United States       Solid Waste and
          Environmental Protection Emergency Response
          Agency	(5305W)	
                        EPA530-R-97-073
                          PB98-108285
                         November 1997
V-/EPA
RCRA, Superfund & EPCRA
    Hotline Training Module
             Introduction to:
                        Transporters
                        (40 CFR Part 263)
                     Updated July 1997

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                                         DISCLAIMER

This document was developed by Booz-Allen & Hamilton Inc. under contract 68-WO-0039 to EPA.  It is
intended to be used as a training tool for Hotline specialists and does not represent a statement of EPA
policy.

The information in this document is not by any means a complete representation of EPA's regulations or
policies. This document is used only in the capacity of the Hotline training and is not used as a reference
tool on Hotline calls. The Hotline revises and updates this document as regulatory program areas change.

The information in this document may not necessarily reflect the current position of the Agency. This
document is not intended and cannot be relied upon to create any rights,  substantive or procedural,
enforceable by any party in litigation with the United States.
                        RCRA, Superfund & EPCRA Hotline Phone Numbers:
           National toll-free (outside of DC area)
           Local number (within DC area)
           National toll-free for the hearing impaired (TDD)
(800) 424-9346
(703)412-9810
(800) 553-7672
                         The Hotline is open from 9 am to 6 pm Eastern Time,
                          Monday through Friday, except for federal holidays.

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                          TRANSPORTERS
                              CONTENTS
1. Introduction.
2. Regulatory  Summary	
   2.1  EPA Identification  Number	
   2.2  Permits, Licenses,  and  Insurance.
   2.3  Transfer Facilities	
   2.4  Compliance with the  Manifest	
   2.5  Modes  of Transportation	
   2.6  Exporting  Hazardous  Waste	
   2.7  Transporter as a Generator	
   2.8  Hazardous Waste Discharges	
3
3
3
4
4
5
7
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3.  EPA/DOT Interface	  9

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                                                               Transporters - 1
                          1.    INTRODUCTION
Section 3003 of  the Resource Conservation and Recovery Act (RCRA)
requires  EPA  to promulgate  standards  for hazardous  waste transporters
that  will  protect human  health and the  environment.   In  response, EPA
promulgated standards  and  adopted certain Department  of Transportation
(DOT) regulations  governing the transportation of hazardous waste (49 CFR
Parts  171-179).   EPA worked with DOT  to  develop  the RCRA  transporter
regulations, found in 40  CFR Part 263.   These regulations establish
management as  well  as transportation  standards  for  hazardous  waste
transporters.

When  you have  completed this  module  you will  be familiar with the
regulatory requirements for transporters  of  hazardous   waste.    Specifically,
you will be able to:

   •   List the  conditions  and requirements  for a  transfer facility

   •   Identify  transporter  recordkeeping and manifesting  requirements

   •   Identify  transporter  requirements  when exporting  hazardous  waste

   •   State the  conditions  under which  a transporter is subject to generator
      regulations

   •   Cite the  CFR section covering the transporter responsibilities for
      hazardous  waste  discharges.

Use  this list of objectives to check  your  knowledge  of  this topic  after you
complete  the training  session.
   The information in this document is not by any means a complete representation of EPA's
                             regulations or policies,
           but is an introduction  to the topic used for Hotline training purposes.

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2  -  Transporters
   The information in this  document is  not  by any  means  a complete representation of  EPA's
                                     regulations  or  policies,
             but  is  an introduction  to  the  topic  used for Hotline training  purposes.

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                                                             Transporters - 3
                   2.   REGULATORY SUMMARY
As  part  of  RCRA's comprehensive hazardous waste  management program,
EPA promulgated regulations governing the  safe transport  of wastes from
generator  to treatment,  storage,  or  disposal facility (TSDF),  or to other
appropriate destinations (40 CFR Part 263).  Part 263  applies to carriers
transporting hazardous  waste  within  the  United States  when  that waste  is
subject  to  the  manifesting requirements of Part 262.   Transportation, as
defined in §260.10, means "the movement of hazardous waste by air, rail,
highway,  or  water."   EPA promulgated the  transporter requirements to be
consistent with  appropriate  DOT regulations.  In general,  transporters of
hazardous waste must  comply with  the general requirements of Part 263,
as well as the  specific DOT requirements referenced throughout the
transporter  regulations.

Not  all waste transportation is regulated the  same way.  Part 263 does  not
apply to the on-site movement or transportation of  hazardous  waste
because- a manifest  is  not required for  on-site shipment.   Transporters  are
required  to comply  with  the regulations in Part 262  if they import
hazardous waste  into the  United States from  abroad  or if they mix
hazardous wastes of different DOT shipping  descriptions in a single
container  (§263.10(c)).   There are  also specific requirements  for
transporters  exporting   hazardous waste  outside  the  United States
(§§263.20(c)  and (g)).
2.1  EPA IDENTIFICATION NUMBER

A  transporter  is required to obtain  an EPA identification (ID) number
before transporting hazardous  waste (§263.11).   Transporters  obtain  EPA
ID  numbers by  completing and submitting the  Notification  of Regulated
Waste Activity Form  (EPA Form  8700-12).  EPA issues ID  numbers for
primary offices  or places  of business, not individual  transporting  terminals.
For example,  separate truck terminals owned  by the  same company
operate under  the  same EPA ID number (45 FR.12752;
February 26,  1980); in contrast to  generator  ID numbers,  which are site-
specific.
2.2  PERMITS, LICENSES, AND INSURANCE
   The information in this document is not by any means a complete representation of EPA's
                            regulations or policies,
           but is an  introduction to the topic used for Hotline  training purposes.
                                                                              1 i 'i

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 4 - Transporters
Transporters do not need  RCRA permits if they comply  with Part 263.  A
RCRA  permit  is  required,  however,  if the  transporter  stores  hazardous
waste  longer than 10  days or  treats,  disposes,  or otherwise actively
manages  hazardous  waste  at  their  facility.   In  addition, states  often  require
special  permits  or licenses  for  transporters.   Although EPA does  not
require transporters to  have  liability  insurance,  the Federal Motor Carrier
Act, implemented by DOT, does require it (49 CFR  Parts  171-179).
    The information in this document is not by any means  a complete representation of EPA's
                               regulations or policies,
            but is an introduction to  the topic used for Hotline training purposes.

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                                                               Transporters - 5
2.3  TRANSFER FACILITIES

A transfer facility, as defined in  §260.10, is an  area used  to  temporarily
store  wastes  on route to a TSDF.  Transfer facilities may be carrier terminals,
loading docks, and other areas  where waste  is kept during the normal
cburse of  transportation  (e.g., when  drivers  change shifts).  Transporters
may store manifested shipments of hazardous waste in containers  at  a
transfer facility for 10  days or less  without a storage  permit under  §263.12
(45 FR 86966; December 31,  1980).

Transfer facilities  are not  required to operate under RCRA storage  permits
when the hazardous  waste is  held during the normal course  of
transportation and  the  waste is  manifested,  kept  in containers  meeting DOT
packaging  requirements,  and stored less  than  10  days.   Although there  is
no  specific time  limit for  a hazardous  waste shipment  to reach  the
designated facility, §262.42(a)  requires  large quantity  generators to
contact the transporter  and the owner or operator  of  the  designated
facility within 35  days  Of the date the initial  transporter accepted the
waste  if the generator  does not receive  a signed  copy  of the  manifest from
the designated facility.   The  large quantity generator must then submit  an
Exception  Report  to  the  EPA  Regional Administrator stating that he  or she
has not received  a copy of the  manifest  within 45  days of the date  the
waste  was accepted  by  the initial transporter.    Small  quantity  generators
have  reduced  reporting  requirements  under  §262.42(b).    The
requirements  to  contact  the transporter  and  to  report  the discrepancy
prevent waste from  being  held or re-routed unnecessarily during
transport.
2.4  COMPLIANCE WITH THE MANIFEST

EPA  created a  tracking mechanism  to  ensure  that hazardous  waste sent to a
TSDF actually reaches its destination.  The  manifest is the central element of
this  system.
The  Uniform  Hazardous Waste Manifest  (EPA Form  8700-22) and its
instructions are  in the appendix to Part 262.  The manifest is the control  and
transport  document that accompanies  the waste from  its  generation  to  its
final  destination.

Part 263,  Subpart B,  dictates  transporter responsibilities  for the  manifest
system  as well  as recordkeeping requirements  with  which  a transporter
must  comply  in transporting hazardous waste.  Before  hazardous waste can

   The information in this document is not by any means a complete representation of EPA's
                             regulations  or policies,
           but is  an introduction to the topic  used for  Hotline training purposes.
                                                                                 It,

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 6 - Transporters
be  transported,  the  transporter  must  sign and date  the manifest
(§263.20(d)(l)).   This  enables the  transporter  to  formally  acknowledge  the
acceptance of hazardous  waste  from  the generator and return  a signed
copy to  the  generator  before leaving the generator's  property
(§263.20(d)(2)).   The  transporter must  then  deliver  the  hazardous waste
shipment  to  the next transporter, the designated  facility,  or the  alternate
facility listed on the manifest or  the  place outside the  United States
designated by the  generator (§263.21(a)).  If  the  waste cannot  be
delivered  to  the designated receiver,  the  generator  must  be  contacted for
further instructions,  and  the  manifest must  be
    The information in  this document is not by  any means a  complete representation  of EPA's
                               regulations or policies,
            bul is an introduction to  the topic used for Hotline training purposes.

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                                                               Transporters
revised accordingly (§263.21(b)).   The manifesting responsibilities  vary
depending  on the mode of transportation (i.e., highway, water,  rail,  or air).
2.5  MODES OF TRANSPORTATION

Transportation of hazardous  waste from the generator to the  designated
facility  can be accomplished by any  means  of  transportation.   The
regulations  establish guidelines for the proper  handling and  recordkeeping
of hazardous  waste transported by  highway,  water,  rail,  or  air.   The
requirements  for  each  method of  transportation  are  discussed  below.

HIGHWAY  SHIPMENTS

Under §263.20,  highway  transporters  must  complete  the following
manifest  and  recordkeeping  requirements:

   •  Sign and date  the manifest

   •  Leave  a signed and dated copy of the manifest with the generator

   •  Ensure  that the  manifest  accompanies  the  waste

   •  Obtain  the  dated  signature of the next transporter  or  the
      owner/operator of the designated facility

   •  Keep  a copy of  the manifest for at  least three years  (all three-year
      record retention  requirements are  extended in case of  an
      enforcement action).

WATER  (BULK) SHIPMENTS

Highway  transportation  is not  the  only method for shipping hazardous
waste.  In  §263.20(e),  EPA established regulations  governing the shipment
of hazardous  waste by  water.   Water  transporters  must comply with the
directions on  the  manifest,  obtain an  EPA  ID number,  and be listed on  the
manifest.   When  shipping  hazardous  waste  by  water, however,  the
manifest is  not required to  physically  accompany  the  shipment.  In
addition, if the waste is delivered  directly to the TSDF,  the transporter
must  (§263.20(e)):

   •  Ensure  that a shipping paper (e.g., waybill),  containing the same
      information as the manifest,  accompanies  the waste (excluding the
      EPA  ID number, generator  certification,  and signatures)
   The information in this document is not  by any means a complete representation of EPA's
                             regulations  or policies,
           but is an introduction to the  topic used for Hotline training purposes.
                                                                              ij

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8 -  Transporters
      Obtain  the  dated  signature  of  the owner or operator  of the
      designated  facility  on  the  shipping  paper
   The information in this document is not by any means  a complete representation  of EPA's
                                 regulations or policies,
            but is an  introduction to  the topic  used  for Hotline training purposes.

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                                                                 Transporters - 9
   •  Obtain  the dated  signature  of the water  transporter on  the manifest
      (if  delivering  the  waste  to  the initial water  transporter)

   •  Forward the manifest  to  the designated  facility, and retain  a copy  of
      the shipping  paper or  manifest for three years.

RAIL SHIPMENTS

Rail transport is another method  by which  hazardous waste is  shipped to
the designated facility (§263.20(0).   As  with  the other methods of
transport, rail transporters must have an EPA ID  number and  ensure the
designated facility is listed on  the manifest.    For  rail  shipments  of
hazardous waste, however, the  transporter  is  not  required  to  carry  the
manifest.   Instead,  a  standard  waybill or other shipping document
containing all the manifest  information  except EPA ID  number,  generator
certification,  and signatures  may accompany the  waste (45  FR  12739;
February  26,  1980).

Initial   Rail Duties   (§263.20(f)(l))

Initial rail  transporter's  duties  include:

   •  Signing and dating  the manifest
   •  Returning  a signed copy of the manifest  to  the  non-rail  transporter
   •  Retaining  a  copy  of the  manifest  and rail  shipping  paper for three
      years
   •  Forwarding at least  three copies to the next non-rail  transporter or
      designated facility  (if  the shipment is  delivered by  rail), or  the  last
      rail transporter designated to  handle  the waste in  the United  States.

Rail  to  TSDF  (§263.20(f)(3))

For rail delivery to the designated  facility,  the  rail transporter must  obtain
the dated signature  of the owner  or operator  of the designated facility on
the manifest  or  shipping paper, and  retain one  copy of the  manifest  or
shipping  paper  for  three  years.

Rail  to  Non-Rail  (§263.20(f)(5))

For delivery  by rail to  a non-rail transporter, the  rail  transporter must
obtain the dated signature of the  non-rail transporter on  the manifest.  If
the hazardous waste is  leaving the  United  States,   the transporter must
receive  an  Acknowledgment  of Consent  from  the  generator,  and  ensure
   The information  in this document is not by any means a complete representation  of EPA's
                              regulations or policies,
           but is  an introduction  to  the  topic used for  Hotline training purposes.
                                                                                 J.I

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 10 - Transporters
that it accompanies the shipment  at  all  times.   The Acknowledgment of
Consent is consent from the  receiving country  to  accept  the  shipment.   Note
that this requirement is not specific to rail,  but also applies  to  all  other
modes  of  transportation.
    The  information  in this document is  not by any  means a complete representation  of EPA's
                                regulations  or  policies,
            but  is  an introduction to  the topic used  for Hotline  training  purposes.

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                                                             Transporters  -  11
Pipeline   Shipments

Transportation of hazardous  waste  by pipeline does not meet the RCRA
definition of transportation (§260.10) and therefore is not  subject to Part
263 regulations.  Piping as a mode of transport  is not specifically
addressed by RCRA, nor is  it prohibited.   However, hazardous waste  piped
off-site  may be  subject to other provisions of RCRA.
2.6  EXPORTING HAZARDOUS WASTE

There  are  additional requirements  for  transporters  who  export hazardous
waste (263.20(g».  Before waste  can be exported  to  a  foreign country,  the
generator (or primary exporter)  must obtain the  country's  approval for the
shipment via an  Acknowledgment of Consent  that is processed by the State
Department.   The regulations  governing exports of  hazardous  waste are
found in Part 262, Subpart E.  Transporters of hazardous waste  that is
exported also must:

   •  Ensure that the  manifest and Acknowledgment of Consent
      accompany the  waste;  in the  case of rail and  water  shipments,  the
      Acknowledgment of Consent must go  with  the waste but  the manifest
      does  not need to be attached to  the shipping  paper

   •  Verify that  the waste  conforms to the  Acknowledgment  of Consent

   •  Ensure that the date the hazardous  waste left  the United States is
      indicated on the  manifest

   •  Sign  the manifest  and  retain a copy

   •  Return a signed copy  of the  manifest to  the generator

   •  Give a copy of the manifest to the United States Customs Official
      when the  waste leaves  the country

   •  Retain the  manifest for  three years.
2.7  TRANSPORTER AS A GENERATOR

Under §262.60, anyone,  including a  transporter,  who imports hazardous

   The information in this document is not by  any means a complete representation of EPA's
                            regulations or policies,
           but is an introduction to the topic used for Hotline  training purposes.

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 12 -  Transporters
waste from  a foreign  country must  comply with  the  generator requirements,
including initiating a  manifest.   If the  transporter mixes  wastes with
different  DOT shipping descriptions  by  placing them in a  single container
(e.g., drum,  tank, truck),  the  transporter must  initiate  a new manifest  and
comply  with the  generator  regulations  (§263.10(c)(2)).  The transporter
should  be named  in the  generator block and the  old  manifest(s) should still
accompany  the waste.   Additionally,  any other  substantial shipping changes
would require that a  new manifest be  prepared.
2.8  HAZARDOUS WASTE DISCHARGES

If a transporter  discharges  or spills hazardous  waste,  he or  she is  required
to take  immediate  action to protect human  health  and the  environment
(§263.30).   Immediate  actions  may include  containing the spill, notifying
local  authorities,  and notifying the National  Response  Center as required by
DOT  or Superfund  regulations.   DOT  may require a written report (see
§263.30 for specific  reporting  requirements).   In  addition, federal,  state, or
local  authorities may require a transporter  to take actions  in response  to a
discharge or  spill if  the  discharge is  determined  to present  a  long-term
hazard  to human health  or the environment (§263.31).
    The information  in this document is not by any means a complete representation of EPA's
                              regulations or policies,
           but is an introduction to  the topic used  for Hotline training  purposes.

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                                                              Transporters - 13
                      3.   EPA/DOT INTERFACE
As  part  of the RCRA cradle-to-grave waste  management system,  the
transporter  regulations ensure  proper  delivery  of the hazardous  waste  to
the designated TSDF.   The  Part  263 transporter  requirements  adopted
portions  of the DOT regulations for  the safe transport of DOT classified
hazardous  materials.  The DOT references in  the  RCRA  regulations include
requirements for labeling,  marking,  placarding, and containers, and also
outline the DOT requirements for  responding  to spills or discharges.   EPA
incorporated these requirements  by reference,  to ensure consistency  with
the DOT regulations and to  avoid duplicative and burdensome
requirements (see note at §263.10(a)).   In addition, DOT incorporated RCRA
hazardous  wastes as one  of  the  types  of materials that must be  transported
according to DOT specifications (49 CFR §171.3).   The Joint Uniform
Hazardous Waste Manifest, promulgated  on March 20, 1984  (49 FR 10490),
also serves as  both the EPA tracking  form (§262.20) and the shipping
paper required  under DOT  (49  CFR  §172.205).  This  system allows the  in-
transit management of hazardous  waste to be  regulated  safely and
efficiently  while  allowing both  EPA  and DOT to  retain enforcement of their
respective  regulations.
   The information in this document is  not by any means a complete representation of EPA's
                             regulations or policies,
           but is an introduction to  the topic used  for Hotline training purposes.

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