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
-------
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.
-------
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
7
8
3. EPA/DOT Interface 9
-------
4>
+*
e
o
« £
-------
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.
-------
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.
-------
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
-------
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.
-------
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,
-------
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.
-------
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
-------
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.
-------
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
-------
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.
-------
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.
-------
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.
-------
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.
-------
------- |