United States Solid Waste and PB96-780 184
Environmental Protection Emergency Response EPA530-R-95-050
Agency (5305W) November 1995
RCRA/UST, Superfund, & EPCRA
Hotline Training Module
Introduction to:
Transporters
(40 CFR Part 263)
Updated as of July 1995
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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/UST, Superfund & EPCRA Phone Numbers:
National toll-free (outside of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Standard Time,
Monday through Friday, except for federal holidays.
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TRANSPORTERS
CONTENTS
1. Introduction 1
2. Regulatory Summary 3
2.1 EPA Identification Number 3
2.2 Permits, Licenses, and Insurance 3
2.3 Transfer Facilities 4
2.4 Compliance with the Manifest 4
2.5 Modes of Transportation 5
2.6 Exporting Hazardous Waste 7
2.7 Transporter as a Generator 7
2.8 Hazardous Waste Discharges 8
3. Special Issues 9
3.1 EPA/DOT Interface 9
3.2 Import/Export Issues 9
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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 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 regulations 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 the transporter's recordkeeping and manifesting requirements
• Identify the 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 used for Hotline training purposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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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 used for Hotline training purposes. For complete and current information, please call the
RCRA/USi; Superfund, and EPCRA Hotline.
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Transporters - 3
2. REGULATORY SUMMARY
As part of the comprehensive hazardous waste management program mandated by
Congress, EPA promulgated regulations in 40 CFR Part 263 governing the safe
transport of wastes from generator to treatment, storage, or disposal facility (TSDF),
or to other appropriate destinations. 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 the DOT
regulations. In general, transporters of hazardous waste must comply with the
general requirements of Part 263, as well as the specific Department of
Transportation requirements referenced throughout the transporter regulations.
Not all transporting is regulated the same way. Part 263 does not apply to the on-site
movement or transportation of hazardous waste since a manifest is not required
with 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 (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). This differs from generator ID numbers, which are site-specific.
2.2 PERMITS, LICENSES, AND INSURANCE
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 the
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 as implemented by DOT (49 CFR Parts 171-179) does require it.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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4 - Transporters
2.3 TRANSFER FACILITIES
A transfer facility, as defined in §260.10, is an area used to temporarily store wastes en
route to a treatment, storage, or disposal facility. Transfer facilities may be carrier
terminals, loading docks, and other areas where waste is kept during the normal
course of transportation (e.g., when drivers change shifts). Under §263.12,
transporters may store manifested shipments of hazardous waste in containers at a
transfer facility for 10 days or less without a storage permit (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/operator of the designated
facility within 35 days of the date the initial transporter accepted the waste. The
large quantity generator must then submit an Exception Report to the EPA Regional
Administrator stating that 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). Both the
requirement to contact the transporter and also report the discrepancy prevents
waste from being held indefinitely at a particular facility.
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 form (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 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
revised accordingly (§263.21 (b)). The manifesting responsibilities vary depending on
the mode of transportation (i.e., highway, water, rail, or air).
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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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/opera tor
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 identification 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)
• Obtain the dated signature of the owner/operator of the designated facility
on the shipping paper
• 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 for three years.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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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(0(1))
Initial rail transporter's duties include:
• Signing and dating the manifest
• Returning a signed copy of the manifest to the non-rail transporter
• 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
• Retaining a copy of the manifest for three years.
Rail to TSDF (§263.20(0(3))
For rail delivery to the designated facility, the rail transporter must obtain the dated
signature of the owner/operator of the designated facility on the manifest or
shipping paper, and retain one copy of the manifest or snipping paper for three
years.
Rail to Non-Rail (§263.20(0(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 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.
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
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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Transporters - 7
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 §262.53.
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 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)). 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.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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2.8 HAZARDOUS WASTE DISCHARGES
If a transporter discharges or spills hazardous waste, he/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 used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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3. SPECIAL ISSUES
Although the RCRA transporter requirements are fairly straightforward, a few
complexities deserve special consideration.
3.1 EPA/DOT INTERFACE
As part of the "cradle-to-grave" waste management system, the transporter
regulations ensure proper delivery of the hazardous waste to the designated
treatment, storage, or disposal facility. 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, containers, and also outline the
DOT requirements for responding to spills or discharges. EPA incorporated the DOT
requirements first, to ensure consistency with the DOT regulations and second, to
avoid duplicative and burdensome requirements (§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 (§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
(§172.205). This type of Agency overlap 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.
3.2 IMPORT/EXPORT ISSUES
On March 30, 1992, the Organization for Economic Cooperation and Development
(OECD) established the Control of Transfrontier Movements of Wastes Destined for
Recovery Operations to monitor and control the movement of hazardous waste
imported or exported for recycling. The United States, as a member of OECD, is
required to promulgate a rule establishing a tiered system for the import and export
of wastes destined for recovery. This tiered system would classify wastes as being on
the green, amber, or red list. Green wastes are subject to basic controls for
international commercial shipments, while amber and red wastes, if hazardous,
would be subject to additional requirements such as notification of and consent from
the designated countries. The OECD decision does not include wastes being
imported or exported for disposal. EPA is planning an April 1995 promulgation date
for implementation of this decision, which may change the transporter requirements
for importing and exporting wastes destined for recovery (60 FR 23928; May 8,1995).
EPA is not required to undertake a formal rulemaking process for this decision,
provided it is a codification of the actual OECD agreement. Until the promulgation
of this rule, the import and export regulations remain in effect.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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