1.
(i)
Manifest requirement.
A transporter may not accept hazardous waste from a generator
unless the transporter is also provided with a manifest form (EPA Form 8700-22,
and if necessary, EPA Form 8700-22A) signed in accordance with the requirements
of subparagraph (3)(d) of Rule
0400-12-01-.03,
or is provided with an electronic manifest that is obtained, completed, and
transmitted in accordance with subpart (3)(a)1.(iii) of Rule
0400-12-01-.03,
and signed with a valid and enforceable electronic signature as described in
subparagraph (3)(f) of Rule
0400-12-01-.03.
(ii) Exports.
For exports of hazardous waste subject to the requirements of
paragraph (9) of Rule
0400-12-01-.03,
a transporter may not accept hazardous waste without a manifest signed by the
generator in accordance with this paragraph, as appropriate, and for exports
occurring under the terms of a consent issued by EPA on or after December 31,
2016, a movement document that includes all information required by part
(9)(d)4 of Rule
0400-12-01-.03.
(iii) Compliance date for form
revisions.
The revised Manifest form and procedures in subparagraph
(2)(a) of Rule
0400-12-01-.01,
subparagraph (1)(g) of Rule
0400-12-01-.02,
this subparagraph and subparagraph (b) of this paragraph had an effective date
of September 5, 2006. The Manifest form and procedures in subparagraph (2)(a)
of Rule
0400-12-01-.01,
subparagraph (1)(g) of Rule
0400-12-01-.02,
this subparagraph and subparagraph (b) of this paragraph, contained in the
Rules
0400-12-01-.01
through
0400-12-01-.06,
in effect as of July 1, 2004, were applicable until September 5, 2006.
(iv) Use of electronic
manifest-legal equivalence to paper forms for participating transporters.
Electronic manifests that are obtained, completed, and
transmitted in accordance with subpart (3)(a)1.(iii) of Rule
0400-12-01-.03,
and used in accordance with this subpart in lieu of EPA Forms 8700-22 and
8700-22A, are the legal equivalent of paper manifest forms bearing handwritten
signatures, and satisfy for all purposes any requirement in these regulations
to obtain, complete, sign, carry, provide, give, use, or retain a
manifest.
(I) Any requirement in these
regulations to sign a manifest or manifest certification by hand, or to obtain
a handwritten signature, is satisfied by signing with or obtaining a valid and
enforceable electronic signature within the meaning of subparagraph (3)(f) of
Rule 0400-1201-.03.
(II) Any
requirement in these regulations to give, provide, send, forward, or return to
another person a copy of the manifest is satisfied when a copy of an electronic
manifest is transmitted to the other person by submission to the
system.
(III) Any requirement in
these regulations for a manifest to accompany a hazardous waste shipment is
satisfied when a copy of an electronic manifest is accessible during
transportation and forwarded to the person or persons who are scheduled to
receive delivery of the waste shipment, except that to the extent that the
Hazardous Materials regulation on shipping papers for carriage by public
highway requires transporters of hazardous materials to carry a paper document
to comply with
49 CFR
177.817, a
hazardous waste transporter must carry one printed copy of the electronic
manifest on the transport vehicle.
(IV) Any requirement in these regulations for
a transporter to keep or retain a copy of a manifest is satisfied by the
retention of an electronic manifest in the transporter's account on the
e-Manifest system, provided that such copies are readily available for viewing
and production if requested by any EPA inspector or the Commissioner.
(V) No transporter may be held liable for the
inability to produce an electronic manifest for inspection under this paragraph
if that transporter can demonstrate that the inability to produce the
electronic manifest is exclusively due to a technical difficulty with the EPA
system for which the transporter bears no responsibility.
(v) A transporter may participate in the
electronic manifest system either by accessing the electronic manifest system
from the transporter's own electronic equipment, or by accessing the electronic
manifest system from the equipment provided by a participating generator, by
another transporter, or by a designated facility.
(vi) Special procedures when electronic
manifest is not available.
If after a manifest has been originated electronically and
signed electronically by the initial transporter, and the electronic manifest
system should become unavailable for any reason, then:
(I) The transporter in possession of the
hazardous waste when the electronic manifest becomes unavailable shall
reproduce sufficient copies of the printed manifest that is carried on the
transport vehicle pursuant to item (iv)(III) of this part, or obtain and
complete another paper manifest for this purpose. The transporter shall
reproduce sufficient copies to provide the transporter and all subsequent waste
handlers with a copy for their files, plus two additional copies that will be
delivered to the designated facility with the hazardous waste.
(II) On each printed copy, the transporter
shall include a notation in the Special Handling and Additional Description
space (Item 14) that the paper manifest is a replacement manifest for a
manifest originated in the electronic manifest system, shall include (if not
pre-printed on the replacement manifest) the manifest tracking number of the
electronic manifest that is replaced by the paper manifest, and shall also
include a brief explanation why the electronic manifest was not available for
completing the tracking of the shipment electronically.
(III) A transporter signing a replacement
manifest to acknowledge receipt of the hazardous waste must ensure that each
paper copy is individually signed and that a legible handwritten signature
appears on each copy.
(IV) From the
point at which the electronic manifest is no longer available for tracking the
waste shipment, the paper replacement manifest copies shall be carried, signed,
retained as records, and given to a subsequent transporter or to the designated
facility, following the instructions, procedures, and requirements that apply
to the use of all other paper manifests.
(vii) Special procedures for electronic
signature methods undergoing tests.
If a transporter using an electronic manifest signs this
manifest electronically using an electronic signature method which is
undergoing pilot or demonstration tests aimed at demonstrating the practicality
or legal dependability of the signature method, then the transporter shall sign
the electronic manifest electronically and also sign with an ink signature the
transporter acknowledgement of receipt of materials on the printed copy of the
manifest that is carried on the vehicle in accordance with item (iv)(III) of
this part. This printed copy bearing the generator's and transporter's ink
signatures shall also be presented by the transporter to the designated
facility to sign in ink to indicate the receipt of the waste materials or to
indicate discrepancies. After the owner or operator of the designated facility
has signed this printed manifest copy with its ink signature, the printed
manifest copy shall be delivered to the designated facility with the waste
materials.
(viii)
Reserved.
(ix) Post-receipt
manifest data corrections. After facilities have certified to the receipt of
hazardous wastes by signing Item 20 of the manifest, any postreceipt data
corrections may be submitted at any time by any interested person (e.g., waste
handler) named on the manifest. Transporters may participate electronically in
the post-receipt data corrections process by following the process described in
part (5)(b)12 of Rule
0400-12-01-.06,
which applies to corrections made to either paper or electronic manifest
records.
3. The
transporter must ensure that the manifest accompanies the hazardous waste. In
the case of exports occurring under the terms of a consent issued by EPA to the
exporter on or after December 31, 2016, the transporter must ensure that a
movement document that includes all information required by part (9)(d)4 of
Rule
0400-12-01-.03
also accompanies the hazardous waste. In the case of imports occurring under
the terms of a consent issued by EPA to the country of export or the importer
on or after December 31, 2016, the transporter must ensure that a movement
document that includes all information required by part (9)(e)4 of Rule
0400-12-01-.03
also accompanies the hazardous waste.
4. A transporter who delivers a hazardous
waste to another transporter or to the designated facility must:
(i) Obtain the date of delivery and the
handwritten signature of that transporter or of the owner or operator of the
designated facility on the manifest; and
(ii) Retain one copy of the manifest in
accordance with subparagraph (c) of this paragraph; and
(iii) Give the remaining copies of the
manifest to the accepting transporter or designated facility.
5. The requirements of parts 3.,
4., and 6. of this subparagraph do not apply to water (bulk shipment)
transporters if:
(i) The hazardous waste is
delivered by water (bulk shipment) to the designated facility; and
(ii) A shipping paper containing all the
information required on the manifest (excluding the EPA identification numbers,
generator certification, and signatures) and, for exports or imports occurring
under the terms of a consent issued by EPA on or after December 31, 2016, a
movement document that includes all information required by part (9)(d)4 of
Rule
0400-12-01-.03
or part (9)(e)4 of Rule
0400-12-01-.03
accompanies the hazardous waste; and
(iii) The delivering transporter obtains the
date of delivery and handwritten signature of the owner or operator of the
designated facility on either the manifest or the shipping paper; and
(iv) The person delivering the hazardous
waste to the initial water (bulk shipment) transporter obtains the date of
delivery and signature of the water (bulk shipment) transporter on the manifest
and forwards it to the designated facility; and
(v) A copy of the shipping paper or manifest
is retained by each water (bulk shipment) transporter in accordance with
subparagraph (c) of this paragraph.
6. For shipments involving rail
transportation, the requirements of parts 3, 4, and 5 do not apply and the
following requirements do apply:
(i) When
accepting hazardous waste from a non-rail transporter, the initial rail
transporter must:
(I) Sign and date the
manifest acknowledging acceptance of the hazardous waste;
(II) Return a signed copy of the manifest to
the non-rail transporter;
(III)
Forward at least three copies of the manifest to:
I. The next non-rail transporter, if any;
or
II. The designated facility, if
the shipment is delivered to that facility by rail; or
III. The last rail transporter designated to
handle the waste in the United States;
(IV) Retain one copy of the manifest and rail
shipping paper in accordance with subparagraph (c) of this
paragraph.
(ii) Rail
transporters must ensure that a shipping paper containing all the information
required on the manifest (excluding the EPA identification number, generator
certification, and signatures) and, for exports or imports occurring under the
terms of a consent issued by EPA on or after December 31, 2016, a movement
document that includes all information required by part (9)(d)4 of Rule
0400-12-01-.03
or part (9)(e)4 of Rule
0400-12-01-.03
accompanies the hazardous waste at all times.
(Note: Intermediate rail transporters are not required to
sign the manifest, movement document, or shipping paper.)
(iii) When delivering hazardous waste to the
designated facility, a rail transporter must:
(I) Obtain the date of delivery and
handwritten signature of the owner or operator of the designated facility on
the manifest or the shipping paper (if the manifest has not been received by
the facility); and
(II) Retain a
copy of the manifest or signed shipping paper in accordance with subparagraph
(c) of this paragraph.
(iv) When delivering hazardous waste to a
non-rail transporter a rail transporter must:
(I) Obtain the date of delivery and the
handwritten signature of the next non-rail transporter on the manifest;
and
(II) Retain a copy of the
manifest in accordance with subparagraph (c) of this paragraph.
(v) Before accepting hazardous
waste from a rail transporter, a non-rail transporter must sign and date the
manifest and provide a copy to the rail transporter.
7. Transporters who transport hazardous waste
out of the United States must:
(i) Sign and
date the manifest in the International Shipments block to indicate the date
that the shipment left the United States; and
(ii) Retain one copy in accordance with part
(c)4. of this subparagraph; and
(iii) Return a signed copy of the manifest to
the generator; and
(iv) For paper
manifests only,
(I) Send a copy of the
manifest to the e-Manifest system in accordance with the allowable methods
specified in item (5)(b)1(ii)(V) of Rule
0400-12-01-.06;
and
(II) For shipments initiated
prior to the AES filing compliance date, when instructed by the exporter to do
so, give a copy of the manifest to a U.S. Customs official at the point of
departure from the United States.
8. A transporter transporting hazardous waste
from a generator who generates greater than 100 kilograms but less than 1000
kilograms of hazardous waste in a calendar month need not comply with the
requirements of this subparagraph or those of subparagraph (c) of this
paragraph provided that:
(i) The waste is
being transported pursuant to a reclamation agreement as provided for in Rule
0400-12-01-.03(3)(a)
5.;
(ii) The transporter records,
on a log or shipping paper, the following information for each shipment:
(I) The name, address, and U.S. Installation
Identification Number of the generator of the waste;
(II) The quantity of waste
accepted;
(III) All DOT-required
shipping information;
(IV) The date
the waste is accepted; and
(iii) The transporter carries this record
when transporting waste to the reclamation facility; and
(iv) The transporter retains these records
for a period of at least three years after termination or expiration of the
agreement.