or 262.84(d) accompanies the hazardous waste; and
* * * * *
    (f) * * *
    (2) Rail transporters must ensure that a shipping paper containing 
all the information required on the manifest (excluding the EPA 
identification numbers, generator certification, and signatures) and, 
for exports or imports occurring under the terms of a consent issued by 
EPA on or after December 31, 2016, a movement document that includes 
all information required by 40 CFR 262.83(d) or 262.84(d) accompanies 
the hazardous waste at all times.

    Note to paragraph (f)(2): Intermediate rail transporters are not 
required to sign the manifest, movement document, or shipping paper.

* * * * *
    (g) Transporters who transport hazardous waste out of the United 
States must:
    (1) Sign and date the manifest in the International Shipments block 
to indicate the date that the shipment left the United States;
    (2) Retain one copy in accordance with Sec.  263.22(d);
    (3) Return a signed copy of the manifest to the generator; and
    (4) For paper manifests only,
    (i) Send a copy of the manifest to the e-Manifest system in 
accordance with the allowable methods specified in 40 CFR 
264.71(a)(2)(v); and
    (ii) For shipments initiated prior to the AES filing compliance 
date, when instructed by the exporter to do so, give a copy of the 
manifest to a U.S. Customs official at the point of departure from the 
United States.
* * * * *

PART 264--STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE 
TREATMENT, STORAGE, AND DISPOSAL FACILITIES

0
19. The authority citation for part 264 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), 6924, and 6925.


0
20. Amend Sec.  264.12 by revising paragraph (a) to read as follows:


Sec.  264.12  Required notices.

    (a) The owner or operator of a facility that is arranging or has 
arranged to receive hazardous waste subject to 40 CFR part 262, subpart 
H from a foreign source must submit the following required notices:
    (1) As per 40 CFR 262.84(b), for imports where the competent 
authority of the country of export does not require the foreign 
exporter to submit to it a notification proposing export and obtain 
consent from EPA and the competent authorities for the countries of 
transit, such owner or operator of the facility, if acting as the 
importer, must provide notification of the proposed transboundary 
movement in English to EPA using the allowable methods listed in 40 CFR 
262.84(b)(1) at least 60 days before the first shipment is expected to 
depart the country of export. The notification may cover up to one year 
of shipments of wastes having similar physical and chemical 
characteristics, the same United Nations classification, the same RCRA 
waste codes and OECD waste codes, and being sent from the same foreign 
exporter.
    (2) As per 40 CFR 262.84(d)(2)(xv), a copy of the movement document 
bearing all required signatures within three (3) working days of 
receipt of the shipment to the foreign exporter; to the competent 
authorities of the countries of export and transit that control the 
shipment as an export and transit shipment of hazardous waste 
respectively; and on or after the electronic import-export reporting 
compliance date, to EPA electronically using EPA's Waste Import Export 
Tracking System (WIETS), or its successor system. The original of the 
signed movement document must be maintained at the facility for at 
least three (3) years. The owner or operator of a facility may satisfy 
this recordkeeping requirement by retaining electronically submitted 
documents in the facility's account on EPA's Waste Import Export 
Tracking System (WIETS), or its successor system, provided that copies 
are readily available for viewing and production if requested by any 
EPA or authorized state inspector. No owner or operator of a facility 
may be held liable for the inability to produce the documents for 
inspection under this section if the owner or operator of a facility 
can demonstrate that the inability to produce the document is due 
exclusively to technical difficulty with EPA's Waste Import Export 
Tracking System (WIETS), or its successor system for which the owner or 
operator of a facility bears no responsibility.
    (3) As per 40 CFR 262.84(f)(4), if the facility has physical 
control of the waste and it must be sent to an alternate facility or 
returned to the country of export, such owner or operator of the 
facility must inform EPA, using the allowable methods listed in 40 CFR 
262.84(b)(1) of the need to return or arrange alternate management of 
the shipment.
    (4) As per 40 CFR 262.84(g), such owner or operator shall:
    (i) Send copies of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
foreign exporter, to the competent authority of the country of export 
that controls the shipment as an export of hazardous waste, and for 
shipments recycled or disposed of on or after the electronic import-
export reporting compliance date, to EPA electronically using EPA's 
Waste Import Export Tracking System (WIETS), or its successor system.
    (ii) If the facility performed any of recovery operations R12, R13, 
or RC16, or disposal operations D13 through D15, or DC17, promptly send 
copies of the confirmation of recovery or disposal that it receives 
from the final recovery or disposal facility within one year of 
shipment delivery to the final recovery or disposal facility that 
performed one of recovery operations R1 through R11, or RC16, or one of 
disposal operations D1 through D12, or DC15 to DC16, to the competent 
authority of the country of export that controls the shipment as an 
export of hazardous waste, and on or after the electronic import-export 
reporting compliance date, to EPA electronically using EPA's Waste 
Import

[[Page 85726]]

Export Tracking System (WIETS), or its successor system. The recovery 
and disposal operations in this paragraph are defined in 40 CFR 262.81.
* * * * *

0
21. Amend Sec.  264.71 by revising paragraphs (a)(3) and (d) to read as 
follows:


Sec.  264.71  Use of manifest system.

    (a) * * *
    (3) The owner or operator of a facility receiving hazardous waste 
subject to 40 CFR part 262, subpart H from a foreign source must:
    (i) Additionally list the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, matched to the relevant list number for the waste from 
block 9b. If additional space is needed, the owner or operator should 
use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Send a copy of the manifest within thirty (30) days of 
delivery to EPA using the addresses listed in 40 CFR 262.82(e) until 
the facility can submit such a copy to the e-Manifest system per 
paragraph (a)(2)(v) of this section.
* * * * *
    (d) As per 40 CFR 262.84(d)(2)(xv), within three (3) working days 
of the receipt of a shipment subject to 40 CFR part 262, subpart H, the 
owner or operator of a facility must provide a copy of the movement 
document bearing all required signatures to the foreign exporter; to 
the competent authorities of the countries of export and transit that 
control the shipment as an export and transit of hazardous waste 
respectively; and on or after the electronic import-export reporting 
compliance date, to EPA electronically using EPA's Waste Import Export 
Tracking System (WIETS), or its successor system. The original copy of 
the movement document must be maintained at the facility for at least 
three (3) years from the date of signature. The owner or operator of a 
facility may satisfy this recordkeeping requirement by retaining 
electronically submitted documents in the facility's account on EPA's 
Waste Import Export Tracking System (WIETS), or its successor system, 
provided that copies are readily available for viewing and production 
if requested by any EPA or authorized state inspector. No owner or 
operator of a facility may be held liable for the inability to produce 
the documents for inspection under this section if the owner or 
operator of a facility can demonstrate that the inability to produce 
the document is due exclusively to technical difficulty with EPA's 
Waste Import Export Tracking System (WIETS), or its successor system, 
for which the owner or operator of a facility bears no responsibility.
* * * * *

PART 265--INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF 
HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

0
22. The authority citation for part 265 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6906, 6912, 6922, 6923, 6924, 6925, 
6935, 6936, and 6937.


0
23. Amend Sec.  265.12 by revising paragraph (a) to read as follows:


Sec.  265.12  Required notices.

    (a) The owner or operator of a facility that is arranging or has 
arranged to receive hazardous waste subject to 40 CFR part 262, subpart 
H from a foreign source must submit the following required notices:
    (1) As per 40 CFR 262.84(b), for imports where the competent 
authority of the country of export does not require the foreign 
exporter to submit to it a notification proposing export and obtain 
consent from EPA and the competent authorities for the countries of 
transit, such owner or operator of the facility, if acting as the 
importer, must provide notification of the proposed transboundary 
movement in English to EPA using the allowable methods listed in 40 CFR 
262.84(b)(1) at least 60 days before the first shipment is expected to 
depart the country of export. The notification may cover up to one year 
of shipments of wastes having similar physical and chemical 
characteristics, the same United Nations classification, the same RCRA 
waste codes and OECD waste codes, and being sent from the same foreign 
exporter.
    (2) As per 40 CFR 262.84(d)(2)(xv), a copy of the movement document 
bearing all required signatures within three (3) working days of 
receipt of the shipment to the foreign exporter; to the competent 
authorities of the countries of export and transit that control the 
shipment as an export and transit shipment of hazardous waste 
respectively; and on or after the electronic import-export reporting 
compliance date, to EPA electronically using EPA's Waste Import Export 
Tracking System (WIETS), or its successor system. The original of the 
signed movement document must be maintained at the facility for at 
least three (3) years. The owner or operator of a facility may satisfy 
this recordkeeping requirement by retaining electronically submitted 
documents in the facility's account on EPA's Waste Import Export 
Tracking System (WIETS), or its successor system, provided that copies 
are readily available for viewing and production if requested by any 
EPA or authorized state inspector. No owner or operator of a facility 
may be held liable for the inability to produce the documents for 
inspection under this section if the owner or operator of a facility 
can demonstrate that the inability to produce the document is due 
exclusively to technical difficulty with EPA's Waste Import Export 
Tracking System (WIETS), or its successor system, for which the owner 
or operator of a facility bears no responsibility.
    (3) As per 40 CFR 262.84(f)(4), if the facility has physical 
control of the waste and it must be sent to an alternate facility or 
returned to the country of export, such owner or operator of the 
facility must inform EPA, using the allowable methods listed in 40 CFR 
262.84(b)(1) of the need to return or arrange alternate management of 
the shipment.
    (4) As per 40 CFR 262.84(g), such owner or operator shall:
    (i) Send copies of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
foreign exporter, to the competent authority of the country of export 
that controls the shipment as an export of hazardous waste, and on or 
after the electronic import-export reporting compliance date, to EPA 
electronically using EPA's Waste Import Export Tracking System (WIETS), 
or its successor system.
    (ii) If the facility performed any of recovery operations R12, R13, 
or RC16, or disposal operations D13 through D15, or DC17, promptly send 
copies of the confirmation of recovery or disposal that it receives 
from the final recovery or disposal facility within one year of 
shipment delivery to the final recovery or disposal facility that 
performed one of recovery operations R1 through R11, or RC16, or one of 
disposal operations D1 through D12, or DC15 to DC16, to the competent 
authority of the country of export that controls the shipment as an 
export of hazardous waste, and on or after the electronic import-export 
reporting compliance date, to EPA electronically using EPA's Waste 
Import Export Tracking System (WIETS), or its successor system. The 
recovery and

[[Page 85727]]

disposal operations in this paragraph are defined in 40 CFR 262.81.
* * * * *

0
24. Amend Sec.  265.71 by revising paragraphs (a)(3) and (d) to read as 
follows:


Sec.  265.71  Use of manifest system.

    (a) * * *
    (3) The owner or operator of a facility that receives hazardous 
waste subject to 40 CFR part 262, subpart H from a foreign source must:
    (i) Additionally list the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, matched to the relevant list number for the waste from 
block 9b. If additional space is needed, the owner or operator should 
use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Send a copy of the manifest to EPA using the addresses listed 
in 40 CFR 262.82(e) within thirty (30) days of delivery until the 
facility can submit such a copy to the e-Manifest system per paragraph 
(a)(2)(v) of this section.
* * * * *
    (d) As per 40 CFR 262.84(d)(2)(xv), within three (3) working days 
of the receipt of a shipment subject to 40 CFR part 262, subpart H, the 
owner or operator of a facility must provide a copy of the movement 
document bearing all required signatures to the foreign exporter; to 
the competent authorities of the countries of export and transit that 
control the shipment as an export and transit shipment of hazardous 
waste respectively; and on or after the electronic import-export 
reporting compliance date, to EPA electronically using EPA's Waste 
Import Export Tracking System (WIETS), or its successor system. The 
original copy of the movement document must be maintained at the 
facility for at least three (3) years from the date of signature. The 
owner or operator of a facility may satisfy this recordkeeping 
requirement by retaining electronically submitted documents in the 
facility's account on EPA's Waste Import Export Tracking System 
(WIETS), or its successor system, provided that copies are readily 
available for viewing and production if requested by any EPA or 
authorized state inspector. No owner or operator of a facility may be 
held liable for the inability to produce the documents for inspection 
under this section if the owner or operator of a facility can 
demonstrate that the inability to produce the document is due 
exclusively to technical difficulty with EPA's Waste Import Export 
Tracking System (WIETS), or its successor system, for which the owner 
or operator of a facility bears no responsibility.
* * * * *

PART 266--STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS WASTES 
AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT FACILITIES

0
25. The authority citation for part 266 continues to read as follows:

    Authority: 42 U.S.C. 1006, 2002(a), 3001-3009, 3014, 3017, 6905, 
6906, 6912, 6921, 6922, 6924-6927, 6934, and 6937.


0
26. Amend Sec.  266.70 by revising paragraph (b) to read as follows:


Sec.  266.70  Applicability and requirements.

* * * * *
    (b) Persons who generate, transport, or store recyclable materials 
that are regulated under this subpart are subject to the following 
requirements:
    (1) Notification requirements under section 3010 of RCRA;
    (2) Subpart B of part 262 (for generators), 40 CFR 263.20 and 
263.21 (for transporters), and 40 CFR 265.71 and 265.72 (for persons 
who store) of this chapter; and
    (3) For precious metals exported to or imported from other 
countries for recovery, 40 CFR part 262, subpart H and 265.12.
* * * * *

0
27. Amend Sec.  266.80 by revising paragraphs (a)(6) and (7) and adding 
paragraphs (a)(8), (9), and (10) to read as follows:


Sec.  266.80  Applicability and requirements.

    (a) * * *

----------------------------------------------------------------------------------------------------------------
       If your batteries . . .             And if you . . .          Then you . . .           And you . . .
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
(6) Will be reclaimed through          export these batteries   are exempt from 40 CFR   are subject to 40 CFR
 regeneration or any other means.       for reclamation in a     parts 262 (except for    part 261, Sec.
                                        foreign country.         Sec.   262.11, Sec.      262.11, Sec.   262.12,
                                                                 262.12 and subpart H),   and 40 CFR part 262,
                                                                 263, 264, 265, 266,      subpart H.
                                                                 268, 270, 124 of this
                                                                 chapter, and the
                                                                 notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(7) Will be reclaimed through          Transport these          are exempt from 40 CFR   must comply with
 regeneration or any other means.       batteries in the U.S.    parts 263, 264, 265,     applicable
                                        to export them for       266, 268, 270, 124 of    requirements in 40 CFR
                                        reclamation in a         this chapter, and the    part 262, subpart H.
                                        foreign country.         notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(8) Will be reclaimed other than       Import these batteries   are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  from foreign country     parts 262 (except for    parts 261, Sec.
                                        and store these          Sec.   262.11, Sec.      262.11, Sec.   262.12,
                                        batteries but you        262.12 and subpart H),   part 262 subpart H,
                                        aren't the reclaimer.    263, 264, 265, 266,      and applicable
                                                                 270, 124 of this         provisions under part
                                                                 chapter, and the         268.
                                                                 notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(9) Will be reclaimed other than       Import these batteries   must comply with 40 CFR  are subject to 40 CFR
 through regeneration.                  from foreign country     266.80(b) and as         parts 261, Sec.
                                        and store these          appropriate other        262.11, Sec.   262.12,
                                        batteries before you     regulatory provisions    part 262 subpart H,
                                        reclaim them.            described in 266.80(b).  and applicable
                                                                                          provisions under part
                                                                                          268.

[[Page 85728]]

 
(10) Will be reclaimed other than      Import these batteries   are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  from foreign country     parts 262 (except for    parts 261, Sec.
                                        and don't store these    Sec.   262.11, Sec.      262.11, Sec.   262.12,
                                        batteries before you     262.12 and subpart H),   part 262 subpart H,
                                        reclaim them.            263, 264, 265, 266,      and applicable
                                                                 270, 124 of this         provisions under part
                                                                 chapter, and the         268.
                                                                 notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
----------------------------------------------------------------------------------------------------------------

* * * * *

PART 267--STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE 
FACILITIES OPERATING UNDER A STANDARDIZED PERMIT

0
28. The authority citation for part 267 continues to read as follows:

    Authority: 42 U.S.C. 6902, 6912(a), 6924-6926, and 6930.


0
29. Amend Sec.  267.71 by:
0
a. Revising paragraphs (a)(4) and (5);
0
b. Adding paragraph (a)(6); and
0
c. Revising paragraph (d).
    The revisions and additions read as follows:


Sec.  267.71  Use of the manifest system.

    (a) * * *
    (4) Within 30 days after the delivery, send a copy of the manifest 
to the generator;
    (5) Retain at the facility a copy of each manifest for at least 
three years from the date of delivery; and
    (6) If a facility receives hazardous waste subject to 40 CFR part 
262, subpart H from a foreign source, the receiving facility must:
    (i) Additionally list the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, matched to the relevant list number for the waste from 
block 9b. If additional space is needed, the receiving facility should 
use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Mail a copy of the manifest to EPA using the addresses listed 
in 40 CFR 262.82(e) within thirty (30) days of delivery until the 
facility can submit such a copy to the e-Manifest system per 40 CFR 
264.71(a)(2)(v) or 265.71(a)(2)(v).
* * * * *
    (d) As per 40 CFR 262.84(d)(2)(xv), within three (3) working days 
of the receipt of a shipment subject to 40 CFR part 262, subpart H, the 
owner or operator of a facility must provide a copy of the movement 
document bearing all required signatures to the foreign exporter; to 
the competent authorities of the countries of export and transit that 
control the shipment as an export and transit shipment of hazardous 
waste respectively; and on or after the electronic import-export 
reporting compliance date, to EPA electronically using EPA's Waste 
Import Export Tracking System (WIETS), or its successor system. The 
original copy of the movement document must be maintained at the 
facility for at least three (3) years from the date of signature. The 
owner or operator of a facility may satisfy this recordkeeping 
requirement by retaining electronically submitted documents in the 
facility's account on EPA's Waste Import Export Tracking System 
(WIETS), or its successor system, provided that copies are readily 
available for viewing and production if requested by any EPA or 
authorized state inspector. No owner or operator of a facility may be 
held liable for the inability to produce the documents for inspection 
under this section if the owner or operator of a facility can 
demonstrate that the inability to produce the document is due 
exclusively to technical difficulty with EPA's Waste Import Export 
Tracking System (WIETS), or its successor system, for which the owner 
or operator of a facility bears no responsibility.

PART 271--REQUIREMENTS FOR AUTHORIZATION OF STATE HAZARDOUS WASTE 
PROGRAMS

0
30. The authority citation for part 271 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), and 6926.


0
31. Amend Sec.  271.1(j)(2) by:
0
a. Adding an entry to Table 1 in chronological order by ``Promulgation 
date'' and
0
b. Adding an entry to Table 2 in chronological order by ``Effective 
date''.
    The additions read as follows:


Sec.  271.1  Purpose and scope.

* * * * *
    (j) * * *
    (2) * * *

               Table 1--Regulations Implementing the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                            Federal Register
         Promulgation date           Title of regulation        reference                Effective date
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
[Date of publication of final rule  Hazardous Waste       [Insert FR page       December 31, 2016.
 in the Federal Register (FR)].      Export-Import         citation].
                                     Revisions.
----------------------------------------------------------------------------------------------------------------

* * * * *

            Table 2--Self-Implementing Provisions of the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                                            RCRA
              Effective date               Self-implementing provision    citation    Federal Register reference
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
December 31, 2016........................  Hazardous Waste Export-         3017(a)   [Insert Federal Register
                                            Import Revisions.                         page citation].
----------------------------------------------------------------------------------------------------------------


[[Page 85729]]

* * * * *

0
32. Amend Sec.  271.10 by revising paragraph (e) to read as follows:


Sec.  271.10  Requirements for generators of hazardous wastes.

* * * * *
    (e) The State program shall provide requirements respecting 
international shipments which are equivalent to those at 40 CFR part 
262 subpart H, other hazardous waste import and export regulations in 
40 CFR parts 260, 262, 263, 264, 265, 266, 267 and 273, and exclusion 
conditions for export or import in 40 CFR part 261 to the extent that 
State has adopted such exclusion conditions, except that States shall 
not replace EPA or international references with State references.
* * * * *

0
33. Amend Sec.  271.11 by revising paragraph (c)(4) to read as follows:


Sec.  271.11  Requirements for transporters of hazardous wastes.

    (c) * * *
    (4) For exports of hazardous waste, the state must require the 
transporter to refuse to accept hazardous waste for export if the 
exporter has not provided: A manifest listing the consent numbers for 
the hazardous waste shipment; a movement document for shipments 
occurring under consents issued by EPA on or after December 31, 2016; 
and on or after the AES filing compliance date, the ITN number for the 
hazardous waste shipment. The state must further require the 
transporter to carry a movement document and manifest with the 
shipment, as required; to sign and date the International Shipments 
Block of the manifest to indicate the date the shipment leaves the 
U.S.; to carry paper documentation of consent (i.e., Acknowledgement of 
Consent, movement document) with the shipment and to give a copy of the 
manifest to the U.S. customs official at the point of departure if 
instructed by mail, email or fax by the exporter to do so; and to send 
a copy of the manifest, if in paper form, to the e-Manifest system 
using the allowable methods listed in 40 CFR 264.71(a)(2)(v).
* * * * *

0
34. Amend Sec.  271.12 by revising paragraph (i)(2) to read as follows:


Sec.  271.12  Requirements for hazardous waste management facilities.

* * * * *
    (i) * * *
    (2) After listing the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, matched to the relevant list number for the waste from 
block 9b, to EPA using the allowable methods listed in 40 CFR 
262.84(b)(1) until the facility can submit such a copy to the e-
Manifest system per 40 CFR 264.71(a)(2)(v) and 265.71(a)(2)(v).
* * * * *

PART 273--STANDARDS FOR UNIVERSAL WASTE MANAGEMENT

0
35. The authority citation for part 273 continues to read as follows:

    Authority: 42 U.S.C. 6922, 6923, 6924, 6925, 6930, and 6937.


0
36. Revise Sec.  273.20 to read as follows:


Sec.  273.20  Exports.

    A small quantity handler of universal waste who sends universal 
waste to a foreign destination is subject to the requirements of 40 CFR 
part 262, subpart H.

0
37. Amend Sec.  273.39 by revsing the introductory text of paragraphs 
(a) and (b) to read as follows:


Sec.  273.39  Tracking universal waste shipments.

    (a) Receipt of shipments. A large quantity handler of universal 
waste must keep a record of each shipment of universal waste received 
at the facility. The record may take the form of a log, invoice, 
manifest, bill of lading, movement document or other shipping document. 
The record for each shipment of universal waste received must include 
the following information:
* * * * *
    (b) Shipments off-site. A large quantity handler of universal waste 
must keep a record of each shipment of universal waste sent from the 
handler to other facilities. The record may take the form of a log, 
invoice, manifest, bill of lading, movement document or other shipping 
document. The record for each shipment of universal waste sent must 
include the following information:
* * * * *

0
38. Revise Sec.  273.40 to read as follows:


Sec.  273.40  Exports.

    A large quantity handler of universal waste who sends universal 
waste to a foreign destination is subject to the requirements of 40 CFR 
part 262, subpart H.

0
39. Revise Sec.  273.56 to read as follows:


Sec.  273.56  Exports.

    A universal waste transporter transporting a shipment of universal 
waste to a foreign destination is subject to the requirements of 40 CFR 
part 262, subpart H.

0
40. Amend Sec.  273.62 by revising the introductory text of paragraph 
(a) to read as follows:


Sec.  273.62  Tracking universal waste shipments.

    (a) The owner or operator of a destination facility must keep a 
record of each shipment of universal waste received at the facility. 
The record may take the form of a log, invoice, manifest, bill of 
lading, movement document or other shipping document. The record for 
each shipment of universal waste received must include the following 
information:
* * * * *

0
41. Revise Sec.  273.70 to read as follows:


Sec.  273.70  Imports.

    Persons managing universal waste that is imported from a foreign 
country into the United States are subject to the requirements of 40 
CFR part 262 subpart H and the applicable requirements of this part, 
immediately after the waste enters the United States, as indicated in 
paragraphs (a) through (c) of this section:
    (a) A universal waste transporter is subject to the universal waste 
transporter requirements of subpart D of this part.
    (b) A universal waste handler is subject to the small or large 
quantity handler of universal waste requirements of subparts B or C, as 
applicable.
    (c) An owner or operator of a destination facility is subject to 
the destination facility requirements of subpart E of this part.

[FR Doc. 2016-27428 Filed 11-25-16; 8:45 am]
BILLING CODE 6560-50-P


