Ala. Admin. Code r. 335-14-2-.05 - Exclusions/Exemptions

(1) Conditional exclusion for used, broken cathode ray tubes (CRTs) and processed CRT glass undergoing recycling. Used, broken CRTs are not solid wastes if they meet the following conditions:

(a) Prior to processing: These materials are not solid wastes if they are destined for recycling and if they meet the following requirements:

1. Storage. The broken CRTs must be either:

(i) Stored in a building with a roof, floor, and walls, or

(ii) Placed in a container (i.e., a package or a vehicle) that is constructed, filled, and closed to minimize releases to the environment of CRT glass (including fine solid materials).

2. Labeling. Each container in which the used, broken CRT is contained must be labeled or marked clearly with one of the following phrases: ''Used cathode ray tube(s) -contains leaded glass'' or ''Leaded glass from televisions or computers.'' It must also be labeled: ''Do not mix with other glass materials.''

3. Transportation. The used, broken CRTs must be transported in a container meeting the requirements of 335-14-2-.05(1)(a)1.(ii) and (a)2.

4. Speculative accumulation and use constituting disposal. The used, broken CRTs are subject to the limitations on speculative accumulation as defined in 335-14-1-.02. If they are used in a manner constituting disposal, they must comply with the applicable requirements of 335-14-7-.03 instead of the requirements of 335-14-2-.05(1).

5. Exports. In addition to the applicable conditions specified in 335-14-2-.05(1)(a)1. - 4., exporters of used, broken CRTs must comply with the following requirements:

(i) Notify EPA of an intended export before the CRTs are scheduled to leave the United States. A complete notification should be submitted sixty (60) days before the initial shipment is intended to be shipped off-site. This notification may cover export activities extending over a twelve (12) month or lesser period. The notification must be in writing, signed by the exporter, and include the following information:

(I) Name, mailing address, telephone number and EPA ID number (if applicable) of the exporter of the CRTs.

(II) The estimated frequency or rate at which the CRTs are to be exported and the period of time over which they are to be exported.

(III) The estimated total quantity of CRTs specified in kilograms.

(IV) All points of entry to and departure from each foreign country through which the CRTs will pass.

(V) A description of the means by which each shipment of the CRTs will be transported [e.g., mode of transportation vehicle (air, highway, rail, water, etc.), type(s) of container (drums, boxes, tanks, etc.)].

(VI) The name and address of the recycler or recyclers and the estimated quantity of used CRTs to be sent to each facility, as well as the names of any alternate recyclers.

(VII) A description of the manner in which the CRTs will be recycled in the foreign country that will be receiving the CRTs.

(VIII) The name of any transit country through which the CRTs will be sent and a description of the approximate length of time the CRTs will remain in such country and the nature of their handling while there.

(ii) Notifications must be submitted electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system.

(iii) Upon request by EPA, the exporter shall furnish to EPA any additional information which a receiving country requests in order to respond to a notification.

(iv) EPA will provide a complete notification to the receiving country and any transit countries. A notification is complete when EPA receives a notification which EPA determines satisfies the requirements of 335-14-2-.05(1)(a)5.(i) of this section.

(v) The export of CRTs is prohibited unless 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.

(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 335-14-2-.05(1)(a)5.(ii), except for changes to the telephone number in 335-14-2-.05(1)(a)5.(i)(I) and decreases in the quantity indicated pursuant to 335-14-2-.05(1)(a)5.(i)(III). 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 335-14-2-.05(1)(a)5.(i)(IV) and (VIII)] 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.

(vii) A copy of the Acknowledgment of Consent to Export CRTs must accompany the shipment of CRTs. The shipment must conform to the terms of the Acknowledgment.

(viii) If a shipment of CRTs cannot be delivered for any reason to the recycler or the alternate recycler, the exporter of CRTs must renotify EPA of a change in the conditions of the original notification to allow shipment to a new recycler in accordance with 335-14-2-.05(1)(a)5.(vi) and obtain another Acknowledgment of Consent to Export CRTs.

(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.

(x) CRT exporters must file with EPA no later than March 1 of each year, an annual report summarizing the quantities (in kilograms), frequency of shipment, and ultimate destination(s) (i.e., the facility or facilities where the recycling occurs) of all used CRTs exported during the previous calendar year. Such reports must also include the following:

(I) The name, EPA ID number (if applicable), and mailing and site address of the exporter;

(II) The calendar year covered by the report;

(III) A certification signed by the CRT exporter that states:

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

(xi) Annual reports must be submitted to the office specified in paragraph (a)(5)(ii) of this section. Exporters must keep copies of each annual report for a period of at least three years from the due date of the report.

(b) Requirements for used CRT processing: Used, broken CRTs undergoing CRT processing as defined in 335-14-1-.02 are not solid wastes if they meet the following requirements:

1. Storage. Used, broken CRTs undergoing processing are subject to the requirement of 335-14-2-.05(1)(a)4.

2. Processing.

(i) All activities specified in paragraphs (b) and (c) of the definition of ''CRT processing'' in 335-14-1-.02 must be performed within a building with a roof, floor, and walls; and

(ii) No activities may be performed that use temperatures high enough to volatilize lead from CRTs.

(c) Processed CRT glass sent to CRT glass making or lead smelting: Glass from used CRTs that is destined for recycling at a CRT glass manufacturer or a lead smelter after processing is not a solid waste unless it is speculatively accumulated as defined in 335-14-1-.02.

(d) Use constituting disposal: Glass from used CRTs that is used in a manner constituting disposal must comply with the requirements of 335-14-7-.03 instead of the requirements of 335-14-2-.05(1).

(2) Conditional exclusion for used, intact cathode ray tubes (CRTs) exported for recycling. Used, intact CRTs exported for recycling are not solid wastes if they meet the notice and consent conditions of 335-14-2-.05(1)(a)5., and if they are not speculatively accumulated as defined in 335-14-1-.02.

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

(a) CRT exporters who export used, intact CRTs for reuse must send a notification to EPA. This notification may cover export activities extending over a twelve (12) month or lesser period.

1. The notification must be in writing, signed by the exporter, and include the following information:

(i) Name, mailing address, telephone number, and EPA ID number (if applicable) of the exporter of the used, intact CRTs;

(ii) The estimated frequency or rate at which the used, intact CRTs are to be exported for reuse and the period of time over which they are to be exported;

(iii) The estimated total quantity of used, intact CRTs specified in kilograms;

(iv) All points of entry to and departure from each transit country through which the used, intact CRTs will pass, a description of the approximate length of time the used, intact CRTs will remain in such country, and the nature of their handling while there;

(v) A description of the means by which each shipment of the used, intact CRTs will be transported (e.g., mode of transportation vehicle (air, highway, rail, water, etc.), type(s) of container (drums, boxes, tanks, etc.));

(vi) The name and address of the ultimate destination facility or facilities where the used, intact CRTs will be reused, refurbished, distributed, or sold for reuse and the estimated quantity of used, intact CRTs to be sent to each facility, as well as the name of any alternate destination facility or facilities;

(vii) A description of the manner in which the used, intact CRTs will be reused (including reuse after refurbishment) in the foreign country that will be receiving the used, intact CRTs; and

(viii) A certification signed by the CRT exporter that states:

"I certify under penalty of law that the CRTs described in this notice are intact and fully functioning or capable of being functional after refurbishment and that the used CRTs will be reused or refurbished and reused. I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents and that, based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment."

2. Notifications required by Division 335-14 shall be addressed to the following:

Mail:

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 Delivery:

Office of Enforcement and Compliance Assurance,

Office of Federal Activities

International Compliance Assurance Division, (Mail Code 2254A),

Environmental Protection Agency, Management

William Jefferson Clinton Building, Room 6144

1200 Pennsylvania Ave, NW.

Washington, DC 20460.

In both cases, the following shall be prominently displayed on the front of the envelope: "Attention: Notification of Intent to Export CRTs."

(b) CRT exporters of used, intact CRTs sent for reuse must keep copies of normal business records, such as contracts, demonstrating that each shipment of exported used, intact CRTs will be reused. This documentation must be retained for a period of at least three years from the date the CRTs were exported. If the documents are written in a language other than English, CRT exporters of used, intact CRTs sent for reuse must provide both the original, non-English version of the normal business records as well as a third-party translation of the normal business records into English within 30 days upon request by EPA.

Notes

Ala. Admin. Code r. 335-14-2-.05

New Rule: Filed February 27, 2007; effective April 3, 2007. Amended: Filed April 22, 2008; effective May 27, 2008. Amended by Alabama Administrative Monthly Volume XXXIII, Issue No. 06, March 31, 2015, eff. 3/31/2015. Amended by Alabama Administrative Monthly Volume XXXIV, Issue No. 05, February 29, 2016, eff. 4/8/2016. Amended by Alabama Administrative Monthly Volume XXXV, Issue No. 05, February 28, 2017, eff. 3/31/2017. Amended by Alabama Administrative Monthly Volume XLI, Issue No. 07, April 28, 2023, eff. 6/12/2023.

Author: Theresa A. Maines, Marlon McMIllion, Metz P. Duites, Vernon H. Crockett; Jonah L. Harris.

Statutory Authority: Code of Ala. 1975, §§ 22-30-10, 22-30-11.