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 the time that 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
R315-262-84.
(2) If the country of export does not require
the foreign exporter to submit a notification and get consent to the export
before 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).
(5) The importer shall ensure compliance with
the manifest instructions for import shipments in Subsection
R315-262-84(c).
(b) Notifications. If 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 get consent from EPA and the competent
authorities for the countries of transit, but EPA does regulate the waste as
hazardous waste:
(1) The importer shall
provide notification in English to EPA of the proposed transboundary movement
of hazardous waste at least 60 days before the first shipment is expected to
depart the country of export. Notifications submitted before 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 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 used, 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 transporters, their agents, 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. ports 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) 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 hazardous waste, the applicable RCRA hazardous
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 hazardous
waste;
(xii) Specification of the
recovery or disposal operations as defined in Section
R315-262-81; and
(xiii) Certification or 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:".
(A) 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, R13, or RC3 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 used, and the applicable
recovery or disposal operations R1 through R11, RC1, and D1 through D12, that
will be used 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. If 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 R315-262-84(b)(1)(xiii).
(5) If EPA and the countries of transit
consent to the proposed transboundary movements of the hazardous wastes, EPA
will forward an EPA AOC letter to the importer documenting the countries'
consents and EPA's consent. If any of the countries of transit or EPA objects
to the proposed transboundary movements of the hazardous waste or withdraws an
earlier 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) Manifest instructions for
import shipments.
(1) When importing hazardous
waste, the importer shall meet 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
the importer's agent shall sign and date the certification and get the
signature of the initial transporter.
(2) The importer may get 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),
if 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 where the hazardous waste is stored, sorted by the
importer before shipment to the receiving facility, or both, except as provided
in Subsections R315-262-84(d)(1)(i)
and R315-262-84(d)(1)(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 that 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 R315-262-84(d)(2)(xv):
(i) The corresponding AOC numbers and waste
numbers 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 used, 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)
Descriptions of each hazardous waste, quantity of each hazardous waste in the
shipment, applicable RCRA hazardous waste codes 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 or U.S. Department of Transportation (DOT) ID number for each hazardous
waste;
(vii) Date movement
began;
(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 each transporter;
(x) Identification, 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 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 begins 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. If a transboundary movement of
hazardous wastes cannot be finished in accordance with the terms of the
contract or the consents, Subsection
R315-262-84(f)(4)
applies. 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. Subsection R315-262-84(b)(6)
applies 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 gets 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, if the movement occurs between
parties controlled by the same corporate or legal entity. These 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,
if available, of Subsections
R315-262-84(f)(2)(i)
through R315-262-84(f)(2)(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 the 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 submitted by
either the foreign exporter or the importer. In these 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 RC3, or interim disposal operations D13 through D15, as
appropriate, will provide the notification required in Subsection
R315-262-83(b)(7)
before the re-export of hazardous wastes. The recovery and disposal operations
in Subsection R315-262-84(f)(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.
(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 or other foreign countries
do. It is the responsibility of the importer to ascertain and comply with the
requirements and 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 the
applicable requirements of Sections
R315-262-80 through
R315-262-84.
(8) Upon request by EPA, importers or
disposal or recovery facilities shall submit to EPA copies of contracts, chain
of contracts, or equivalent arrangements, if 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 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 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 RC3, or
disposal operations D13 through D15, 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 RC1 to RC2, or one of disposal operations D1 through D12, or
DC1 to DC2, 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 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 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 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 years from the date that it finished
processing the waste shipment;
(iii) For the receiving facility that
performed any of recovery operations R12, R13, or RC3, or disposal operations
D13 through D15, 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 years from the date that the final
recovery or disposal facility finished 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 years from the expiration date of the contract or equivalent
arrangement.
(3)
Importers and receiving facilities may satisfy these recordkeeping requirements
by keeping 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, if 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 the documents for
inspection under Subsection
R315-262-84(h)
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 that is
not the responsibility of the importer or receiving facility.
(4) The periods of retention referred to in
Section R315-262-84 are extended
automatically during any unresolved enforcement action regarding the regulated
activity or as requested by the director.
Notes
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