Utah Admin. Code R315-262-84 - Transboundary Movements of Hazardous Waste for Recovery or Disposal - Imports of Hazardous Waste
(a) General import
requirements.
(1) With the exception of
Subsection R315-262-84(a)(5), 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 shall
comply with the requirements of Rule R315-262 and the special requirements of
Sections
R315-262-80
through 84.
(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
shall submit a notification to EPA in accordance with Subsection
R315-262-84(b).
(3) The importer
shall comply with the contract requirements in Subsection
R315-262-84(f).
(4) The importer
shall ensure compliance with the movement documents requirements in Subsection
R315-262-84(d); and
(5) The
importer shall ensure compliance with the manifest instructions for import
shipments in Subsection R315-262-84(c).
(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 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 shall
be mailed or hand delivered to EPA at the addresses specified in Subsection
R315-262-82(e).
Notifications submitted on or after the electronic import-export reporting
compliance date 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
from the same foreign exporter, and shall 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 Section
R315-262-81;
(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), their agent(s), or both; 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 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 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 Section
R315-260-11, 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 Section
R315-262-81;
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 Subsection R315-262-84(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 Subsection
R315-262-84(b)(1)(ii) will engage in any of the interim recovery operations R12
or R13 or interim disposal operations D13 through D15, the notification
submitted according to Subsection R315-262-84(b)(1) shall 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
Subsection R315-262-84(b)(2) are defined in Section
R315-262-81.
(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 shall submit a renotification of the changes to EPA using the
allowable methods in Subsection R315-262-84(b)(1). 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 Subsections R315-262-84(b) (1)(i) through (xiii).
(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 Subsection
R315-262-83(b)(7).
(c) RCRA Manifest instructions for import
shipments.
(1) When importing hazardous
waste, the importer shall meet all the requirements of Section
R315-262-20
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 shall be used.
(ii) In place of the generator's signature on
the certification statement, the importer or his agent shall 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, for example, states, waste handlers, or commercial forms
printers.
(3) In the International
Shipments block, the importer shall check the import box and enter the point of
entry, city and State, into the United States.
(4) The importer shall provide the
transporter with an additional copy of the manifest to be submitted by the
receiving facility to U.S. EPA in accordance with Subsection
R315-264-71(a)(3)
and Subsection R315-265-71(a)(3).
(5) In lieu of the requirements of Subsection
R315-262-20(d),
where a shipment cannot be delivered for any reason to the receiving facility,
the importer shall 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 shall ensure that
a movement document meeting the conditions of Subsection R315-262-84(d)(2)
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, sorted by the
importer prior to shipment to the receiving facility, or both, except as
provided in Subsections R315-262-84(d)(1)(i) and (ii).
(i) For shipments of hazardous waste within
the United States by water, bulk shipments only, the importer shall 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 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 imported by rail.
(2) The movement document shall include the
following Subsections R315-262-84(d)(2)(i) through (xv):
(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 Section
R315-262-81;
(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 Section
R315-260-11, 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, for example, 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 shall sign the movement document, for example, transporter,
importer, and owner or operator of the receiving facility; and
(xv) The receiving facility shall 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 Subsection R315-262-84(f)(4)
apply. If alternative arrangements cannot be made to recover the hazardous
waste in an environmentally sound manner in the United States, the hazardous
waste shall be returned to the country of export or exported to a third
country. The provisions of Subsection R315-262-84(b)(6) 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
shall 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
shall be executed by the foreign exporter, importer, and the owner or operator
of the receiving facility, and shall specify responsibilities for each.
Contracts or equivalent arrangements are valid for the purposes of Section
R315-262-84 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, where available, of Subsections
R315-262-84(f)(2)(i) through (iv):
(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
shall specify the use of a movement document in accordance with Subsection
R315-262-84(d).
(4) Contracts or
equivalent arrangements shall 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 shall 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 Subsection
R315-262-83(b)(7).
(5) Contracts shall 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 Subsection
R315-262-83(b)(7)
prior to the re-export of hazardous wastes. The recovery and disposal
operations in Subsection R315-262-84(e)(5) are defined in Section
R315-262-81.
(6) Contracts or equivalent arrangements
shall include provisions for financial guarantees, if required by the competent
authorities of any countries concerned, in accordance with applicable national
or international law requirements.
Note to Subsection R315-262-84(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 shall contain provisions requiring each
contracting party to comply with all applicable requirements of Sections
R315-262-80
through 84.
(8) Upon request by
EPA, importers or disposal or recovery facilities shall 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.
(g) Confirmation
of recovery or disposal. The receiving facility shall 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 Subsection
R315-262-84(g)(2) are defined in Section
R315-262-81.
(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 Subsection R315-262-84(b)(1) 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 Subsection R315-262-84(f) 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,
for example, 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 Section
R315-262-81,
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 Subsection R315-262-84(f)
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
Section R315-262-84 are extended automatically during the course of any
unresolved enforcement action regarding the regulated activity or as requested
by the Director.
Notes
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