a)
General Export Requirements. Except as provided in subsections (a)(5) and
(a)(6), an exporter that receives an AOC from USEPA before December 31, 2016 is
subject to that approval and the requirements listed in the AOC as they existed
at the time of that approval until the approval period expires. All other
exports of hazardous waste are prohibited unless the following conditions are
fulfilled:
1) The exporter complies with the
contract requirements in subsection (f);
2) The exporter complies with the
notification requirements in subsection (b);
3) The exporter receives an AOC from USEPA
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 (d);
5) The exporter ensures compliance with the
manifest instructions for export shipments in subsection (c); and
6) The exporter or a U.S. authorized agent
must 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), incorporated by
reference in 35 Ill. Adm. Code
720.111, and includes
the following items in the EEI, along with the other information required under
15 CFR
30.6, incorporated by reference in 35 Ill.
Adm. Code
720.111:
A) The USEPA license
code;
B) The commodity
classification code for each hazardous waste per
15 CFR
30.6(a)(12), incorporated by
reference in 35 Ill. Adm. Code
720.111;
C) The USEPA consent number for each
hazardous waste;
D) The country of
ultimate destination code per
15 CFR
30.6(a)(5), incorporated by
reference in 35 Ill. Adm. Code
720.111;
E) The date of export per
15 CFR
30.6(a)(2), incorporated by
reference in 35 Ill. Adm. Code
720.111;
F) The RCRA hazardous waste manifest tracking
number, if required;
G) The
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), incorporated by
reference in 35 Ill. Adm. Code
720.111; or
H) The USEPA 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 must provide notification in English to USEPA
of the proposed transboundary movement. Notifications must be submitted
electronically using USEPA'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 the notification must include all of the following information:
A) The exporter name and USEPA identification
number, address, telephone, fax numbers, and email address;
B) The foreign receiving facility name,
address, telephone, fax numbers, email address, technologies employed, and the
applicable recovery or disposal operations, as defined in Section
722.181;
C) The foreign importer name (if not the
owner or operator of the foreign receiving facility), address, telephone, fax
numbers, and email address;
D) The
intended transporters or their agents; address, telephone, fax, and email
address;
E) "U.S." as the country
of export name, "USA01" as the relevant competent authority code, and the
intended U.S. ports of exit;
F) The
International Standard ISO 3166-1:2013, incorporated by reference in 35 Ill.
Adm. Code
720.111, country name alpha-2 code, any code for the OECD/Basel
competent authority, and the ports of entry and exit for each country of
transit;
G) The International
Standard ISO 3166-1:2013, incorporated by reference in 35 Ill. Adm. Code
720.111, country name alpha-2 code, any code for the OECD/Basel competent
authority, and port of entry for the country of import;
H) A statement of whether the notification
covers a single shipment or multiple shipments;
I) The start and end dates requested for
transboundary movements;
J) The
planned means of transport;
K) A
description of each hazardous waste, including whether each hazardous waste is
regulated universal waste under 35 Ill. Adm. Code
733, spent lead-acid
batteries being exported for recovery of lead under Subpart G of 35 Ill. Adm.
Code
726, or industrial ethyl alcohol being exported for reclamation under 35
Ill. Adm. Code
721.106(a)(3)(A);
the estimated total quantity of each waste in either metric tons or cubic
meters; the applicable USEPA hazardous waste numbers for each hazardous waste;
the applicable waste code from the lists in the OECD Guidance Manual,
incorporated by reference in 35 Ill. Adm. Code
720.111; and the United
Nations/USDOT identification number from the Hazardous Materials Table in
49 CFR
172.101, incorporated by reference in 35 Ill.
Adm. Code
720.111, for each waste;
L) Specification of the recovery or disposal
operations, as defined in Section 722.181.
M) A declaration and certification signed by
the exporter that states as follows:
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:
BOARD NOTE: The United Nations Environment Programme, Basel
Convention maintains an on-line list of competent authorities by country
(www.basel.int/Countries/|CountryContacts/tabid/1342/|Default.aspx).
The European Commission maintains a list of competent authorities for European
Union members
(ec.europa.eu/environment/waste/shipments/|pdf/list_competent_authorities.pdf).
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. A notification proposing export to a preconsented facility
in an OECD member country must include all information listed in subsections
(b)(1)(A) through (b)(1)(M) and additionally state that the facility is
preconsented. The exporter must submit the notification to USEPA using the
allowable methods listed in subsection (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 (b)(1)(B) 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 (b)(1) 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 the final
foreign recovery or disposal facility will employ. For transboundary movements
to Canada, in addition to the foregoing foreign receiving facilities listed in
subsection (b)(1)(B), if the foreign receiving facility will engage in interim
recovery operations RC16 or interim disposal operations DC17, the notification
submitted according to subsection (b)(1) 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, RC14 to RC15, D1 through D12, and DC15 to
DC16 the final foreign recovery or disposal facility will employ. The recovery
and disposal operations in this subsection are defined in Section
722.181.
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 USEPA using the
allowable methods in subsection (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 USEPA AOC letter documenting the
countries' consents to the changes.
5) If 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, USEPA will coordinate with the Department of State to provide the
complete notification to the country of import and any countries of transit. In
all other cases, USEPA will provide the notification directly to the country of
import and any countries of transit. A notification is complete when USEPA
receives a notification that USEPA determines satisfies the requirements of
subsections (b)(1)(A) through (b)(1)(M).
6) If the countries of import and transit
consent to the proposed transboundary movements of the hazardous wastes, USEPA
will forward an USEPA AOC letter to the exporter documenting the countries'
consents. Where any of the countries of import and transit objects to the
proposed transboundary movements of the hazardous waste or withdraws a prior
consent, USEPA stated that it 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
722.183, including providing notification to USEPA in accordance with
subsection (b)(1). In addition to listing all required information in
subsections (b)(1)(A) through (b)(1)(M), the exporter must provide the original
consent number issued for the initial import of the wastes in the notification,
and receive an AOC from USEPA documenting the consent of the competent
authorities in new country of import, the original country of export, and any
transit countries prior to reexport.
8) Upon request by USEPA, the exporter must
furnish to USEPA 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 Sections
722.120
through
722.123, with
the following exceptions:
1) (Block 8): In
lieu of the name, site address and USEPA ID number of the designated facility,
the exporter must enter the name and site address of the foreign receiving
facility;
2) (Block 16): In the
International Shipments block, the exporter must check the export box and enter
the 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 Continuation Sheets (USEPA Form
8700-22A).
d) Movement Document Requirements
for Export Shipments
1) An exporter must
ensure that a movement document meeting the conditions of subsection (d)(2)
accompanies each transboundary movement of hazardous wastes from the initiation
of the shipment until the wastes reach the foreign receiving facility,
including cases where the hazardous waste is stored or sorted by the foreign
importer prior to shipment to the foreign receiving facility, except as
follows:
A) 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.
B) 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:
A) The
corresponding consent numbers and USEPA hazardous waste numbers for the listed
hazardous waste from the relevant USEPA AOCs;
B) The shipment number and the total number
of shipments from the USEPA AOC;
C)
The exporter name and USEPA identification number, address, telephone, fax
numbers, and email address;
D) The
foreign receiving facility name, address, telephone, fax numbers, email
address, technologies employed, and the applicable recovery or disposal
operations, as defined in Section 722.181;
E) The foreign importer name (if not the
owner or operator of the foreign receiving facility), address, telephone, fax
numbers, and email address;
F) A
description of each hazardous waste; the quantity of each hazardous waste in
the shipment; the applicable hazardous waste numbers for each hazardous waste;
the applicable OECD waste code for each hazardous waste from the lists in the
OECD Guidance Manual, incorporated by reference in 35 Ill. Adm. Code
720.111;
and the United Nations/USDOT identification number from the Hazardous Materials
Table in
49 CFR
172.101, incorporated by reference in 35 Ill.
Adm. Code
720.111, for each hazardous waste;
G) The date movement commenced;
H) The name (if not exporter), address,
telephone, fax numbers, and email of company originating the
shipment;
I) The company name,
USEPA identification number, address, telephone, fax, and email address of each
transporter;
J) Identification
(license, registered name, or registration number) of means of transport,
including types of packaging;
K)
Any special precautions to be taken by transporters;
L) A declaration and certification signed and
dated by the exporter that the information in the movement document is complete
and correct;
M) The appropriate
signatures for each custody transfer (e.g., transporter, importer, and owner or
operator of the foreign receiving facility);
N) 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
O) As part of the
contract requirements per subsection (f), the exporter must require that the
foreign receiving facility send a copy of the signed movement document to the
competent authorities of the countries of import and transit to confirm receipt
within three working days of shipment delivery to the exporter. The exporter
must additionally require that the foreign receiving facility send a copy to
USEPA at the same time using the WIETS described in subsection
(b)(1).
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 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 must ensure that the hazardous waste is returned to the
United States or reexported 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 USEPA 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 USEPA in
accordance with subsection (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 (when the
movement occurs between parties controlled by the same corporate or legal
entity). A contract or equivalent arrangements for export of hazardous waste
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. The contract or equivalent arrangements must specify responsibilities
for each of the exporter, the foreign importer, and the owner or operator of
the foreign receiving facility. A contract or equivalent arrangements is valid
for the purposes only if each person assuming obligations under the contracts
or equivalent arrangements has appropriate legal status to conduct the
operations specified in the contract or equivalent arrangements.
2) A contract or equivalent arrangements must
specify the name and USEPA identification number of the following:
A) The company from where each export
shipment of hazardous waste is initiated;
B) Each person who will have physical custody
of the hazardous wastes;
C) Each
person who will have legal control of the hazardous wastes; and
D) The foreign receiving facility.
3) A contract or equivalent
arrangements must specify which party to the contract will assume
responsibility for alternate management of the hazardous waste if its
disposition cannot be carried out as described in the notification of intent to
export. For this contingency, contracts must specify the following:
A) That the transporter or foreign receiving
facility having actual possession or physical control over the hazardous wastes
will immediately inform the exporter, USEPA, 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
B) That 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 arranging the
return of hazardous wastes, providing the notification for re-export to the
competent authority in the country of import, including the equivalent of the
information required in subsection (b)(1) and the original consent number
issued for the initial export of the hazardous wastes in the notification, and
obtaining consent from USEPA and the competent authorities in the new country
of import and any transit countries, as necessary, prior to
re-export.
4) A contract
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 and to the competent authorities of the countries of
import and transit. The contract must additionally require that the foreign
receiving facility send a copy to USEPA at the same time using the WIETS
described in subsection (b)(1).
5)
A contract must require that the foreign receiving facility send a copy of the
signed and dated confirmation of recovery or disposal to the exporter and to
the competent authority of the country of import, 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. The contract must additionally require that the foreign receiving
facility send a copy to USEPA at the same time using the WIETS described in
subsection (b)(1).
6) A contract
must require 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 35 Ill. Adm. Code
722.181) do the appropriate of the following:
A) Provide the notification required in
subsection (f)(3)(B) prior to any re-export of the hazardous wastes to a final
foreign recovery or disposal facility in a third country; and
B) Promptly send copies of the confirmation
of recovery or disposal that it receives from the final foreign recovery or
disposal facility to the competent authority of the country of import 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. The contracts must
additionally require that the foreign facility send copies to USEPA at the same
time using the WIETS described in subsection (b)(1).
7) A contract 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.
BOARD NOTE: Financial guarantees required by competent
authoritiess 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 any foreign
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) A contract or
equivalent arrangements must contain provisions requiring each contracting
party to comply with all applicable requirements of this Subpart H.
9) Upon request by USEPA or the Agency, U.S.
exporters, importers, or recovery facilities must submit to the requestor
copies of contracts, chain of contracts, or equivalent arrangements (when the
movement occurs between parties controlled by the same corporate or legal
entity).
g) Annual
Reports. The exporter must file an annual report with USEPA 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 December 31, 2018, the exporter must mail or hand-deliver annual
reports to USEPA for all shipments made the previous calendar year using one of
the appropriate of the addresses specified in Section
722.182(e),
or submit to USEPA using the WIETS described in subsection (b)(1) if the
exporter has electronically filed USEPA information in AES per subsection
(a)(6)(A)(i). Subsequently, the exporter must submit annual reports to USEPA
using the WIETS described in subsection (b)(1). The annual report must include
all of the following information:
1) The USEPA
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:
A) A description of
the hazardous waste;
B) The
applicable USEPA hazardous waste numbers (from Subpart C or D of 35 Ill. Adm.
Code
721) for each waste;
C) The
applicable waste code from the appropriate OECD waste list in the OECD Guidance
Manual, incorporated by reference in 35 Ill. Adm. Code
720.111;
D) The applicable USDOT identification number
from the Hazardous Materials Table in
49 CFR
172.101, incorporated by reference in 35 Ill.
Adm. Code
720.111;
E) The name and
USEPA identification number (where applicable) for each transporter used over
the calendar year covered by the report; and
F) The consent numbers 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 100 kg but less than 1,000 kg in a calendar month, and except for
hazardous waste for which information was already provided pursuant to Section
722.141:
A) A description of the efforts undertaken
during the year to reduce the volume and toxicity of the waste generated;
and
B) 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 Section
722.142(if
applicable) with USEPA if any of the
following occurs:
A) 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 45 days from the date hazardous waste was accepted by
the initial transporter, in which case the exporter must file the exception
report within the next 30 days;
B)
The exporter has not received a written confirmation of receipt from the
foreign receiving facility in accordance with subsection (d) within 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 30 days;
or
C) The foreign receiving
facility notifies the exporter, or the country of import notifies USEPA, 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 30 days of
notification, or one day prior to the date the return shipment commences,
whichever is sooner.
2)
Prior to December 31, 2018, exception reports must be mailed or hand delivered
to USEPA using the addresses listed in Section
722.182(e).
Subsequently, exception reports must be submitted to USEPA using the WIETS
described in subsection (b)(1).
i) Recordkeeping
1) The exporter must keep the following
records in subsections (i)(1)(A) through (i)(1)(E) and provide them to USEPA or
Agency personnel upon request:
A) A copy of
each notification of intent to export and each USEPA AOC for a period of at
least three years from the date the hazardous waste was accepted by the initial
transporter;
B) A copy of each
annual report for a period of at least three years from the due date of the
report;
C) 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 years
from the date the hazardous waste was accepted by the initial
transporter;
D) 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 completed interim or final processing of the hazardous waste shipment;
and
E) A copy of each contract or
equivalent arrangement established per Section
722.185 for at least
three years from the expiration date of the contract or equivalent
arrangement.
2) The
exporters may satisfy these recordkeeping requirements by retaining
electronically submitted documents in the exporter's account on USEPA's WIETS,
provided that copies are readily available for viewing and production if
requested by any USEPA or Agency 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 USEPA's WIETS 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 in writing by USEPA or the Agency.