Utah Admin. Code R315-262-83 - Transboundary Movements of Hazardous Waste for Recovery or Disposal - Exports of Hazardous Waste
(a) General export
requirements. Except as provided in Subsections
R315-262-83(a)(5)
and R315-262-83(a)(6),
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 the time that the approval period expires. Any
other exports of hazardous waste are prohibited unless:
(1) the exporter complies with the contract
requirements in Subsection
R315-262-83(f);
(2) the exporter complies with the
notification requirements in Subsection
R315-262-83(b);
(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 Subsection
R315-262-83(d);
(5) the exporter ensures compliance with the
manifest instructions for export shipments in Subsection
R315-262-83(c);
and
(6) the exporter or a U.S.
authorized agent:
(i) For shipments initiated
before 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:
(I)
EPA license code;
(II) Commodity
classification code for each hazardous waste per
15 CFR
30.6(a)(12);
(III) EPA consent number for each hazardous
waste;
(IV) Country of ultimate
destination code per 15 CFR
30.6(a)(5);
(V) Date of export per
15 CFR
30.6(a)(2);
(VI) hazardous waste manifest tracking
number, if required;
(VII) 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
(VIII) 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:
(I) Attaching paper documentation
of consent, for example, a copy of the EPA Acknowledgment of Consent,
international movement document, to the manifest, or shipping papers if a
manifest is not required, that shall accompany the hazardous waste shipment.
For exports by rail or water, bulk shipment, the primary exporter shall provide
the transporter with the paper documentation of consent that shall accompany
the hazardous waste but need not be attached to the manifest except that for
exports by water, bulk shipment, the primary exporter shall attach the paper
documentation of consent to the shipping paper.
(II) 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 Subsection
R315-263-20(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;
(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) 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 60 days before the first shipment of hazardous waste is expected to leave
the United States, the exporter shall provide notification in English to EPA of
the proposed transboundary movement. Notifications shall 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 a recovery or disposal facility, and
shall include 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 used, and the applicable recovery or disposal operations as
defined in Section R315-262-81;
(iii) Foreign importer name, if not the owner
or operator of the foreign receiving facility, address, telephone, fax numbers,
and email address;
(iv) Intended
transporters, their agents, or both; 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. ports 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) Descriptions of each
hazardous waste, including whether each hazardous waste is regulated universal
waste under Rule R315-273, spent lead-acid batteries being exported for
recovery of lead under Section
R315-266-80, or industrial ethyl
alcohol being exported for reclamation under Subsection
R315-261-6(a)(3)(i),
estimated total quantity of each waste in either metric tons or cubic meters,
the applicable RCRA waste codes for each hazardous waste, the applicable OECD
waste code from the lists incorporated by reference in Section
R315-260-11, and the United
Nations or U.S. Department of Transportation (DOT) ID number for each
waste;
(xii) Specification of the
recovery or disposal operations as defined in Section
R315-262-81; and
(xiii) Certification or 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 shall include the information listed in Subsections
R315-262-83(b)(1)(i)
through R315-262-83(b)(1)(xiii)
and additionally state that the facility is pre-consented. Exporters shall
submit the notification to EPA using the allowable methods listed in Subsection
R315-262-83(b)(1)
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 Subsection
R315-262-83(b)(1)(ii)
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 RC3, or
interim disposal operations D13 to D14, or D15, the notification submitted
according to Subsection
R315-262-83(b)(1)
shall also include the final foreign recovery or disposal facility name,
address, telephone, fax numbers, email address, technologies used, 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, RC1 to RC2, D1
through D12, and DC1 to DC2 will be used at the final foreign recovery or
disposal facility. The recovery and disposal operations in Subsection
R315-262-83(b)
are defined in Section
R315-262-81.
(4) Renotifications. If 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
shall submit a renotification of the changes to EPA using the allowable methods
in Subsection R315-262-83(b)(1).
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) If the proposed country of import and
recovery or disposal operations is not covered under an international agreement
between the United States and the country of import, EPA will coordinate with
the Department of State to provide the complete notification to country of
import and any countries of transit. In any other case, 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 that E P A determines
satisfies the requirements of Subsections
R315-262-83(b)(1)(i)
through R315-262-83(b)(1)(xiii).
(6) If the countries of import and transit
consent to the proposed transboundary movements of the hazardous wastes, EPA
will forward an EPA AOC letter to the exporter documenting the countries'
consents. If any of the countries of import and transit objects to the proposed
transboundary movements of the hazardous waste or withdraws an earlier 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 Section
R315-262-83, including providing
notification to EPA in accordance with Subsection
R315-262-83(b)(1).
In addition to listing the required information in Subsections
R315-262-83(b)(1)(i)
through R315-262-83(b)(1)(xiii),
the exporter shall 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 before
re-export.
(8) Upon request by EPA,
the exporter shall furnish to EPA any additional information that the country
of import requests to respond to a notification.
(c) Manifest instructions for export
shipments. The exporter shall comply with the manifest requirements of Sections
R315-262-20 through
R315-262-23 except that:
(1) In lieu of the name, site address and EPA
ID number of the designated permitted facility, the exporter shall enter the
name and site address of the foreign receiving facility.
(2) In the International Shipments block, the
exporter shall check the export box and enter the U.S. port of exit, city and
state, from the United States.
(3)
The exporter shall 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 Continuation Sheets, E P A Form 8700--22A.
(4) The exporter may get the manifest from
any source that is registered with the U.S. EPA as a supplier of manifests, for
example, states, waste handlers, or commercial forms printers.
(d) Movement document requirements
for export shipments.
(1) Exporters shall
ensure that a movement document meeting the conditions of Subsection
R315-262-83(d)(2)
accompanies each transboundary movement of hazardous wastes from the initiation
of the shipment until it reaches the foreign receiving facility, including
cases when the hazardous waste is stored, sorted by the foreign importer before
shipment to the foreign receiving facility, or both, except as provided in
Subsections R315-262-83(d)(1)(i)
and R315-262-83(d)(1)(ii).
(i) For shipments of hazardous waste within
the United States solely by water, bulk shipments only, the exporter shall
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 that start from the company originating the export
shipment, the exporter shall 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 shall include the
following Subsections
R315-262-83(d)(2)(i)
through R315-262-83(d)(2)(xv):
(i) The corresponding consent numbers and
hazardous waste numbers for the listed hazardous waste from the relevant EPA
AOCs;
(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 used, and the
applicable recovery or disposal operations as defined in Section
R315-262-81;
(v) Foreign importer name, if not the owner
or operator of the foreign receiving facility, address, telephone, fax numbers,
and email address;
(vi)
Descriptions of each hazardous waste, quantity of each hazardous waste in the
shipment, applicable RCRA hazardous waste codes for each hazardous waste,
applicable OECD waste code for each hazardous waste from the lists incorporated
by reference in Section
R315-260-11, and the United
Nations or U.S. Department of Transportation (DOT) ID number for each hazardous
waste;
(vii) Date movement
began;
(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 each
transporter;
(x) Identification,
for example, license, registered name or registration number, of means of
transport, including types of packaging;
(xi) Any special precautions to be taken by
transporters;
(xii) Certification
or 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, for example, 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 begins until it
arrives at the foreign receiving facility shall sign the movement document, for
example, transporter, foreign importer, and owner or operator of the foreign
receiving facility; and
(xv) As
part of the contract requirements per Subsection
R315-262-83(f),
the exporter shall 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 shall
additionally require that the foreign receiving facility send a copy to EPA at
the same time using the allowable methods listed in Subsection
R315-262-83(b)(1).
(e) Duty to return or
re-export hazardous wastes. If a transboundary movement of hazardous wastes
cannot be finished in accordance with the terms of the contract or the consents
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 shall
ensure that the hazardous waste is returned to the United States or re-exported
to a third country. If the waste shall be returned, the exporter shall provide
for the return of the hazardous waste shipment within 90 days from the time the
country of import informs EPA of the need to return the waste or another period
as the concerned countries agree. In each case, the exporter shall submit an
exception report to EPA in accordance with Subsection
R315-262-83(h).
(f) Export contract requirements.
(1) Exports of hazardous waste are prohibited
unless they occur under the terms of a valid written contract, chain of
contracts, or equivalent arrangements, if the movement occurs between parties
controlled by the same corporate or legal entity. The contracts or equivalent
arrangements shall 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 shall specify responsibilities for each. Contracts or
equivalent arrangements are valid for the purposes of Section
R315-262-83 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 shall specify the name and EPA ID number,
if available, of Subsections
R315-262-83(f)(2)(i)
through R315-262-83(f)(2)(iv):
(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
shall specify party to the contract that 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 these
cases, contracts shall 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 Subsection
R315-262-83(b)(1),
the original consent number issued for the initial export of the hazardous
wastes in the notification, and get consent from EPA and the competent
authorities in the new country of import and any transit countries before
re-export.
(4) Contracts
shall 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 shall
additionally specify that the foreign receiving facility send a copy to EPA at
the same time using the allowable methods listed in Subsection
R315-262-83(b)(1)
on or after that date.
(5)
Contracts shall 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 30 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 shall additionally
specify that the foreign receiving facility send a copy to EPA at the same time
using the allowable methods listed in Subsection
R315-262-83(b)(1)
on or after that date.
(6)
Contracts shall specify that the foreign importer or the foreign receiving
facility that performed interim recycling operations R12, R13, or RC3, or
interim disposal operations D13 through D15, recovery and disposal operations
defined in Section R315-262-81, as appropriate,
will:
(i) provide the notification required in
Subsection R315-262-83(f)(3)(ii)
before 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 RC1, or one of disposal operations D1 through D12, DC1 or DC2
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 shall additionally specify that the foreign facility send copies
to EPA at the same time using the allowable method listed in Subsection
R315-262-83(b)(1)
on or after that date.
(7) Contracts or equivalent arrangements
shall 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.
(i) Financial guarantees so required are
intended to provide for alternate recycling, disposal or other means of sound
management of the wastes if arrangements for the shipment and the recovery
operations cannot be carried out as foreseen. The United States does not
require these financial guarantees at this time; however, several OECD Member
countries and other foreign countries do. It is the responsibility of the
exporter to ascertain and comply with the requirements and 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
shall contain provisions requiring each contracting party to comply with the
applicable requirements of Sections
R315-262-80 through
R315-262-84.
(9) Upon request by EPA, U.S. exporters,
importers, or recovery facilities shall submit to EPA copies of contracts,
chain of contracts, or equivalent arrangements, if the movement occurs between
parties controlled by the same corporate or legal entity.
(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 any hazardous waste
exported during the previous calendar year. Before one year after the AES
filing compliance date, the exporter shall mail or hand-deliver annual reports
to EPA using one of the addresses specified in Subsection
R315-262-82(e),
or submit to EPA using the allowable methods specified in Subsection
R315-262-83(b)(1)
if the exporter has electronically filed EPA information in AES, or its
successor system, per Subsection
R315-262-83(a)(6)(i)(A)
for each shipment made the previous calendar year. Subsequently, the exporter
shall submit annual reports to EPA using the allowable methods specified in
Subsection R315-262-83(b)(1).
The annual report shall include each of the following Subsections
R315-262-83(g)(1)
through R315-262-83(g)(6)
specified as follows:
(1) The EPA
identification number, name, and mailing and site address of the exporter
filing the report;
(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 codes, from Sections
R315-261-20 through
R315-261-24 and
R315-261-30 through
R315-261-35, for each
waste;
(iii) The applicable waste
code from the appropriate OECD waste list incorporated by reference in Section
R315-260-11;
(iv) The applicable DOT ID number;
(v) The name and U.S. EPA ID number, if
applicable, for each transporter used over the calendar year covered by the
report; and
(vi) The consent
numbers the hazardous waste was shipped under, 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 that the information was already provided pursuant to Section
R315-262-41:
(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 this information is available for
years earlier than 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 shall file an exception
report in lieu of the requirements of Section
R315-262-42, if applicable, with
EPA if any of the following occurs:
(i) The
exporter has not received a copy of the hazardous waste manifest, if
applicable, signed by the transporter identifying the point of departure of the
hazardous waste from the United States, within 45 days from the date it was
accepted by the initial transporter, in this case the exporter shall file the
exception report within the next 30 days;
(ii) The exporter has not received a written
confirmation of receipt from the foreign receiving facility in accordance with
Subsection R315-262-83(d)
within 90 days from the date the waste was accepted by the initial transporter
in this case the exporter shall file the exception report within the next 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 this case the exporter shall file the exception report within 30
days of notification, or one day before the date the return shipment begins,
whichever is sooner.
(2)
Before the electronic import-export reporting compliance date, exception
reports shall be mailed or hand delivered to EPA using the addresses listed in
Subsection R315-262-82(e).
Subsequently, exception reports shall be submitted to EPA using the allowable
methods listed in Subsection
R315-262-83(b)(1).
(i) Recordkeeping.
(1) The exporter shall keep the following
records as described in Subsections
R315-262-83(i)(1)(i)
through R315-262-83(i)(1)(v)
and provide them to EPA or Utah personnel upon request:
(i) A copy of each notification of intent to
export and each EPA AOC for a period of at least three 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 years from the due date of the report;
(iii) A copy of any exception reports and a
copy of each confirmation of receipt, for example, movement document, sent by
the foreign receiving facility to the exporter for at least three 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 years from the date that the foreign receiving
facility finished interim or final processing of the hazardous waste
shipment.
(v) A copy of each
contract or equivalent arrangement established per Subsection
R315-262-83(f)
for at least three years from the expiration date of the contract or equivalent
arrangement.
(2)
Exporters may satisfy these recordkeeping requirements by keeping
electronically submitted documents in the exporter's account on EPA's Waste
Import Export Tracking System (WIETS), or its successor system, if copies are
readily available for viewing and production if requested by any EPA or Utah
inspector. No exporter may be held liable for the inability to produce the
documents for inspection under Section
R315-262-83 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 that is not the responsibility of the exporter.
(3) The periods of retention referred to in
Section R315-262-83 are extended
automatically during any unresolved enforcement action regarding the regulated
activity or as requested by the Administrator.
Notes
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