United States
Environmental
Protection Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-99-068
PB2000-101 908
February 2000
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
Transporters
(40 CFR Part 263)
Updated October 1999
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DISCLAIMER
This document was developed by Booz-Alien & Hamilton Inc. under contract 68-W0-0039 to EPA. It is intended to
be used as a training tool forHotKne specialists and does not represent a statement of EPA policy.
The information in this document is not by anymeans a complete representation ofEPA's regulations or policies.
This document is used only in the capacity ofthe Hotline training and is not used as a reference toolon Hotlinecalls.
TheHotline revises and updates this document as regulatory pro gram areas change.
The information in th.is docume nt may not necessarily reflect the current position ofthe Agency. This document is
not intended and cannot be relied upon to create any rights, subs tan live orprocedural, enforceable by any party in
litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers
National toll-free (outside of DC area) (800) 424-9346
Loca I num ber (withi n DC a rea) (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 Time,
Monday through Friday, except for federal holidays.
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TRANSPORTERS
CONTENTS
1. Introduction ; 1
2. Regulatory Summary 2
2.1 EPA Identification Number 2
2.2 Compliance with the Manifest 3
2.3 Hazardous Waste Discharges 3
2.4 Modes of Transportation 3
2.5 Transfer Facilities 6
2.6 Exporting Hazardous Waste 6
2.7 Transporter as a Generator 7
2.8 Permits, Licenses, and Insurance 7
3. EPA/DOT Interface 8
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Transporters - 1
1. INTRODUCTION
Section 3003 of the Resource Conservation and Recovery Act (RCRA) required EPA to
promulgate standards for hazardous waste transporters that would be protective of
human health and the environment. In response, EPA adopted certain Department of
Transportation (DOT) regulations pertaining to the transport of hazardous waste (49
CFR Parts 100-185). EPA worked with DOT to develop the RCRA transporter
regulations, found in 40 CFR Part 263. These regulations establish management
standards for the off-site transportation of hazardous wastes by highway, rail, air, or
water.
A transporter is subject to all applicable regulations under Part 263 including
compliance with transfer facility requirements, the requirement to obtain an EPA
Identification (ID) number, compliance with the manifest system, and proper
management of hazardous waste discharges. The provisions will be discussed in
greater detail in the module.
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,
and
• 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
2. REGULATORY SUMMARY
As part of RCRA's comprehensive hazardous waste management program, EPA
promulgated regulations governing the safe transport of hazardous wastes from
generator to designated facility, which is usually a treatment, storage, or disposal
facility (TSDF). Section 263 applies to carriers transporting hazardous waste within the
United States when that waste is subject to the manifesting requirements of Section 262.
Transportation means "the movement of hazardous waste by air, rail, highway, or
water" (§260.10). EPA promulgated the transporter requirements to be consistent with
appropriate DOT regulations. In general, transporters of hazardous waste must comply
with the requirements of Part 263, as well as the specific DOT requirements referenced
throughout the transporter regulations.
Not all hazardous waste transportation is regulated in the same way. EPA regulates the
off-site transportation of hazardous wastes. Part 263 does not apply to the on-site
movement of wastes within a facility's boundary. The term on-site includes the
transport of hazardous waste between contiguous properties, even when separated by a
public road "provided that the entrance and exit between the properties in at a
crossroads intersection, and access is by crossing, as opposed to going along, the right-
of-way" (§260.10). Generally Part 263 does not apply to transportation of shipments
that do not require a manifest.
Transporters are required to comply with the regulations in Part 262 if they import
hazardous waste into the United States. They must also follow certain Part 262
requirements if they mix hazardous wastes of different DOT shipping descriptions in a
single container (§263.10(c)). In such instances, the transporter does not actually
become the generator, but generator responsibilities must be assumed. If the
transporter combines hazardous wastes with the same DOT shipping descriptions, they
must ensure that the manifest contains accurate information, but they would not be
required to assume generator responsibilities. 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 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
transporter 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 FR12752; February 26,1980); in
contrast to generator ID numbers, which are generally site-specific.
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
2.2 COMPLIANCE WITH THE MANIFEST
EPA created a tracking mechanism to ensure that hazardous waste sent to a treatment,
storage, and disposal facility (TSDF) 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 found in the appendix to Part 262. The manifest is the control and
transport document that accompanies the waste during transport from its generation site to
its final destination facility.
Part 263, Subpart B, dictates transporter responsibilities for the manifest system as well
as recordkeeping requirements with which a hazardous waste transporter must
comply. Before hazardous waste can be transported, the transporter must sign and date
the manifest. 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(b)). 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).
2.3 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
action" is not specifically defined, however, it 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). This may include authorization of a nonmanifested removal of the hazardous
waste by a transporter without an EPA ID number when an immediate removal is
deemed necessary to protect human health and the environment.
2.4 MODES OF TRANSPORTATION
Transportation of hazardous waste from the generator to the designated facility can be
accomplished by several means of transportation. The regulations establish guidelines
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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4 - Transporters
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, and
• 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
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.
Instead, the person delivering the waste to the initial water transporter obtains the date
of delivery and signature of the water transporter on the manifest and forwards it to the
designated facility. In addition, if the waste is delivered directly to the TSDF, the water
transporter must:
• 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 or operator of the designated facility on
the shipping paper or the manifest
• Sign and date the manifest
• Retain a copy of the shipping paper or manifest for three years (§263.20(e)).
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
RAIL SHIPMENTS
Rail transport is another method by which hazardous waste is shipped to the
designated facility (§263.20(f)). 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. Similar to water shipments, rail transporters must comply with the directions
on the manifest and must be listed as a transporter on the manifest, but the actual
manifest form does not have to accompany the waste shipments at all times. 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 FR12739; 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)(4) and §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 and must retain a copy for at least
three years. Since the manifest is not required to accompany the rail shipment, the non-
rail transporters might obtain a copy of the manifest directly from the generator. 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).
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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6 - Transporters
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.
2.5 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, or other areas
where waste is kept during the normal course 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 DOT specification containers, and stored less than 10 days. There is
no specific time limit for a hazardous waste shipment to reach the designated facility. If
a large quantity generator (LQG) does not receive a signed copy of the manifest from
the designated facility within 35 days of the date the initial transporter accepted the
waste, the generator must contact the transporter and the owner or operator of the
designated facility to determine the status of the waste (§262.42(a)). If a copy of the
manifest is not received within 45 days of the date the waste was accepted by the initial
transporter, then the LQG must submit an Exception Report to the EPA Regional
Administrator. 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.
2.6 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
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 - 7
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, and
• 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)(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 PERMITS, LICENSES, AND INSURANCE
Transporters do not need RCRA permits if they comply with Part 263. However, if the
transporter stores hazardous waste longer than 10 days or treats or disposes of wastes
at their facility, a RCRA permit would be required. 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 387).
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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8 - Transporters
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 incorporates RCRA hazardous wastes as one of the types
of hazardous 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 FR10490), 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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