NEIC
ENFORCEMENT STRATEGY
HAZARDOUS WASTE EXPORTS
National Enforcement Investigations Center, Denver
U.S. Environmental Protection Agency
EJBD
ARCHIVE
EPA
330-
R-
88-
004
Office of Enforcement
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V
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
ENFORCEMENT STRATEGY
HAZARDOUS WASTE EXPORTS
MARCH 1988
Repository Material
Permanent Collection
US EPA
Headquarters and Chemical Libraries
EPA West Bldg Room 3340
Mailcode 3404T
1301 Constitution Ave NW
Washington DC 20004
202-566-0556
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Denver, Colorado
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CONTENTS
I. INTRODUCTION 1
II. SUMMARY : 4
III. REGULATORY REQUIREMENTS 6
RCRA EXPORT REGULATIONS 6
Notices of Intent 6
Acknowledgment of Consent 7
Rejections ..8
Manifests ".".'".'.'. 8
Exception Reports ....8
Annual Reports 8
Transporter Requirements 9
INTERNATIONAL AGREEMENTS 9
Canada 9
Mexico 9
DEPARTMENT OF TRANSPORTATION REGULATIONS .11
CENSUS BUREAU REQUIREMENTS 12
IV. REGULATED COMMUNITY 13
COMPLIANT WASTE HANDLERS 13
SHAM RECYCLING 14
CRIMINAL ACTIVITIES 15
V. ADMINISTRATIVE PROCEDURES 16
NOTICES OF INTENT 16
Canada 16
Other Countries 17
Information Processing 17
ACKNOWLEDGMENT OF CONSENT 18
Canada 18
Other Countries 19
REJECTIONS/OBJECTIONS 19
ANNUAL REPORTS 20
IMPORTS 20
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CONTENTS (Cont.)
VI. INSPECTION STRATEGY 21
INSPECTION TARGETING 21
Land Ban Enforcement Strategy 21
Waste Exporter Profile 22
Border Spot Checks 22
Recyclable Materials Handlers 23
Rejected Export Shipments 23
INSPECTION PROCEDURES 24
TRAINING 24
RESOURCES 25
VII. ENFORCEMENT RESPONSE 26
IDENTIFICATION OF VIOLATIONS 26
COORDINATION OF ENFORCEMENT RESPONSE 27
CLASSES OF VIOLATIONS AND VIOLATORS 28
Class I 28
Class II 29
High Priority Violators 29
Medium Priority Violators 30
Low Priority Violators 30
Criminal 30
ENFORCEMENT RESPONSE 31
High Priority Violators 31
Medium Priority Violators 31
Low Priority Violators 32
Criminal Cases ......32
VIII. INFORMATION MANAGEMENT 33
ADMINISTRATIVE PROCESSING OF NOTICES OF INTENT 33
ANNUAL REPORTS 34
MANIFESTS 34
STANDARD FORMS 34
IX. COORDINATION/RESPONSIBILITIES 36
OFFICE OF ENFORCEMENT AND COMPLIANCE
MONITORING 36
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CONTENTS (Cont.)
NEIC 36
Hazardous Waste Enforcement Division 37
Office of Criminal Enforcement Counsel 37
OFFICE OF INTERNATIONAL ACTIVITIES 38
OFFICE OF WASTE PROGRAMS ENFORCEMENT 38
EPA REGIONS ZZaa
Office of Regional Counsel 33
Waste Management Division 39
U.S. CUSTOMS SERVICE 39
APPENDICES
A. RCRA EXPORT REGULATIONS
B. INTERNATIONAL AGREEMENT WITH CANADA
C. INTERNATIONAL AGREEMENT WITH MEXICO
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I. INTRODUCTION
Exports of hazardous waste to Canada, Mexico and overseas for
recycling or disposal have been occurring for many years. Both the number
and volume of export shipments have increased in recent years as the costs of
domestic treatment or disposal of this waste have increased. While most of
these shipments are in compliance with applicable statutes, regulations and
international agreements, there are indications that some waste is being
exported illegally. Current regulations, which were effective November 8, 1986,
imposed a number of new requirements on hazardous waste exporters. Full
compliance by the regulated community with these new requirements has been
slow. This document sets forth an EPA strategy to improve the level of
compliance'by the regulated community and to ensure that appropriate
enforcement actions are vigorously pursued.
Federal regulation of hazardous waste began with the passage of the
Resource Conservation and Recovery Act (RCRA) in 1976. RCRA did not
specifically address exports of hazardous waste. In February 1980, EPA
promulgated regulations governing the export of hazardous waste. These
regulations were directed at the generators and transporters of the export
shipments. Only two specific requirements, the notification of the Administrator
four weeks in advance of the first shipment in any calendar year and submittal
of an annual report, were significantly different than requirements for domestic
shipments of waste.
In November 1984, Congress passed the Hazardous and Solid Waste
Amendments (HSWA) that substantially modified various aspects of the RCRA
hazardous waste program and that specifically addressed exports. A new
Section 3017 of RCRA set forth export requirements including a more detailed
notification procedure, the requirement that a receiving country consent to the
shipment and a statutory annual report requirement. Provision was made for
international agreements to satisfy the basic statutory requirements. The
legislative history of HSWA clearly indicated Congressional concern about
potential mishandling of export shipments in other countries.
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Other aspects of HSWA also impact the exports of hazardous waste.
Requirements that progressively phase out the land disposal of many
hazardous wastes have resulted in substantial increases in the cost of disposal
of various wastes such as spent solvents and electroplating wastes. This in turn
makes export an economical alternative in some cases and an attractive route
for illegal disposal of wastes.
On August 8,1986, EPA promulgated revised export regulations effective
November 8,1986. These are the regulations currently in force and that shape
this enforcement strategy. These regulations codified the statutory
requirements and provided additional requirements such as collection of a copy
of the manifest by U.S. Customs at the point of departure from the U.S.
Subsequent to promulgation of the revised regulations, bi-lateral
agreements were signed with both Canada and Mexico. These agreements
basically parallel the regulatory requirements but do set up slightly different
notification procedures and a few other different requirements. These
agreements also establish notification requirements for imports of hazardous
waste from Mexico and Canada and for transit shipments through Canada,
Mexico or the U.S. to third countries. There are no other international
agreements specific to the export of hazardous wastes.
The hazardous waste export program is currently an EPA program and
specific export requirements have not been delegated to the States. The
regulations make provision for incorporation into approved State programs of
requirements for generators and transporters to comply with the export
requirements. It is expected that approved State programs will include the
responsibility for inspection of facilities for compliance with export requirements
such as manifests and record keeping. The notification of intent to export and
annual report requirements specific to exports will remain a Federal
requirement.
Various EPA program offices have responsibilities for components of the
hazardous waste export program. The Office of International Activities (OIA),
Office of Waste Programs Enforcement (OWPE), Office of Enforcement and
Compliance Monitoring [including the National Enforcement Investigations
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Center (NEIC)], the Office of Regional Counsel and the Waste Management
Division in each EPA Region, and the U.S. Customs Service all have specific
responsibilities that are defined by this strategy. NEIC has been established as
the Agency's focal point for coordination of export related enforcement activities
through a Memorandum of Understanding with the U.S. Customs Service. '
The following sections describe the applicable regulations, enforcement
responses to violations of these regulations, strategies for improving
compliance, information management aspects and program coordination.
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II. SUMMARY
All exporters of hazardous waste are subject to essentially the same
RCRA regulations as domestic waste handlers and some additional specific
requirements. Exporters must notify EPA of their intent to export and provide
detailed information on the waste generator, transporters and the foreign facility
receiving the shipment. Notification of the type of waste, frequency and volume
of shipments and ports of entry are also required. This notice is analogous to a
permit application. Written consent from the receiving country is required and a
copy must accompany each export shipment. This Acknowledgment of Consent
is in effect a permit to export specific wastes for a period of up to 12 months.
The shipment must also be accompanied by the usual hazardous waste
manifest, a copy of which is delivered to the U.S. Customs Service at the point
of departure from the U.S. The exporter is required to submit to the
Administrator by March 1 of each year an Annual Report of wastes actually
exported. This annual report is in addition to the Biennial Report for domestic
waste generation and disposal.
Waste handlers involved in exports may be divided into three categories:
compliant waste handlers, sham recyclers and criminal operators. The majority
of exports involve waste handlers that are in essential compliance with most
RCRA regulations most of the time and can be considered generally compliant
waste handlers. Violations of regulations in this category would most
appropriately be addressed through the administrative or civil enforcement
process. Another group of waste handlers ship materials designated as
recyclable materials in order to avoid hazardous waste regulations when in
reality they may be worthless wastes and the activity is sham recycling. The
third group involves criminal avoidance of all hazardous waste regulations.
This strategy addresses all three categories.
Administrative processing of Notices of Intent to export,
Acknowledgments of Consent, rejections of waste shipments, Annual Reports
and import notifications is provided by the Office of International Activities.
Administrative processing involves the tracking of the documents received from
exporters, submission of the documents to the receiving country and obtaining
the consent of the receiving country. This strategy includes the use of the
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exports database developed by NEIC to enhance the administrative processing,
the technical review and analysis of these documents by NEIC and exploration
of several modifications in procedures including the development of standard
forms to improve the overall compliance of the regulated community.
The strategy relies in part on ongoing RCRA inspections, especially
compliance evaluation inspections of facilities targeted by the land ban
enforcement strategy, by EPA Regions and authorized State RCRA programs to
detect instances of non-compliance with export regulations by waste handlers.
This will be augmented by spot checks by joint operations of EPA, U.S.
Customs and States agencies at ports of exit handling most export shipments .
A waste exporter profile will be developed by NEIC to assist in targeting
inspections and to aid Customs inspectors in identifying export shipments.
Training of Customs inspectors will be provided by EPA. Exchange of
information between Customs and NEIC regarding criminal waste handlers is ;
on going and continuous.
NEIC will provide overall coordination of enforcement responses to
export violations. Allegations of criminal activity and/or evidence of criminal
violations will be handled directly by NEIC for further investigation and case
development as warranted. Export violations detected by RCRA inspections will
be handled by the EPA Region in cooperation with affected States. Information
on the violations will be provided to NEIC to assist in development of the waste
exporter profile. Violations detected by the border spot checks, Customs
inspections or technical review and analysis of administrative documents by
NEIC will be referred to the appropriate EPA Office of Regional Counsel and
exports coordinator in the Regional Waste Management Division for
enforcement response as warranted. Appropriate enforcement responses will
be pursued in accordance with the RCRA Enforcement Response Policy.
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III. REGULATORY REQUIREMENTS
All handlers of exports of hazardous waste are subject to essentially the
same RCRA requirements (EPA and State) as for domestic waste generation,
storage and transport. However, additional regulations specific to exports also
apply. For exports to Canada and Mexico, Bi-Lateral International Agreements
with these countries impose slightly different requirements than for all other
countries. In general, these specific requirements applicable to exports of
hazardous waste are analogous to a permit or license system. Export
shipments must comply with Department of Transportation regulations
applicable to all shipments of hazardous materials. Exports are subject to
certain Census Bureau requirements. Export specific requirements are
discussed below.
RCRA EXPORT REGULATIONS
Most of the RCRA regulations specific to exports are contained in 40 CFR
Part 262 Subpart E. Minor requirements are also contained in Parts 260, 261,
263 and 271. The export specific regulations were promulgated on August 8,
1986, and were effective November 8, 1986. Appendix A contains those
regulations that were revised or promulgated.
Notice of Intent
A major requirement specific to exports is the submission of a Notice of
Intent prior to initiation of any shipments. There is no standard form for
submission of this Notice. This Notice is analogous to a permit application. The
Notice should be submitted to OIA 60 days before the initial shipment (40 CFR
262.53). The Notice may cover export activities for up to 12 months. The Notice
must provide information on the exporter, the consignee (foreign facility
ultimately receiving the waste), the type(s) of waste(s) to be exported (both EPA
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and DOT descriptions and codes), the frequency of shipments, the total volume
of waste to be exported, points of entry to and departure from each foreign
country through which the waste will pass, the means of transportation, types of
containers and the manner in which the waste will be treated, stored or
disposed of in the receiving country. This requirement was established by
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HSWA but will not be delegated to the States. The Notices will always be sent
to OIA because of the international nature of the requirement.
The regulations also established-procedures to be followed if there are
changes in the material facts of export actions such as the consignee, the type
of waste, volumes in excess of previous notifications, etc. Renotification is
required in such cases as defined in 40 CFR 262.53(c).
For both notification and renotification, EPA may request additional
information from the exporter to provide information requested by the receiving
country. Such information could be requested unilaterally by EPA under
Section 3007 of RCRA.
A Notice is complete when all information required by 262.53(a) has
been received. Claims of confidentiality of submitted information must be
resolved for the notification to be complete. Complete notifications are
submitted by OIA to the receiving country using procedures and channels
described in Section V, Administrative Procedures.
Acknowledgment of Consent
When a receiving country consents to an export shipment, EPA is to
forward an Acknowledgment of Consent to the exporter. The regulations
(262.51) define the Acknowledgment as the cable sent to EPA by the U.S.
Embassy in the receiving country that acknowledges the written consent of the
country and describes any terms and conditions of that consent. OIA follows
this procedure for all countries except Canada. A form letter Acknowledgment
is used for Canadian exports under the terms of the Bi-Lateral Agreement. A
copy of the Acknowledgment must be attached to the manifest accompanying
each export shipment [262.54(h)].
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Rejections
If a country objects to a shipment of hazardous waste or withdraws a
previous consent, EPA is required to notify the exporter in writing [262.53(f)].
Shipments may not take place unless this objection is resolved.
Manifests
A manifest must accompany all export shipments of hazardous wastes in
essentially the same manner as for domestic shipments. There are slightly
different requirements for entering the description of the destination facility
(262.54) because it is a foreign facility usually without an EPA identification
number. The point and date of departure from the U.S. must be shown on the
manifest. Additional language must be inserted in the generator certification.
The generator is required to provide an extra copy of the manifest to the
transporter. This manifest copy is required to be delivered to a U.S. Customs
official at the point of departure from the U.S. [262.54(i)]. This is a new
requirement that became effective on November 8, 1986. It is not a statutory
requirement.
Exception Reports
Each exporter is required to file an exception report with the
Administrator if he does not receive a signed copy of the manifest from the
transporter within 45 days showing the date and place of departure from the
U.S. or he does not receive written confirmation within 90 days that the waste
was received by the consignee. An exception report is also required if the
waste is returned to the U.S. (262.55).
Annual Reports
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All exporters of hazardous waste (regardless of volume shipped) are
required to file an annual report with OIA by March 1 of each year covering all
shipments for the previous calendar year. There is no standard form for this
report. The information required is essentially the same as for the Notice of
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Intent with actual quantities, number of shipments, etc. provided in place of
proposed amounts (262.56)
Transporter Requirements
In addition to the standard requirements for transporters of hazardous
waste, a transporter of an export shipment is prohibited from accepting the
shipment if it is not accompanied by an Acknowledgment of Consent or it does
not conform to the Acknowledgment (263.20(a)]. The transporter is also
required to give a copy of the manifest accompanying the shipment to a U.S.
Customs official at the point of departure from the U.S. [263.20(g)(4)j.
INTERNATIONAL AGREEMENTS
Canada
A bi-lateral agreement concerning the transboundary movement of
hazardous waste between the U.S. and Canada was signed by the EPA
Administrator and his Canadian counterpart on October 28, 1986, effective
November 8, 1986. The agreement sets forth slightly different requirements for
several aspects of export shipments and also covers imports of hazardous
waste into the U.S. from Canada and transit shipments of waste routed through
Canada between two U.S. points.
The agreement requires essentially the same Notice of Intent to export as
262.53. The receiving country is allowed 30 days from the date it receives the
notice to object or consent to the shipment. If no response is received in 30
days, consent is implied. As described in Section V, Administrative Procedures,
OIA transmits Notices directly to Environment Canada and does not send a
cable via the State Department. There is no return cable from the State
Department meeting the regulatory definition of an Acknowledgment of
Consent. OIA sends a form letter to each exporter for which consent has been
obtained and this letter serves as an Acknowledgment.
The bi-lateral agreement specifically requires that shipments conform to
the regulations of the receiving country. This requires U.S. generators to
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register with Canada and provide other information required of Canadian
generators.
Canadian exporters of waste to the U.S. are required to provide the same
Notice of Intent under the bi-lateral agreement that is required of U.S. exports.
This is not required by U.S. statute or regulation. Canadian notices are sent to
OIA for processing and are forwarded to the EPA Regions. If the Regions or
affected States do not object within 30 days, consent to the export is implied.
Hazardous waste shipments frequently move between U.S. ports of exit
in Michigan and New York over Ontario highways or railroads. These are
transit shipments also covered by the bi-lateral agreement. A notification to the
transit country is required at least seven days prior to the shipment. The notice
is comparable to the Notice of Intent to export. There is no provision for
objection to the transit shipment through this medium but any shipment must
meet Canadian requirements for shipment of "Dangerous Goods."
The agreement provides for a cooperative program of information
exchange, monitoring and spot-checking of transboundary shipments in order
to ensure that they comply with the regulations of both countries.
Mexico
A bi-lateral agreement concerning the transboundary shipments of
hazardous waste and hazardous substances between the U.S. and Mexico was
signed on November 12, 1986 and was effective in November 1986 [Appendix
C]. The agreement slightly modifies the notification procedure and also covers
the import of hazardous waste into the U.S. from Mexico and transit shipments
through the U.S. and Mexico. Special provisions apply to hazardous waste
generated by U.S. companies with manufacturing facilities in Mexico.
The agreement provides that notice of intent to export (essentially the
same as required by 262.53) shall be provided to the receiving country 45 days
in advance of the first shipment and that 45 days shall be provided for a
response indicating consent or objection to the export. Consent to the
proposed exports must be given by Mexico. There is no implied consent if a
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response is not received within the prescribed time period in contrast to the
Canadian agreement. OIA follows the procedures described in Section V,
Administrative Procedures, which involves exchange of State Department
cables with the U.S. Embassy in Mexico. The return cable is used as the
Acknowledgment of Consent.
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The agreement requires either country to notify of any transboundary
shipments of hazardous waste that may move through the other's territory
en route to a third country. No specific time frame or form is prescribed for these
notices.
A specific requirement unique to Mexico concerns the generation of
hazardous waste by U.S. companies with twin plants in adjacent areas of
Mexico and the U.S. Raw materials are moved from the U.S. into Mexico "in-
bond" for further processing. Any hazardous waste generated by such
processing is to be returned to the U.S. for disposal. This waste is considered
to be U.S. hazardous waste and not an import.
A Presidential Decree prohibits the import of hazardous waste into
Mexico for disposal. Current legal exports of hazardous waste to Mexico are
thus only for recycling purposes.
DEPARTMENT OF TRANSPORTATION REGULATIONS
All hazardous waste shipments are required to comply with specific DOT
regulations concerning the construction of shipping containers, markings on the
containers, placarding of the transporting vehicle and classification and coding
of wastes on shipping papers. These regulations include specific requirements
for international shipments. The DOT classification and coding of hazardous
waste are of major significance to export shipments as they are a key element in
the description of wastes in Notices of Intent to export, the Acknowledgment of
Consent, manifests and Annual Reports. Applicable DOT regulations are
contained in 49 CFR Parts 172-179. Portions of DOT regulations applicable to
hazardous waste shipments have been adopted by EPA and are enforceable
by both EPA and DOT.
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CENSUS BUREAU REQUIREMENTS
All exports of materials (including hazardous waste) with a value
exceeding $1,500 are required to prepare a Shipper's Export Declaration
(SED) which indicates the number and type of containers, the type of material
(as indicated by classification codes established by the Census Bureau), the
units and weight of the shipment and the value. These SEOs are delivered to
U.S. Customs at the point of departure from the U.S. and transmitted by
Customs to the Census Bureau.
Because the SED is required only for shipments with values in excess of
$1,500, most exports of hazardous waste for disposal (such as most shipments
to Canada) would not require an SED. Conversely, exports of listed hazardous
waste for recycling would frequently exceed $1,500 in value and would file an
SED. The SED may be an important ancillary source of information on cases
involving suspected sham recycling. Failure to file a required SED or
falsification of information on the SED such as the classification of the material
are enforceable violations under Census Bureau regulations.
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IV. REGULATED COMMUNITY
RCRA regulations controlling export shipments of hazardous waste are
primarily directed at three components of the overall community subject to
RCRA regulations. This enforcement strategy addresses all three components.
Most facilities exporting hazardous waste are in the group best described as
generally compliant waste handlers. Some facilities are engaged in export of
hazardous waste under the guise of legitimate recycling of waste materials
when in reality their operations may be "sham" recycling. A few export
operations may involve the knowing avoidance of export regulations.
COMPLIANT WASTE HANDLERS
In 1987, about 450 facilities notified the Office of International Activities of
their intent to export hazardous waste to Canada and an additional 65 notified
of their intent to export to other countries. In the same time frame, about 300
facilities notified of their intent to import wastes into the U.S., primarily from
Canada. Notices of Intent in 1988 are being received at a rate about 10 percent
higher than in 1987.
Most facilities known to export or import are the original generators of the
hazardous waste. A few are major commercial treatment, storage and disposal
facilities. Some are commercial enterprises involved in recycling of waste
materials and that generate hazardous waste requiring disposal as a residual of
their recycling processes. Many of these facilities also handle domestic
shipments of hazardous waste and are relatively cognizant of RCRA
requirements, often as specified by State regulations. Most would be
considered as wishing to comply with all applicable regulations.
More than three-fourths of export shipments are to three Canadian TSD
facilities that provide information to their customers on procedures for complying
with export regulations. These generators are in essential compliance with
regulations most of the time. Review of information submitted by these and
other generators in Notices of Intent, Annual Reports, manifests accompanying
export shipments, and information gathered by land ban inspections of
generators and TSD facilities suggests that there is still a significant level of
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ignorance and misunderstanding of export regulations among the generally
compliant regulated community. This strategy addresses means of increasing
the awareness of the regulated community and achieving a higher level of full
compliance.
SHAM RECYCLING
Information compiled from export notices and inspections of waste
handlers indicates that there is an increasing level of activity that falls within the
general category of sham recycling. Some wastes are being shipped both
domestically and internationally without meeting all applicable RCRA
requirements because the wastes have been classified by the generators or
waste handlers as recyclable materials destined for recycling when the
recycling process actually involves disposal. Some hazardous wastes that are
recyclable materials are subject to fewer RCRA requirements and some
recyclable materials are not subject to RCRA requirements at all.
Misclassification of hazardous wastes in these cases avoids appropriate
regulatory controls on generation, transport and disposal of these wastes. In
some cases, these misclassifications may arise from ignorance or
misunderstanding of the regulations. In other cases, they represent a clear
attempt to avoid regulation by misclassifying the wastes.
Some wastes are now being legitimately exported for recycling. These
wastes usually have an obvious economic value (i.e., precious metal plating
wastes with recoverable precious metals) and have often been exported for
years to the same recycling facility. Such shipments are addressed by the
strategy as part of the compliant waste handler category.
There have been various attempts, some successful, to export waste
materials of dubious economic value as recyclable materials. The strategy
addresses these activities through the waste exporter profile and inspection
targeting.
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CRIMINAL ACTIVITIES
Enforcement of hazardous waste export regulations primarily involves
violations of civil requirements. There may be some export violations that
involve the knowing avoidance of export regulations and thus will involve
criminal intent.
Knowingly transporting or disposing of hazardous waste without proper
permits, labeling, manifesting, etc. are criminal violations of RCRA whether the
activity occurs domestically or international shipments are involved. Knowingly
exporting hazardous waste without submitting a Notice of Intent to export or
without the receiving country's consent are also criminal violations. The
strategy specifically addresses criminal activities as high priority targets for
investigation and enforcement action.
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V. ADMINISTRATIVE PROCEDURES
Administrative procedures have been established, primarily by the Office
of International Activities, to handle the flow of regulatory documents specific to
the export program. This strategy involves some modification of these
procedures to increase the level of compliance by the regulated community and
to minimize the resource needs of administrative processing. Some longer term
changes such as development of forms and regulation revisions are also
contemplated.
NOTICES OF INTENT
The RCRA export regulations require that the primary exporter must notify
EPA (the Office of International Activities) of an intended export of hazardous
waste before such waste is scheduled to leave the U.S. The regulations
suggest that this Notice of Intent should be submitted 60 days before the initial
shipment is intended to be shipped off site. The subsequent processing of the
notice is dependent upon the country to which the waste is consigned with one
set of administrative procedures used for exports to Canada and another set for
all other countries.
Canada
The Bi-Lateral Agreement with Canada [Appendix B] requires that EPA
give Canada 30 days from the date Canada receives the Notice of Intent to
respond to the notice. This response may be either a consent to the export
shipment or an objection. If no response is received by EPA within the 30 days,
consent to the shipment is implied.
To expedite processing of Canadian notices, OIA sends copies as they
are received directly to Environment Canada in Ottawa. These are then
distributed to the Provinces for review. Regular communication procedures
have been established by Environment Canada and OIA to handle any
questions, problems, responses, etc. related to these notices.
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OIA screens Notices for completeness upon receipt. Phone requests to
the exporter are usually made immediately to obtain information on any missing
elements. During 1988, OIA and NEIC will develop means of ensuring the
technical accuracy of Notice information.
For routine shipments of waste to Canada to several TSD facilities,
processing is routine if the generators have registered with Environment
Canada. Occasional delays are caused by failure to meet Canadian
regulations in this regard.
When responses are received from Canada (the usual case) or if no
response is received indicating implied consent, Acknowledgements of
Consent or notices of rejection or objection are sent by OIA to the generator as
appropriate as discussed below.
Other Countries
For Mexico and other countries, a more complex procedure is followed to
obtain the consent of the receiving country. OIA transmits the pertinent
information from the Notice of Intent to the State Department which then sends a
cable to the U.S. Embassy in the receiving country. The Embassy then
translates the information into the local language if needed and submits this
information to the appropriate environmental agency. When consent is given or
an objection arises, the procedure is reversed and the consent cabled back to
the State Department for transmittal to OIA. This procedure often takes several
months, especially if there are questions or misunderstandings by the receiving
country concerning the specifics of a shipment.
Information Processing
Notices of Intent for all countries are currently tracked manually by OIA on
a log maintained on a word processing system. Automation of this procedure
using the NEIC database discussed below will be evaluated jointly by OIA and
NEIC during 1988.
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There is no prescribed form for the Notice of Intent. The regulations
define the information that must be submitted but do not define the format. In
practice, Canadian notices are usually received in one of two forms developed
by the two TSD facilities receiving most shipments. These forms include blanks
for all EPA required information and also some information required by Canada.
The feasibility of developing a standard form meeting both EPA and Canadian
requirements will be explored by OIA and NEIC in 1988 to improve the quality of
information submitted, facilitate automation of data entry and minimize
resources for processing Notices.
Because the Bi-Lateral Agreement with Canada imposes additional
information requirements and different procedures than the promulgated
regulations, promulgation of pertinent requirements of the Agreement in 40 CFR
262.58 (reserved for this purpose) will be pursued by OIA and NEIC in 1988.
This approach will be used to improve communication of the Agreement
requirements to the regulated community.
ACKNOWLEDGMENT OF CONSENT
Canada
For Canadian Notices of Intent, a form letter is sent by OIA to the exporter
when consent has been obtained from Canada or there has been no objection
within the response time. The letter references the Notice of Intent, the date of
the Notice, the consignee (TSO facility) authorized to receive the waste and the
period of time covered by the consent (usually until the end of the calendar
year). The letter also reminds the exporter of the responsibility to attach a copy
of the Acknowledgment to the manifest accompanying each export shipment.
These letters are generated manually using word processing equipment.
Entry of data from Notices of Intent into the NEIC database as discussed
below will facilitate the automated generation of Acknowledgment letters to
Canadian exporters. This will also facilitate including waste specific information
on each Acknowledgment, information needed by inspectors at ports of exit to
verify that the waste shipments are consistent with the terms of the consent. It is
planned that all 1989 Canadian Acknowledgments of Consent will be produced
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in this manner. The production of detailed Acknowledgments to replace 1988
Acknowledgments already sent to exporters will be evaluated by OIA and NEIC.
Other Countries
The Acknowledgment of Consent for countries other than Canada
consists of a copy of the cable from the State Department indicating the consent
of the receiving country and any conditions on such consent. OIA types a
paragraph on the copy of the cable indicating that it constitutes an
Acknowledgment and that a copy of the Acknowledgment must be attached to
the manifest accompanying each export shipment. This copy is then mailed to
the exporter. This form of the Acknowledgment is defined by the RCRA
regulations (40 CFR 262.51). Consent from all countries except Canada must
be received before the Acknowledgment is sent. There is no provision for
implied consent as in the case of Canada.
At this time, it does not appear practical to automate the printing of
Acknowledgments for countries other than Canada. This would require a
regulation change. The volume of such Acknowledgments is much smaller
(<70/year) than for Canada.
REJECTIONS/OBJECTIONS
When the receiving country rejects an export shipment or objects to the
shipment as proposed, this information is received by OIA. Generally, OIA then
contacts the exporter by phone and follows in some cases with written
notification of the rejection. Many such objections for Canadian shipments are
resolved within a few weeks and no written notice is needed.
When OIA receives a rejection of a shipment that is>not resolved, this
information is transmitted to the appropriate EPA Region. This reflects the
higher potential for such wastes to be mishandled than wastes moving in typical
domestic channels.
The information management procedures and communication patterns
developed as part of this enforcement strategy will incorporate procedures for
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ensuring that all exporters that receive rejections or objections are formally
notified in writing of such actions and the prohibition of export shipments without
the consent of the receiving country.
ANNUAL REPORTS
All exporters of hazardous waste are required by statute and regulation
to submit an annual report of the volumes and types of waste exported and the
TSD facilities to which they were delivered. This report is to be sent to OIA by
March 1 of each year. There is no prescribed form for this report.
There is clearly some confusion in the regulated community concerning
this report requirement. Compliance with the requirement has not been
adequate. Some of the confusion concerns the annual reports submitted to
most States. The information management systems developed as part of this
strategy will assist in identifying exporters that have not submitted annual
reports. These exporters will then receive follow up information requests.
Appropriate enforcement responses for non-submission of reports, failure to
respond to information requests, etc. are defined in Section VII.
Acknowledgments of Consent for 1989 will remind exporters of their reporting
responsibilities.
OIA and NEIC will explore the development of an Annual Report form for
use in 1989 as a means of improving the quality of reported data and increasing
the level of compliance with the reporting requirement.
IMPORTS
OIA also receives notices of intent from Canadian facilities wishing to
import hazardous waste into the U.S. These notices are logged and sent to
EPA Regions for review. Any objections are transmitted to Environment
Canada. The possibilities of automating this activity with the export database
system will be pursued by OIA and NEIC in 1988. Coordination patterns among
OIA, the Regions and NEIC developed as part of this enforcement strategy will
be used to increase the use of this import data in targeting facilities for
inspection.
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VI. INSPECTION STRATEGY
A key element of the export enforcement strategy is the use of routine
inspections of hazardous waste handlers to identify those facilities that are
exporting hazardous waste but are not in full compliance with regulatory
requirements. EPA Regions and the States conduct numerous inspections
annually to evaluate compliance with all aspects of the RCRA program.
Through minor changes in training, guidance manuals and procedures,
instances of non-compliance with export requirements can easily be identified
with little or no additional resources. In addition, specially targeted inspections,
such as at ports of exit known to handle significant volumes of export shipments,
can assess compliance with limited expenditure of additional resources.
INSPECTION TARGETING
Land Ban Enforcement Strategy
The Land Ban Enforcement Strategy developed by OWPE in 1987
defines a national strategy for targeting generators and treatment, storage and
disposal (TSD) facilities handling restricted wastes, hazardous wastes that
cannot be disposed of in or on the land unless they meet specific treatment
requirements. Regional strategies developed in response to this strategy adapt
the national priorities to local conditions and provide additional priority
guidance to the State RCRA programs. Many of these restricted wastes are
either spent solvents or wastes with significant levels of heavy metals. A large
volume of the wastes currently being legally exported are either spent solvents,
wastes containing heavy metals such as electroplating wastes or materials
contaminated with solvents or metals. Compliance evaluation inspections of
facilities targeted by the land ban enforcement strategy have identified a
number of facilities that have or are exporting hazardous waste and are not in
full compliance with regulations. Review of specific records related to export
requirements at generators and TSD facilities targeted by the land ban strategy
appears to be a desirable targeting approach for evaluation of compliance with
export requirements.
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Waste Exporter Profile
A profile of facilities that export and the types of waste exported will be
compiled by NEIC from Notices of Intent to export, Annual Reports, and other
information gathered from inspections and case studies of exporters. Where
available, information will be obtained from State computerized annual report
and manifest tracking systems on facilities that have reported shipment- of
waste to facilities outside the U.S. This profile will be used to assist Custc 3
inspectors in identifying suspect shipments of hazardous waste and will also oe
useful in targeting facilities for inspection. This profile will be provided to
authorized State RCRA programs through the Regional coordinators. Types of
facilities commonly involved in export activity but not covered by the land ban
inspection strategy will be identified for priority consideration by ongoing
inspection programs.
Border Soot Checks
Outgoing shipments of hazardous waste and other commodities are not
routinely inspected by U.S. Customs at Canadian and Mexican ports of exit.
Almost all legal shipments of hazardous waste exit the U.S. at only 10 ports of
exit. These same ports receive numerous imports shipments of hazardoi >
waste as well. These ports will be targeted for periodic joint inspections • ;•
waste transporters involving U.S. Customs, EPA and authorized RCRA State
programs as part of the EPA-Customs joint enforcement strategy. Additional
ports of exit may be targeted for spot checks if there are indications that illegal
exports of hazardous waste are occurring at those locations. NEIC will take the
lead in planning and conducting these spot checks with participation by the
affected Regions and States at their discretion. Regional and State
participation is highly desirable. This inspection activity will incorporate the
results of two pilot border spot checks performed in 1987 in Texas and
Michigan.
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Recyclable Materials Handlers
A number of facilities handle recyclable materials that are exported to
complete the recycling process. Common materials of this type include lead
parts of automobile batteries and waste containing recoverable concentrations
of precious or heavy metals. Currently Mexico will only accept hazardous waste
that is destined for recycling, not for disposal. There is a growing potential for
abuse of the export process to dispose of worthless hazardous waste in other
countries under the disguise of recycling, a process commonly referred to as
"sham" recycling. The waste exporter profile is expected to identify several
types of recycling facilities that may warrant targeting for follow up inspections.
NEIC will coordinate with personnel of the Office of Solid Waste developing
information on recycling of various wastes to identify those materials most
subject to sham recycling and incorporate this information in the waste exporter
profiles.
Rejected Export Shipments
Each year, a number of export shipments are rejected or objected to by
the receiving country. Some of these rejections are procedural (often the case
for Canadian shipments) which occurs because the generator has not complied
with all of the receiving country's regulatory requirements or has furnished
conflicting information to the two countries. These objections are usually
resolved in a short time and the export shipments consented to. However,
some of the shipments were rejected because the receiving TSD facility was not
capable of properly disposing of the waste, the destination was not a valid TSD
facility or other serious problem. OIA will transmit these rejections to the
Regions for priority consideration for facility inspection as they represent wastes
that have a higher potential for improper disposal given the circumstances than
would typical domestic shipments. NEIC will periodically review these
rejections to determine if any patterns are present or develop that warrant
inclusion in the waste exporter profile.
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INSPECTION PROCEDURES
The RCRA Inspection Manual developed by OWPE outlines inspection
procedures for generators, transporters and TSD facilities. These procedures
include specific steps to evaluate compliance with export regulations. It is
important that any supplemental materials such as State inspection check lists,
manuals or other procedures also address the export requirements. This is
particularly important in Regions I, II, III and V where more than 90 percent of
export shipments originate. OWPE guidance will address the need for inclusion
of export regulation evaluations in State procedures. The Regions should
coordinate with the State programs to ensure that these inspection procedures
are a routine part of their program.
NEIC will coordinate with U.S. Customs, Regional Waste Management
Divisions and authorized States to develop special procedures for use by
Customs agents at high volume ports of entry/exit to enable them to identify and
properly inspect shipments of hazardous waste. These procedures will include
lists of appropriate EPA and State contacts for use by Customs for the various
scenarios typically encountered at border stations.
TRAINING
Export requirements should be an integral part of any training of EPA and
State RCRA inspectors. Because the export requirements are minor relative to
the bulk of RCRA regulations, such training should require only minimal
changes in existing training courses and programs. OWPE guidance will reflect
the need for this type of training.
A training program for U.S. Customs inspectors has been developed and
piloted by Region VI. NEIC, in cooperation with OIA, OWPE, Regional Waste
Management Divisions, authorized States and U.S. Customs, will modify and
expand the training program to selected Customs offices nationally as part of
the joint EPA-Customs enforcement strategy.
EPA, through NEIC, currently provides training to U.S. Customs
inspectors in environmental aspects of criminal investigations at the Federal
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Law Enforcement Training Center in Georgia. Expansion of this training to
include an overview of RCRA export requirements is planned for 1988.
RESOURCES
Additional resources needed by EPA Regions and authorized States to
inspect facilities for compliance with export requirements are expected to be
minimal. As discussed above, most facilities inspected will be targeted for
inspection by the land ban strategy or other RCRA priority. Determination of
compliance with export requirements during such an inspection should require
negligible extra resources unless serious violations are found. In such cases,
resources programmed for enforcement of general RCRA violations should be
adequate. •
The joint EPA/Customs program for spot checking of export shipments at
high volume ports of exit will require some additional resources to be defined by
the joint enforcement strategy. Customs will provide part of these resources.
States cooperating with these spot checks will also need to provide some minor
resources, possibly from resources already programmed for waste transporter
checks. NEIC will provide resources as needed.
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VII. ENFORCEMENT RESPONSE'
Violations of export requirements range from criminal activities such as
shipping hazardous wastes falsely marked as routine commodities for illegal
disposal in a foreign country to minor omissions of information on waste
descriptions on a single manifest among many shipments. It is important that
enforcement resources be focused first on those egregious violations that pose
the most potential for harm to the public and the environment. Minor violations
also need to be addressed, as resources allow, to ensure that the overall level
of compliance by the regulated community improves. This section describes
expected means of identifying violations, the classes of violations that occur,
methods of coordinating enforcement responses and the specific responses
appropriate for each type of violation. Responsibilities of each program office
are spelled out.
Classification of violations and definition of appropriate enforcement
responses described below are consistent with the Revised RCRA Enforcement
Response Policy, OSWER Directive 9900.0-1 A, December 1987. This
document should be used as a reference in determining additional details of
enforcement responses to specific cases.
IDENTIFICATION OF VIOLATIONS
It is anticipated that information on known or suspected violations of
export regulations will be discovered by activities specific to the export program
and by routine domestic RCRA regulatory activities as well. Compilation of
Notices of Intent, manifests and Annual Reports into the NEIC database is
expected to identify a variety of instances of non-compliance ranging from
failure to file an Annual Report to minor discrepancies in entries on manifests.
Technical review of these documents at NEIC as they are received by OIA is
also expected to detect violations of regulations ranging from potential
falsification of documents and waste descriptions to minor discrepancies and
inadvertent errors. These violations will be referred to the EPA Regions for
enforcement actions.
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RCRA inspections of waste handlers by the Regions and authorized
States, especially inspections of facilities targeted by the land ban enforcement
strategy, are expected to identify facilities that have exported hazardous waste
without complying with all export requirements. These inspections may also
identify instances of sham recycling. In a few cases, allegations of criminal
activity will also be discovered.
The program of spot checking of export shipments at ports of exit in
cooperation with U.S. Customs is expected to identify violations ranging from
minor manifest discrepancies to illegal shipments without any hazardous waste
documents or markings. Customs will also develop documentation of violations
through their routine inspections.
Allegations or documentation of criminal violations may be developed by
all of the above activities. However, it is anticipated that allegations of criminal
export activity will most frequently come in the same manner as for most
environmental crime, the receipt of information from someone inside the
criminal activity, from an individual aware of potentially criminal activity, or from
criminal investigations of other activities both by EPA investigators and by other
Federal, State and local law enforcement agencies.
COORDINATION OF ENFORCEMENT RESPONSE
Violations of RCRA regulations involving export requirements discovered
by Regional or authorized State RCRA programs should be referred to the
Regional Counsel and the exports coordinator in the Waste Management
Division for appropriate follow up and enforcement response as discussed
below. The NEIC export program coordinator should also be advised of the
nature of the violations and information provided as needed to assist in
development of a profile of export violators and to assist in program overview.
Violations detected by the technical review of Notices, manifests, Annual
Reports, exception reports and other documents at NEIC will be referred by
NEIC to the Regions for appropriate enforcement response. Likewise,
violations detected by the border spot checking program or other Customs
activities will also be referred to the Regions. Violations that are fully
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documented will be transmitted to the Regional Counsel as enforcement
sensitive materials. The Waste Management Division exports coordinator will
also be advised of the violations. If the violations are not documented but
additional information is required to determine if a violation does exist, the
available information will be transmitted to the Waste Management Division
coordinator for appropriate follow-up action.
All allegations of criminal activity and/or documented criminal violations
are to be referred to NEIC. Because of the sensitive nature of criminal
proceedings, NEIC must be contacted at the earliest possible time whenever
any criminal allegations emerge. Criminal cases identified by the Regions are
to be referred to the NEIC Office of Criminal Investigations Area or Resident
Office using established procedures.
CLASSES OF VIOLATIONS AND VIOLATORS
Class I
Class I violations involve any actions not in compliance with export
regulations, Notices of Intent, Acknowledgments of Consent, Annual Reports or
other requirements that could result in hazardous waste not being delivered to
an authorized treatment, storage or disposal facility or that could result in a
release of the waste to the environment. Thus, exporting waste to a foreign
facility without notification to EPA or the consent of the receiving country would
be a Class I offense. Failure to deliver the manifest accompanying an export
shipment to U.S. Customs at the port of exit, shipping types of waste different
than consented to by the receiving country and not submitting exception reports
to the Administrator when confirmation of receipt of the shipment at the foreign
facility has not been received are also Class I violations.
In addition to violations of specific export requirements, export shipments
may be in violation of a variety of other RCRA regulations applying to both
domestic and export shipments. The RCRA Enforcement Response Policy
contains lists of example violations considered Class I. Specific Class I
violations that-are expected to be encountered for export shipments include
improperly placarding of transport vehicles, improper or incomplete markings
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on containers, incomplete waste description information on manifests, missing
information on manifests and use of containers in poor condition. Lack of an
adequate response to a Section 3007 request for information is also a Class I
violation.
Class
Class II violations are by definition all violations not Class I. Specific
Class II violations for the export program would include minor omissions of
information on Notices of Intent to export and Annual Reports. Minor violations
of manifest requirements such as infrequent omission of part of a waste
description, omission of the EPA Identification Number for generator, transporter
or TSD facility when the name and address are given or other minor omissions
are Class II violations. Frequent or systematic omission of such manifest
information could constitute Class I violations.
High Priority Violators
The RCRA Enforcement Response Policy distinguishes among three
categories of violators (high, medium and low) for prioritizing responses. A high
priority violator is one that has caused an actual exposure or a substantial
likelihood of exposure to hazardous waste, is a chronic or recalcitrant violator
(including handlers with many Class I or Class II violations), or substantially
deviates from RCRA statutory or regulatory requirements. High priority violators
merit the most stringent and immediate enforcement response and/or criminal
inquiry.
Systematic failure to comply with export regulations such as failure to
notify of the intent to export, shipping without written consent when a notice has
been filed, repeated failure to submit an annual report, systematic violations of
manifest requirements and failure to file several exception reports would be
considered characteristics of a high profile violator. Violations of RCRA
requirements for domestic handling of hazardous waste should be considered
when evaluating the seriousness of export violations by a waste handler.
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Medium Priority Violator
A medium priority violator has one or more Class I violations but does
not meet the criteria for a high priority violator. Numerous Class II violations
might warrant a medium priority violator classification. An example of a medium
priority violator of export requirements could include numerous minor manifest
violations, failure to submit an exception report, failure to submit an Annual
Report and numerous minor errors in waste descriptions in Notices of Intent to
export and Annual Reports.
Low Priority Violator
Low priority violators are waste handlers with only Class II violations that
are neither high priority or medium priority violators. If numerous Class II
violations have occurred, the violator should be considered for a higher priority
ranking.
Criminal Violations
Criminal violations involve the knowing violation of applicable statutes.
Knowingly exporting a shipment of hazardous wastes without complying with
notification requirements is a criminal violation. Falsification of shipping
documents to conceal the true nature of the material being shipped, deliberate
misclassification of wastes in Notices of Intent to export and Annual Reports and
designating a waste material as "scrap" or recyclable material when it is a listed
hazardous waste in order to ship the waste for recycling without meeting
hazardous waste requirements are all examples of criminal violations.
Under some circumstances, criminal violations of export regulations may
involve "knowing endangerment", the placing of persons in imminent danger of
serious harm or death. This could occur if flammable or highly toxic wastes
were shipped with false markings that implied benign materials. Knowing
endangerment violations are the most serious and highest priority for
enforcement action.
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ENFORCEMENT RESPONSE
High Priority Violators
These violators are to receive the highest priority for civil enforcement
actions. The RCRA Enforcement Response Policy specifies a time frame for
appropriate enforcement response.
Where the violations are detected by an inspection, the Policy allows 45
days to "discover" the violations. Once discovery is made, a formal
administrative enforcement action is to be taken within 90 days or a referral
made for judicial action. If judicial referral is made, it is expected that the case
will be filed within 60 days.
All high priority violators are expected to be the object of a formal
enforcement action as well as receive an economic penalty. The intent is to
achieve a rapid return to compliance, to penalize the violator to recover any
economic advantage gained by non-compliance and to deter the violator from
future violations as well as all other similar operations.
The Enforcement Response Policy contains additional details on
appropriate economic sanctions for these violators. These could include for
export violations the denial of consent to export, imposition of judicial or
administrative penalties and revocation of a RCRA permit for waste handling
activities.
Medium Priority Violators
The minimum response to a medium priority violator is either the
issuance of an administrative order or a less formal response which results in
compliance within 90 days of violation discovery. If an order is chosen, it
should be issued within 120 days of discovery of the violation. Administrative
orders with penalties are the preferred response.
In some cases, a Notice of Violation (NOV) or Warning Letter may be
adequate to bring about satisfactory compliance. Such a response would be
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appropriate in cases where an Annual Report is overdue but there is no history
of previous noncompliance, waste descriptions in various documents are
inaccurate or incomplete but there is no indication of intent to falsify data and
the inaccuracies are minor, and similar types of violations.
If the NOV or other response does not bring about a return to compliance,
then enforcement actions must be escalated. The Policy contains details on an
appropriate course of action.
Low Priority Violators
A low priority violator will normally receive a NOV or Warning Letter as
the initial response within 60 days of detection of the violation. If an adequate
response is not obtained, consideration should be given to issuing an
administrative order.
Criminal Cases
Criminal cases are frequently complex and involve extensive evidence
gathering, violations of multiple statutes and other case specific factors.
Appropriate enforcement responses to criminal violations will be determined on
a case-by-case basis using established procedures. Criminal cases have the
highest priority for investigation and prosecution.
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VIII. INFORMATION MANAGEMENT
Various documents specific to the hazardous waste export program
require tracking to ensure effective regulation of exports. Most of these
documents are now tracked manually but their volume has increased to the
point that an information management system is needed. NEIC is developing
this system and this strategy relies on the use of automated information
management to track export documents, identify non-compliance with
regulations and assist in development of a waste exporter profile. There are no
standard forms other than the manifest for submission of specific export
information. Development of standard forms to facilitate automated data
handling and improve the level of compliance by the regulated community will
be explored..
ADMINISTRATIVE PROCESSING OF NOTICES OF INTENT
Administrative processing of the Notices of Intent and related
Acknowledgments of Consent is performed by the Office of International
Activities in cooperation with the State Department and Environment Canada.
Notices are manually logged using a word processing system.
Acknowledgments of Consent are produced with the word processing system.
This system was adequate for the smaller number of documents handled in the
past but is becoming overloaded by current information volume and does not
have the capability to perform other needed information management tasks.
NEIC has developed a database to compile Notices of Intent,
Acknowledgments of Consent, Annual Reports and manifests to facilitate
comparison of these documents, identification of exporters not in compliance
with regulations and development of a waste exporter profile. OIA and NEIC
will explore use of this database in 1988 to track Notices of Intent as received by
OIA and to automate the production of Acknowledgments.
The NEIC database will contain all 1987 Notices and related
Acknowledgments, 1987 Annual Reports, all manifests collected by Customs
and the same documents for 1988 and later years as they are received.
Consideration will be given in 1988-to including notices of intent to import as
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well. The database contains waste specific information: types of waste for each
exporter, number and type of container, shipment dates, volumes exported.
This facilitates preparation of national reports and identification of trends in
exports as well as facilitates the routine .export program administration.
Acknowledgments of Consent currently prepared by OIA are not waste
specific. They reference the Notice of Intent as a description of waste approved
for export. Inclusion of specific waste information on each Acknowledgment
would be very time consuming with the present word processing system. The
NEIC information system will be modified in 1988 to produce waste specific
Acknowledgments.
ANNUAL REPORTS
Annual reports are required to be submitted to OIA by March 1 of each
year. Until late 1987, the reports were simply filed. No compilation of reported
exports was made. Such a compilation without use of automated information
management would be very difficult and time consuming given the number and
diversity of waste exports. Annual reports for 1986 have been entered in the
NEIC database as a means of identifying those generators that notified of intent
to export but did not file an annual report. Annual reports for 1987 will be
entered for the same purpose and also to provide the first national assessment
of the types and volumes of waste exports.
MANIFESTS
Manifests received from U.S. Customs and from generator inspections
are being entered in the NEIC database as received. These provide a profile of
actual waste export activity months in advance of the Annual Reports and also
identify exporters that should have notified or submitted annual reports.
Manifest reviews also identify non-compliance with manifest requirements.
STANDARD FORMS
Regulations require the submission of specific information in Notices of
Intent to export and in Annual Reports. There are no standard forms for these
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documents and no specific instructions for submitting the information. As a
result, information received from exporters is often incomplete and inaccurate.
This necessitates OIA contact with the exporter to obtain the missing or incorrect
information. Lack of a standard format results in submission of the documents
in a variety of formats which makes data extraction for the information system
much more difficult.
Canada requires all exporters to register in a manner similar to RCRA
notification. About 90% of waste shipments go to Canada with most to two
facilities. These two facilities have developed their own forms for generator
notification that combine Canadian and U.S. information requirements. The
feasibility of developing standard forms of this type to meet U.S. and Canadian
regulatory requirements, aid data entry, reduce the frequency of OIA contacts for
missing data and improve exporter compliance will be evaluated by OIA and
NEICin 1988.
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IX. COORDINATION/RESPONSIBILITIES
The hazardous waste exports enforcement program involves elements of
various EPA Headquarters program offices, the Regions, authorized States and
the U.S. Customs Service. This section establishes a framework for overall
program coordination and coordination patterns for various program elements
and defines the responsibilities of each program participant. The National
Enforcement Investigations Center (NEIC) is the lead office with overall
enforcement program coordination responsibilities. Other responsibilities are
defined below.
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
NEIC
NEIC will provide overall coordination of the exports enforcement
program. Mr. James Vincent is program coordinator. He can be reached at
(303) 236-5120 or FTS 776-5120. Any requests for assistance in criminal
investigations or allegations of cnr.nal activity should be directed to Mr. Martin
Wright, Deputy Assistant Director for Criminal Investigations. He can be
reached at (303) 236-3215 or FTS 776-3215.
NEIC is responsible for information management activities including
development and maintenance of the export database, compilation of all
Notices of Intent received by OIA, automated production of Canadian
Acknowledgments of Consent, manifest tracking and related data processing
activities.
All criminal investigation support to the export program will be
coordinated by NEIC with support provided by OCI staff at appropriate locations.
•
NEIC is designated as the contact point for all activities associated with
the Memorandum of Understanding with the U.S. Customs Service. NEIC will
coordinate the development of a joint enforcement strategy with Customs which
involves collection of manifests by Customs at border locations and a program
of spot checking of export shipments including associated training of Customs
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inspectors. NEIC will participate in the training and border inspections. NEIC
will coordinate with Customs on criminal investigations involving concerned
violations.
Technical review of Notices of Intent, Acknowledgments of Consent,
Annual Reports, objections to exports and manifests will be provided by NEIC in
cooperation with OIA.
Instances of civil non-compliance identified by information management
activities, technical review of Notices, etc., border spot checks or other
investigations will be documented by NEIC and referred to the appropriate
Regional Counsels and Regional Waste Management Division export
coordinators for appropriate enforcement response. Any allegations or
appearances of criminal activity will be referred internally to the Office of
Criminal Investigations for investigation.
A waste exporter profile will be developed by NEIC staff from information
in the NEIC exports database and other information supplied by the Regional
export coordinators and State hazardous waste programs.
Hazardous Waste Enforcement Division. OECM
The Hazardous Waste Enforcement Division of OECM will assist the
Regions in achieving appropriate enforcement responses to civil violations. In
particular, support will be provided in developing enforcement responses to
cases of national significance, that involve patterns of conduct by national
corporations at multiple locations or that involve several EPA Regions.
Office of Criminal Enforcement Counsel
The Office of Criminal Enforcement Counsel will provide legal support to
criminal cases.
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OFFIQE OF INTERNATIONAL ACTIVITIES
OIA is the lead office for all activities within EPA that involve
communications with other countries, development of international agreements
and development of regulations concerning international programs. OIA is
responsible for the administrative processing of Notices of Intent to export,
issuing Acknowledgments of Consent, notifying exporters of objections to export
shipments and receiving Annual Reports. OIA will coordinate with NEIC in
ensuring the flow of documents received by OIA to NEIC for database entry.
OIA and NEIC will jointly explore means of developing and revising procedures
to automate the administrative processing of this information. OIA will have the
lead in negotiating any revisions of international agreements and any
supplemental agreements. Ms. Wendy Grieder is the OIA coordinator. She can
be reached at (202) 382-4887, FTS 382-4887.
OFFICE OF WASTE PROGRAMS ENFORCEMENT. OSWER
The Office of Waste Programs Enforcement within the Office of Solid
Waste and Emergency Response is responsible for providing program
guidance to the Regional Waste Management Divisions and authorized State
RCRA programs. OWPE will be responsible for incorporating appropriate
export program considerations into program guidance, particularly inspection
manuals and inspector training programs. NEIC will provide OWPE with
periodic summarfes^of export violations and the waste exporter profiles for
inclusion in training; pregranfe.
EPA REGIONS
Office of Regional Counsel
The Office of Regional Counsel is responsible for the overall coordination
of enforcement actions within the Region. All documented cases of civil non-
compliance will be referred to the Regional Counsel for appropriate
enforcement action.
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Waste Management Division
Each Waste Management Division will designate an export program
coordinator to facilitate communications among NEIC, Headquarters program
offices, Regional programs and authorized State programs. The coordinator
will be the contact point for interactions with States concerning potential non-
compliance with export regulations. The coordinator will also be the focal point
for notices of intent to import wastes.
U.S. CUSTOMS SERVICE
The Memorandum of Understanding with Customs provides that
Customs will collect hazardous waste manifests delivered to them at points of
exit of export shipments from the U.S. and transmit them to NEIC. Customs is
also to participate in the joint development of an enforcement strategy to include
such elements as training of Customs inspectors and a program to spot check
international shipments of hazardous waste. The joint enforcement strategy is
under development by NEIC and Customs and, upon completion, will define
specific responsibilities.
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APPENDIX A
RCRA EXPORT REGULATIONS
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J[gjg«MUji»lafJ_yoLjl. No. 1S3 / Friday. August B. 1966 / Rules and Regulations
requinmeou. Water poUetien control.
Water uppiy.
I** M. ThoaUS,
Adminitlmtof.
August j. iaaa.
PART MO-HAZARDOUS WASTE
MANAGEMENT SYSTEM: GENERAL
L The authonty citation far Part 280
continues to read as follows:
Authority: Sees M06. 2002U). 3801 through
3007. SOU). 1014. 3015. 3017. SOU. 3019 sad
TOO*. Solid Waste DHPOMJ Ad m emeedsd
by the ReMHuce Caaservauoa aad Recovery
Ad of 1976. at araeaded (42 U AC 6801
«912(aJ. 6B1 through 8827. am 6B34. 8835.
6837. 6038. 6B3B. and 6874).
2. Section 28O2 is amended by
revising paragraph fb) to read as
follows:
IMU Avsttaftmyoftofonnsfion:
(b) Any person who submits
information to EPA in accordance with
Parts 280 through 286 of Ihis chapter
may assert a claim of business
confidentiality coveting part or all of
that information by following the
procedure* set forth in | L203(bJ of this
chapter. Information covered by such a
claim will be disclosed by EPA only to
the extent and by means of the
procedures, set forth in Part 2. Subpart
& of this chapter except that
information required by 1 26iS3fa)
which is submitted in notification of
intent to export a hazardous waste will
be provided to the Departtaent of Stale
and the appropriate authorities a a
receiving country regardless of any
claims of confidentiality. However, if no
such claim accompanies the information
when it is received by EPA, it may be
made available to (be public without
further notice to the person submitting
U8TINQ OP HAZARDOUS WASTI
3. The authority dtatioa for Part 201 is
revised to read aa faflowa:
Authority: Sees. 1008.2002fa|. 3001.3002.
•nd 3017 of the Solid Waste Disposal Act as
•mendet! by the Resource Conservation and
Recovery Act of 1178. •• emended (42 U.S.C
6803.6B12U). 6821.6822. .nd 6887).
4. Section 281.6 ia amended by
revising paragraphs (a)(3)(i) to read aa
follows:
I261J
Htfartal
(a)* '
Ol* *
(i) Industrial ethyl alcohol that ia
otherwise in aa international agreement
as specified in 1262J6:
(A) A person initiating a shipment for
reclamation in a foreign country, end
any latermediary arranging for the
shipment, must comply with the
requirements applicable to a primary
exporter in if 262.53. 262.56 (aHlH4).
(6). and (b). and 262.57. export such
materials only upon consent of the
receiving country and in conformance
with the EPA Acknowledgment of
Consent as defined ia Subpart E of Part
262. and provide a copy of the EPA
Acknowledgment of Consent to the
shipment to the transporter transporting
the shipment for export
(B) Transporters transporting a
shipment for export may not accept a
shipment if he knows the shipment does
not conform to the EPA
Acknowledgment of Consent, must
ensure that a copy of the EPA
Acknowledgment of Consent
accompanies the shipment and must
ensure that it is delivered to the facility
designated by the person initiating the
shipment.
• • • • •
5. Section 281.5 is amended by
revising paragraphs (f)(3) and (g)(3) lo
read as follows:
8261.8 SpecM requirements for
haw-doue waste generated by
ixsmplamel quantity
(3) A condrtiofteUy exempt smell
quantity eenerator may either treat or
dispose of his acute hazardous waste in
an OMite facility or ensure delhcry to
an off-site treatment storage or disposal
facility, either of which, if located n the
U.S,is:
(3) A conditionally
quantity generator may at
ireiti
dispose of his hazardooa waste m an on-
site facility or enure delivery to n off-
site treatment storage or disposal .
facility, either of which, if located In the
U.S., is:
PART M2-STANDARD3 APPLICABLE
TO GENERATORS OP HAZARDOUS
WASTE
6. The authority citation for Part 282
continues to read ea follows:
Artheriljr: Sees. 1008.2002(a). 3002,3003.
30013006. and 2617 of the Solid Wsste
Disposal Act as amended by the Resource
CooservaUanandReooveryAclefl87a.es
•mended (42 U.S.C 6806.6912(a). 6822.6823.
6824. 6823. and 6837).
7. Section 262.41 is amended by
revising the introductory text to
paragraph (a). (a)(3), (a)(4) end (a|(5).
and adding a sentence at the end of
paragraph (b) to read as follows
1262.41
(a) A generator who ships any
hazardous waste off-site to a treatment.
storage or disposal facility within the
United States must prepare and submit
a single copy of a Biennial Report to the
Regional Administrator by March 1 of
each even numbered year. The Biennial
Report must be submitted on EPA Form
8700-13A. must cover generator
activities during the previous yesr. and
must include the following information
(3) The EPA identification number.
name, and address for each off-site
treatment, storage, or disposal facility in
the United States to which waste was
shipped during the yean
(4J The name and EPA identification
number of each transporter useo) during
the reporting year for shipments to a
treatment storage or disposal facility
within the United States:
(5) A description. EPA hazardous
waste number (from 40 CFR Part 261.
Subpart C or 0). DOT hazard c|ass. and__
quantity of each hazardous waste
shipped off-site for shipments to a
treatment storage or disposal facility
within the United States. This
information must be listed by EPA
identification number of each such off-
site facility to which waste was shipped.
Reporting for exports of hazardous
waste is not required on the Biennial
Report form. A separate annual report
requirement ia set forth at 49 CFR 262.56.
8. 40 CFR Part 282 Is amended by
revising Subpart E to read as follows:
S*c
26150 ApBicattlity.
282*1 Definitions
2BZ52 Garni fequhaanls.
26241 Notification of mtent to export.
26ZM Special manifest requirement*.
26245 Eueptioa reports.
28246 Annual reports.
26157 Racordkeepins,
28Z36 lnteraa*on4atnea«ns.[Reitrved]
Subpart E-Expora of Hexardous
Ws
I26UO
This fubpart establishes requirements
applicable to exports of hazardous
waste. Except to the extent 1262.58
provides otherwise, a primary exporter '
-------
Federal Register / Vol. 51. No. 153 / Friday. August 8. 1986 / Rules and Regulations
28683
of hazardous waste must comply with
the special requirements of this subpart
and a transporter transporting
hazardous waste for export must comply
with applicable requirements of Part
263. Section 262.58 sets forth the
requirements of international
agreements between the United Slates
and receiving countries which establish
different notice, export, and
enforcement procedures for the
transportation, treatment, storage and
disposal of hazardous waste for
shipments between the United Slates
and those countries.
I26U1 OefHOOML
In addition to the definitions set forth
at 40 CFR 280.10, the following
definitions apply to this subpart
"Consignee" means the ultimate
treatment, storage or disposal facility in
a receiving country to which the
hazardous waste will be sent
"EPA Acknowledgment of Consent"
means the cable sent to EPA from the
U.S. Embassy in a receiving country that
acknowledges the written consent of the
receiving country to accept the
hazardous waste and describes the
terms and conditions of the receiving
country's consent to the shipment. ._
"Primary Exporter" means any person
who is required to originate the manifest
for a shipment of hazardous waste in
accordance with 40 CFR Part 282.
Subpart B. or equivalent State provision.
which specifies a treatment storage, or
disposal facility In a receiving country
as the facility to which the hazardous
waste will be sent and any intermediary
arranging for the export
"Receiving country" means a foreign
country to which a hazardous waste ia
sent for the purpose of treatment
storage or disposal (except short-term
storage incidental to transportation).
'Transit country" means any foreign
country, other than a receiving country.
through which a hazardous waste is
transported. "~
I2BU2 Qeneralrequfcaiuanlai
Exports of hazardous waste are
prohibited except in compliance with
the applicable requirements of this
Subpart and Part 283. Exports of
hazardous waste an prohibited unless:
(a) Notification in accordance with
} 282.53 haa been provided
(b) The receiving country has
consented to accept the hazardous
waste:
(c) A copy of the EPA
Acknowledgment of Consent to the
shipment accompanies the hazardous
waste shipment and. unless exported by
rail, is attached to the manifest (or
shipping paper for exports by water •
(bulk shipment)).
(d) The hazardous waste shipment
conforms to the terms of the receiving
country's wnlten content as reflected in
the EPA Acknowledgment of Consent.
(Approved by the Office of Management and
Budget under control number Z050-0035)
9262.S3 Notification of Intent to export
(a) A primary exporter of hazardous
waste must notify EPA of an intended
export before such waste is scheduled to
leave the United States. A complete
notification should be submitted sixty
(60) days before the initial shipment is
intended to be shipped off site. This
notification may cover export activities
extending over a twelve (12) month or
lesser period The notification must be
in writing, signed by the primary
exporter, and include the following
information:
(1) Name, mailing address, telephone
number and EPA ID number of the
primary exporter.
(2) By consignee, for each hazardous
waste type:
(i) A description of the hazardous
waste and the EPA hazardous waste
number (from 40 CFR Part 261. Subparta
CandJ}). U.S. DOT proper shipping. . _
name, hazard class and ID number (UN/"
NA) for each hazardous waste as
identified in 49 CFR Part 171-177;
(ii) The estimated frequency or rate at
which such waste is to be exported and
the period of time over which such
waste is to be exported.
(iii) The estimated total quantity of
the hazardous waste in units as
specified in the instructions to the
Uniform Hazardous Waste Manifest
Form (8700-22);
(iv) All point* of entry to and
departure from each foreign country
through which the hazardous waste will
pass;
(v) A description of the means by
which each shipment of the hazardous
waste will be transported (e.g.. mode of
transportation vehicle (air. highway.
rail water, etc.). type(s) of container
(drums, boxes, tanks, etc.)):
(vi) A description of the manner in
which the hazardous waste will be
treated, stored or disposed of in the
receiving country (e.g« land or ocean
incineration, other land disposal ocean
dumping, recycling):
(vii) The name and site address of the
consignee and any alternate consignee:
and
(viii) The name of any transit
countries through which the hazardous *
waste will be sent and a description of
the approximate length of time the
hazardous waste will remain in such
country and the nature of its handling
while there:
(b) Notification shall be sent to the
Office of International Activities (A-
108). EPA. 401 M Street SW.
Washington. DC 20460 with "Attention:
Notification to Export" prominently
displayed on the front of the envelope.
(c) Except for changes to the
telephone number in paragraph (a)(l) of
this section, changes to paragraph
(a)(2)(v) of this section and decreases in
the quantity indicated pursuant to
paragraph (a)(2)(iii) of this section when
the conditions specified on the original
notification change (including any
exceedance of the estimate of the
quantity of hazardous waste specified in
the original notification), the primary
exporter must provide EPA with a
written renotification of the change. The
shipment cannot take place until
consent of the receiving country to the
changes (except for changes to
paragraph (a)(2)(viii) of this section and
in the ports of entry to and departure
from transit countries pursuant to
paragraph (a)(2)(lv) of this section) has
been obtained and the primary exporter
receives an EPA Acknowledgment of
. Consentreflecting the receiving
• -cuuiiUy's LuiiseiiiI to the changes.
(d) Upon request by EPA. s primary
exporter shall furnish to EPA any
additional information which a receiving
country requests in order to respond to a
notification.
(e) In conjunction with the
Department of State. EPA will provide a
complete notification to the receiving
country and any transit countries. A
notification is complete when EPA
receives a notification which EPA
determines satisfies the requirements of
paragraph (a) of this section. Where a
claim of confidentiality is asserted with
respect to any notification information
required by paragraph (a) of this section.
EPA may find the notification not
complete until any such daim is
resolved in accordance with 40 CFR
280.2.
(f) Where the receiving country
consents to the receipt of the hazardous
waste, EPA will forward an EPA
Acknowledgment of Consent to the
primary exporter for purposes of
1282.S4(h). Where the receiving country
objects to receipt of the hazardous
waste or withdraws a pnor consent
EPA will notify the primary exporter in
writing. EPA will also notify the primary
exporter of any responses from transit
countries.
(Approved by the Office of Management and
Budget under control number 2090-OOU)
-------
138244
A pnmary exporter must comply with
the manifest requirements of 40 CFR
282.20-262J3 except that:
(s) In lieu of the name, site address
and EPA ID number of the designated
permitted facility, the pnmary exporter
must enter the name and site address of
the consignee.
(b) In lieu of the name, site address
and EPA ID number of a permitted
alternate facility, the pnmary exporter
may enter the name and site address of
any alternate consignee.
(c) In Special Handling Instructions
and Additional Information, the pnmary
exporter oust Identify the point of
departure from the United Slates;
(d) The following statement must be
added to the end of the first sentence of
the certification set forth in Item 18 of
the Uniform Hazardous Waste Manifest
Form: "and conforms to the terms of the
attached EPA Acknowledgment of
Consent";
(e) In lieu of the requirements of
128121. the primary exporter must
obtain the manifest form from the
primary exporter's State if that State
supplies the manifest form and requires
its use. If the primary exporter's State
does not supply the manifest faro, the
primary exporter may obtain a manifest
form from any source.
(f) The primary exporter must require
the consignee to confirm in writing the
delivery of the hazardous waste to that
facility and to describe any significant
discrepancies (as defined in 40 CFR
284.72(a)) between the aunifest end the
shipment A copy of tnevMoifeet signed
by such facility may be eeed to confirm
delivery of the hazardous waste
(g) In Urn of the raquirem0nU of
I 28Z20(
-------
Federal Register / Vol. 51. No. 153 / Friday. August 8. 1986 / Rules and Regulations 28685
282.80 Import! of hasardous waste.
Waste
F— imports of Hazardous
(262.80 Imports of hazardous wast*.
(a) Any person who imports
hazardous waste from a foreign country
into the United States must comply with
the requirements of this part and the
special requirements of this subpart.
(b) When importing hazardous waste.
a person must meet all the requirements
of § 282.20(a) for the manifest except
that
(1) In place of the generator's name.
address and EPA identification number.
the name and address of the foreign
generator and the importer's name.
address and EPA identification number
must be used.
(2) In place of the generator's
signature on the certification statement
the U.S. importer or his agent must sign
and date the certification and obtain the
signature of the Initial transporter.
(c) A person who imports hazardous
waste must obtain the manifest form
from the consignment Slate if the State
supplies the manifest and requires its
use. If the consignment State does not
supply the manifest form, then the
manifest form may be obtained from any
source.
10. Title 40 CFR Part 262 is amended
by adding a new Subpart C to read as
follows:
Subpart G— farmer*
(,262.70
A fanner dTspoaing of waste
pesticides from his own use which are
hazardous wastes is not required to
comply'with the standards in this part or
other standards in 40 CFR Part 270.204
or 285 for those wastes provided he
triple nnses each emptied pesticide
container in accordance with
{ 261.7(b)(3) and disposes of the
pesticide residues on his own farm in a
manner consistent with the disposal'
instructions on the pesticide label
Appendix—Uniform Hazardous Waste
Manifest and Instructions (EPA Forms
8700-a and 8700-2ZA and Their
Instructions)
11. The instructions to the Uniform
Hazardous Waste Manifest form in the
Appendix to Part 262 is amended to add
under Item 16 a new paragraph after the
first paragraph as follows:
• • • • •
Primary exporter! shipping hazardous
wanes 10 a facility located outside of the
United Slates must add to the end of the first
sentence of the certification the following
words "and eooforms to the terms of the EPA
Acknowledgment of Consent to the
shipment."
PART 283—STANDARDS APPLICABLE
TO TRANSPORTERS OF HAZARDOUS
WASTE
12. The authority citation for Part 263
is revised to read as follows:
Authority: Sees 2002(a). 3002. 3003. 3004.
3005 and 3017 of the Solid Waste Disposal
Act as amended by the Resource
Conservation and Recovery Act of 1976 and
as amended by the Quiet Communities Act of
1978 («2 U.S.C. 6012.8822,8923.6824.6929
and 8937).
13. Section 283.20 is amended by
revising paragraphs (a), (c). (e)(2), (f)(2)
and (g}(3) and by adding paragraph
(g)(4) to read as follows:
I263L20 Tht> manifest system.
(a) A transporter may not accept
hazardous waste from a generator
unless it is accompanied by a manifest
signed in accordance with the
provisions of 40 CFR 282.20. In the case
of exports, a transporter may not accept
such waste from a primary exporter or
other person (1) if he knows the
shipment does not conform to the EPA
Acknowledgment of Consent: and (2)
unless, in addition to a manifest signed
in accordance with the provisions of 40
CFR 262.20. such waste is also
accompanied by an EPA
Acknowledgment of Consent which.
except for shipment by rail, is attached
to the manifest (or shipping paper fpr
exports by water (bulk shipment)).
• • • • •
(c) The transporter must ensure that
the manifest accompanies the hazardous
waste. In the case of exports, the
transporter must ensure that a copy of
the EPA Acknowledgment of Consent
also accompanies the hazardous waste.
• • • • •
(e) ' • '
(2) A shipping paper containing all the
information required on the manifest
(excluding the EPA identification
numbers, generator certification, and
signatures) and. for exports, an EPA
Acknowledgment of Consent
accompanies the hazardous waste: and
• • • t •
(0* • •
(2) Rail transporters must ensure that
a shipping paper containing all the
information required on the manifest
(excluding the EPA identification
numbers, generator certification, and
signatures) and. for exports an EPA
Acknowledgment of Consent
accompanies the hazardous waste at all
times.
(3) Return a signed copy of the
manifest to the generator and
(4) Give a copy of the manifest to a
U.S. Customs official at the point of
departure from the United States.
PART 271-REQUIREMENTS FOR
AUTHORIZATION OF STATE
HAZARDOUS WASTE PROGRAMS
14. The authority citation for Part 271
continues loresd as follows:
Authority: Sees. 1008. 2002f»), and 3006 of
(he Solas Waste Disposal Act as amended by
Be Resource Conservation and Recovery Act
of 1976. as amended (42 U S.C 6905. 6912(a).
and 6926).
1271.1 (Amend**!
15. Section 271.1 paragraph (j) is
amended by adding the following entry
to Table 1 in chronological order
TABU 1.-REGULATIONS IUPUMENTMO THE
HAZARDOUS ANO Souo WASTE AMEND-
MENTS OF 1964
I <* Mftctfon] Earn a!
18. Section 271.10 is amended by
revising paragraph (e) to read as follows
except for the note which remains
unchanged.
{271.10 Requirements lor asnsrsters of
hazardous wastes.
• • • • •
(e) The State program shall provide
requirements respecting international
shipments which are equivalent to those
at 40 CFR Part 262 Subparta B and F.
except that
(1) Advance notification, annual
reports and exception reports in
accordance with 40 CFR 2BZ53.282.55
and 282.58 shsll be filed with the
Administrator States may require that
copies of the documents referenced also
be filed with the State Director and
(2) The Administrator will notify
foreign countries of intended exports in
conjunction with the Department of
State and primary exporters of foreign
countries' responses in accordance with
40 CFR 282.53.
• • • • •
17. Section 271.11 is amended by
revising paragraph (c) to read as
follows:
-------
FederaJ RegUter / Vol. 51. No. 153 / Friday. August 8. 1986 / Rules and Regulations
1271.11 Requtremsnts tor traneportera of
(c) The State mutt require the
transporter to carry the manifest during
transport, except in the case of
shipments by rail or water specified in
40 CFR 263.20 (e) and (f) and to deliver
waste only to the facility designated on
the manifest. The State program shall
provide requirements for shipments by
rail or water equivalent to those under
40 CFR 263.20 (e) and (f)- For exports of
hazardous waste, the State must require
the transporter to refuse to accept
hazardous waste for export if he knows
the shipment does not conform to the
EPA Acknowledgment of Consent to
carry an EPA Acknowledgment of
Consent to the shipment and to provide
a copy of the manifest to the U.S.
Customs official at the point the waste
leaves the United States.
• • • • •
(FR Doc. 86-17999 Filed B-7-tt. 8.45 am|
-------
APPENDIX B
INTERNATIONAL AGREEMENT WITH CANADA
-------
IITtflCN THE OOVUm|»T ey TM1 W,T(0
OF AflCJUCA AMD TW QOVCMMItfT Of CMADA
co*cc«Mura TIB TiAvsiouxoAjiy MOVUUT
Or HAIMOOUI HAITI ~™"IT
,.. „ , *«• flovornoont of th« United Itttoo of Aaorleo
th. Unltod It.to.). tnd tho 3ovoin»ont of cjIdT
»• U»l»»« 8t
C«B4d« ongtndar opportunltttt (or • g.->,r«tor of
"«t. to btntflt from u.in, tho nolr!!t iBpffl»ri
"
hieh
of natardou*
.««i , MCOOMXZXBIO furthtr thot the ao«t offoettvo end
•fficl.nt •«>nt of feehl.vln, •nvlronm.nt.ily oound
*«n««B«nt pree*dur«« for h«i*rdou« vifto
f..uiu .
hat.rdoui i»Met t«t«««n tho Unltod •t«t>. oS C*n*di,
* . frtneiplo 2i of tho
o th. unitod votlono ****** mJ
'JS1111?11^1*1"11 MMrt- th"
with tho Chortor of tho unitod
. .
thoir own rooouceoo purouAnt'to tholr ma
pelleioo oatf tho foopOMibility to
""*y
a peeoo oa to foopOMibility to •n.ur.
th;t .etiVi»i». .* °«0 Council Doelolono and
RooouondAtieno on tronofrontior oovooont* of haiudouo
wo.too, tho UKEP eoiro auidoitnoo ond rrtncipioo "Sr S
lnvlron.ont.ny Sound Monofooont of Mai.rdouo «.."' S
rooolutiono of tho London duoplno. Convontlon,
HAVO Agrood At follow*i
-------
- I -
Definition!
For the purpeeea of tMe Agreeeenti
L. *uthom*" ••••»•• In th, caae of tht
United State. of Arerlca, the Invironaental Protection
Agency end, In th. caae of Canada. th. Departa'Srlf
the Environment.
(b) •Haiardoui w..t.- ..ana with reapoct to Canada. «..t.
danvtroue 9oo<3i. .nd «ieh r*ip«et to fth« Unitatf
• ttte«, haitrdeua ^••t. subj^t to » unif.vt
r«qulrtn«nt In th. United tt«t.., .. d«(int« by th.U
rMp«etiv« n.clon.l l^i.Utlon. tnd iapl...ntUg
; t eeun"y »«
of htzardoj. •••t. ert9in«t«d.
(dj "Country of Irperf •••»• th. country to vhleh
htctrdou. w».t. L« ..nt for th. pur pot. of tr.atn.nt,
• ter.9« (*ith th. .ic^tlon of .horl-t.r. •tor.oo
incidental to tr.n.port«cien) or diapoatl.
(•) 'Country of Transit" HMD. th. country which 1.
n.ithar th. country of tiport nor th. aountry of
import, through »heao land territory or internal
utere haiardoue waato it transported, or in •hooo'
porti iuch waate i* unloaded forfurther
traneportation.
(I) 'Coneivneo- oeane the treatment, etor.ee (with the*
oieeptlon of ahort-tora .toxafe Incidental to
tranaportation) or diapoooi Ueility in th. eountry of
(9) •Iiportor- ••*«•- in tho ca«e of tho Oaited Itatoo.
tho P«raon defined •• exporter, and in the eaee of
Canada, the p.r.on defined aa conei«aor. under their
donorel Obligation
The Vert lee ehaii F»i»U the oiport. ioport, and tren.lt
of haaardou. ».•>.t .eroae their eeawon border for
traeteent. ator.«e. or dl.poeai purauant to the terao of
tneir doveetle :%-.. regulation, and adainlatratlve
practice., end the provlalor.a of thie Agreeaent.
-------
J .
to »h, iipottlaf eegfltry
" '
'"'
111
in th.
of
MI
h!"?""!**!0^1 quantltyc* th«
•* *ntry into
or
of
(•> An .pp
-------
- 4 «
dete of receipt of the net let win bo identified in an
Aexnowledgevoat of receipt cede 1 Mediately by the
deolgnAtod Authority of the country of tapert to the
country of export.
aatt eeaply with the aenlfeet requlreaente
of both countrlee.
-------
• I •
a, Tha Partiaa will eooparata ia nonltoring and
apot-cheeklng tranaoovndary •hlpaenta of hasardoua
waata to anaura, to tha aitant poiilbla. that aueh
•hlpa.ntt eon for * to tha rao,uira*»nta of tho
applieaola legislation and of thia Agraaaent.
3. To tha aitant any iaplaatnting regulation! aro
n •<:«•• try to eo«ply with thia Agraoaent. tha Partioa
will «ct aipaditloualy ta laaua aueh ragulatlona
coniietar.t with doraatic la*. Panding auoh iaauanea,
tha Parti*, win aak. baat afforta to provlda
notification in aeeordanea with thia Agraaaaat whara
currant ragulatory authority ia inauffieiaat. Tho
Partiaa win provlda aaeh othar with a dlploaatlo nota
upon th» laau«ne« and th. cooing into effoct or any
aueh r»9ulatlan.. *
Rtadalaalon of tiporta
haMrdUntfw °» **port -h'U '••d"lt «ny ahlpaant of
AM-ICLI t
iBfereaaant
v •*»•"- •»•"•• to th. ottont poaaiMo. that
within tholr raapaetivo juflidietiono, tholr dom.atlo law.
and ra^ulationa aro onfoteatf with raopoet to tho
transportation, .torag., tzoataaat and dlapOMl of
tranaboundary ahipaonta of haaardoua vaato.
ProtactloA of Coafftdaati*! Inffocution
II th. provision of toehnieol InforMtion purauant to
artiela* 9 and 4 would raqulro tho dlaelooura of
iniornatlon eevarod toy agr««««nt(a) of confidentiality
b»tw««n • Party and aa aiportar, tha country of oiport
ahall aaka av.ry effort to obtain tho conacnt of tho
conoaraod paraon for tho purpoaa of convoying any auch
iafoiaation re tho country of iopoxt or tranalt. Tho
country of iaport or tranait ahall a*ka avory offort to
,protact tha confldontiality of aueh inforaatioa coavoyod.
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laeureaoe
Th* Partie* My require, •• • oenditien el entry, that any
trtntboundary aoveaent of haterdou* **at* to* coveted by
inajrance or ether financial guarantee in reepeet to
daaage to third partiee cajeed during the entire aoveaont
of haaardou* »aate. including loading end unloading.
ARTICLE 10
•
Etfvcta en Interaatloa*!
Nothing in thla Agreanens ahall be deened to dialnlah the
obligation* of the Parties "1th rea^eet to dlapotal o<
haserdo.a waa;a at aaa contained in the 1*73 London
Outiplng Convention.
AKTICII II
Doeaatio Law
The prevlalona of thla Agreement ahall be •ubject to the
applicable la«e and regulatlena of the tartlet.
MtTI-CLl U
Thia Agreement aay be aeended by autual written coaaent of
the Partlea os their authoriaed repreeentatlvee.
latry iato force
Thl* Agreeaent ahall enter into force on Voveaber I. 19M
end continue in force for five year*. Zt will
automatically be renewed for additional five year period*
unleea either Party give* written notice of termination to
the other at leaat three oonthe prior to the expiration of
any five year period. In any five year period, thle
Affreeaeat aay t* terminated upon oae yeer written notice
given by or.e Party to the other.
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P«
Accord.
•Ifn.d
•«•»!•».
»i9n4 it pri««ot
thl»
in th«
•t«t*« of
Jour U Oeuv«rntm«ne
of
Pour i« «euv«rn«Mnt
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APPENDIX C
INTERNATIONAL AGREEMENT WITH MEXICO
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ANNEX IXX TO THE AGREEMENT BETVEEN
THE UNITED STATES Of AMERICA'
AND THE UNITED MEXICAN STATES
ON COOPERATION POR TNE PROTECTION AND IMPROVEMENT
OP THE ENVIRONMENT IN THE BORDER AREA
AGREEMENT OP COOPERATION BETWEEN
THE UNITED STATES OP AMERICA
AND THE UNITED MEXICAN STATES
REGARDING THE TRANSBOUNDARY SHIPMENTS OP
HAZARDOUS WASTES AND HAZARDOUS SUBSTANCES
PREAMBLE
The Government of the United State* of America ("the United
States'), end the Government of the United Mexican States CMexico'V
(•the Parties1),
Recognising that health and environmental damage may result
from improper activities associated with hasardous
waste;
Realising the potential risks to public health, property
and the environment associated with hasardous substances;
Seeking to ensure that activities associated with the
trtnaboundary shipment of hasardous waste are conducted so as
to reduce or prevent the risks to public health, property and
environmental quality, by effectively cooperating in regard to
thoir export and import!
Seeking also to safeguard the quality of public health.
property and environment from unreasonable risks by effectively
regulating the exoort and import of hasardous substances:
Considering that transboundary shipments of hasardous
vasts and hasardous substances between the Parties, if carried
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-2-
eut illegally and thu» without the .upervlilon-and control of
the competent authorities, or If Improperly managed could
endanger the public health, prooerty and environment, particularly
in the United State./Ne«lco b&rder area:
Reeognlilng that the clo.e trading relationship and the
long common border b«t«««n th« Part-M >akt It n«cta«ary to
cooptratt regarding tr.niboundary ahipm.ntf of hatardout «att«
and hatardout •udstancas without unreaaonably aff.etlnq tht
trad* of goodi and aarvlct«»
Reaffirming Principle 21 of the 1972 Declaration of the
United Matloni Conference on the Human Cnvlron..-t. adopted at
Stockholm, which provides that State* *«v«. in accordance with the
Charter of the United Bationa and the principle, of International
law, the aovereign right to tiplelt their own reiourcei punuant
to tr.alr own enwlronment.l pollclea end the re.pon.lbllity to
•neure that aetivitie. within their Jurledlctlon or control do
not cause damage to the environment of other State, or of area.
beyond the limit, of national Jurisdiction:
Recognising that Article 3 of the Agreement bet-een the
P.rtie. on Cooperation for the Protection and Improvement of
the Environment In the .order Area of 1983 provide, that the
P.rtie. may conclude epeelflc arrangementa for the .olution of
co«on problem. In th» border area a. anne.e. to that Agreement:
•ave agreed it follow.i
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AUTZCLE I
Definitions
1. 'Designated Authority' means, in the eat* of the
United States. -.he Environmental Protection Agency and,
in the eaat of it*ico. the Secretariat of Urban Development
and ecology through the Subiecretarlat of Ecology.
2. 'Haiardous waste' means any vaste, as designated or
defined by the apollcable designated authority pursuant to
national policies, laws or regulations, whlca If Improperly
dealt *lth In activities associated with them, may result In
health or environmental damage.
3. 'Rasardous substance* means any substance, as
designated or defined by the applicable national policies,
laws or regulations. Including pesticides or chemicals, which
when improperly dealt with in activities associated with
them, may produce harmful effects to public health, property
or the environment, and is banned or severely restricted by
the applicable designated authority.
4. 'Activities' associated with haiardous waste or
hasardous substances means, as applicable, their handling,
transportation, treatment, recycling, storage, application,
distribution, reuse or other utilisation.
S. 'Country of eiport' mean* the Party from which the
boundary movement of hasat
substances la to be Initiated.
tranaboundary movement of hasardous waste or hasardous
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-4-
I. 'Country of inert" meana the Party to which the
haiardous waste or haiardous substancta arc to be sent.
This does not include 'transit*, as meaning tranaport of
hazardous west* or haiardous substancts through the 'territory
of a Party without be Jig imported through its Custons under
applicable laws and regulation*.
7. 'Consignee' Means the facility In the country of import
which will ultimately receive the hasardous waste or hazardous
substances.
m
I. 'Exporter* means the physical or Juridical person,
whether public or private, acting on his behalf or as a
contractor or subcontractor eipressly or implicitly defined
•a eiporter under the national laws and regulations of the
country of export which specifically govern haiardous waste
or hizarSoua substances.
t. 'Banned or severely restricted" mans final regulatory
action, as designated or defined by the applicable designated
authority, pursuant to national policies, laws or regulations!
a) Prohibiting, cancelling or suspending all or virtually
all registered uses of a pesticide for human health or
environmental reasons.
b) Prohibiting or severely Uniting the manufacture,
processing, distribution or use of a chemical for
human health or environmental reasons.
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-5-
ARTICLB II
Central Obligations
1. Tranaboundary shipments of haiardous waste and
hs«ardous substances •cross the common border of the Parties
shall be governed by tht tsrms oe this Anne« and their domastie
laws and regulations.
2. tach Party shall ensure, to the e«tent practicable,
that its domestic laws and regulations are enforced with respect
to transboundary shipments of haiardous waatf and haiardous
substances, and other substances as the Parties «ay autuallyx
agree through appendices to this An*-»E, that oote dangers to
public "•alth. property and the environment.
]. Each Party shall cooperate in monitoring and spot-
checking transboundary shipments across the common border of
hazardous waste and hasardous substances to ensure, to the
extent practicable, that such shipments conform to the
requirements of this Anne* and its national laws and regulations.
To this tffoct, • program of cooperation In this area should be
concluded through an Aopendli to this *nn««, Including the
exchange of Information resu'ltlmp from th« monitoring and
spot-checking oC trsnsboundsry shipment* which may be useful to
the other Party.
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RA2AXDOUS MASTC
ARTICLE IXX
Notification to the Importing Country '•
1. The designated authority of the country of export shall
notify the designated authority of tht country of import of
transboundary shipments of haiardoua vast* for which the constnt
of the country of import Is required under the lave or regulations
of the country of ••port, with a copy of the notification
Simultaneously sent through diplomatic channels.
2. The notification referred to in paragraph 1 of this
Artlcl* ihall b« givan at laast 43 days In advance of ehs
planned date of export and aay eevar an Individual shipment or
a series of shipments attending over t twelve-Mnth or lesser
period and shall contain -.he following intonation for each
shipment!
a) The exporter's name, address, telephone num&er.
Identification number and ether relevant data
reoulred in the country of esport.
b) By consignee, for each hasardous waste type:
1) A description of the haiardous waste to be esported.
as Identified by the waste identification nun&«r(a)
and the shipping descrlption(a) required in the
country of eiport.
11) The estimsted frequency or rate at which
such vssto Is to be eiported and the period
time over which such waste Is to be *iported.
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ill) The estimated total quantity of tht haurdous
waste In units as eoeclfled by the manifest or
documents required In the country of export.
lv) The point of entry Into the country of import.
v) The aeana of transportation. Including the node of
transportation and the type of container Involved.
vl) A description of the treatment or storage to which
the waste will be subjected 1* the country of import.
vli) The name and sit* address of the consignee.
3. In order to facilitate compliance with Che requirements
of the Importing :ountry for the exporter to provide information
and documents additional to those described In paragraph 2 of this
Article, the designated authority of the exporting country will
cooperate by asking such requirements for Information end
documents known to the exporter. To that end, the country of
import may list such additional required information and documents
in appendices to this Annes.
4. The designated authority of the country of Import shall
have 45 days fron the date of acknowledgement of receipt of the
notification provided in paragraph 1 of this Article within
which to respond to such notification, indicating its consent.
with or without conditions, or its objection to the export.
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-8-
$. Th. country of I.port .h.il h.v. th. right to ...^ th.
t.rm. of th. propo..* shio..nt cont.lned in th. notification tn
ord.r to glv. its cons.nt.
«. Th. cons.nt of th. country of I.port provid.d puriu.nt
to paragraph. 4 and S of this Art lei.. may o. •ithdr.vn 8P
modified it any tlM. pur.u.nt to th. n.tion.l polici.s.
or regulation, of th. country of I.port.
7. Vh.n.v«r th. d..lgn.t.d authority of a country of
-port r.auir.. notification of or is oth.rvU. .war. Of a
tran.bound.ry .hipMnt th.t -III b. tr.n.port.d through th.
t.rritory of th. oth.r ».rty, it shall, in accordance with
Its national laws and regulations, notify th.t Party.
ARTICLE IV
•..dai.tion of Exports
Th. country of ..port .hill r..d«lt any ihlpisnt of
h.i.rdou. w..t. th.e ..y b« r.turn.d for .ny r.a.on by th.
country of loport.
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HAZARDOUS SUBSTANCES
ARTICLE v
"otific.tion of a.gul.tor, Action. •
ch..ic.U lt. d..lgn.t.d rty §haii
.f th.
proprut.
int.rgow.rnntnt.l
n. ,otle. r.f.rrtd to ln ptrigrip; l 9f thi§
•••.II con:.in lh. fol |f
or
««>j«et of th. rtgul.tory .ctlon:
of th. rtgulltory
th. ti..t.t:. for .ny furth.r
If th.
".trlet.
InforMtion iheuld 6* Includ.d:
(c,
ef th.
•ction.
.„ i.dic.tion of th. pot.nti.l
to huMn h..lth or th. .nviron«.nt th.t .r.
th« grounds for tht action :
r.,i.t.rtd p.itletdt. 8r
-ub.tltut.
of th. b.nn.d or ....P.ly r..trlet.d DMtleldt or
ehraic.li
th. „„. .nd .ddr... of th. eont.et point to -hich
. r.«,..t for furthor Infor^tion .hould ft. .ddr....d.
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•10-
AKTXCLE VI
Notification of Exports
1. If the country of otport becomes aware that an export
of a hasardous substance to the country of Import li occurring.
the designated authority of tne country of export shall notify
the designated authority of the country of Import.
2. The purpose of such notice shall be to realm! the country
of Import of the notification regarding regulatory action provided
pursuant to Article S and to alert it to the.fact that the export
Is occurring.
3. The notice referred to In paragraph 1 of this Article
shall ccitain the following information, if available!
(a) the name of the exported hasardous substancei
(b) for banned or severely restricted chemicals,
approximate date(s) of the export!
(c) a copy of. or reference to. the information provided
at the time of the notification of the regulatory
action»
(d) name and address of the contact point for further
Information.
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MTICLt VZI
Timing of tha Notification*
1. Notification o» ragulatory actions, rsquirtd pursuant to
Article 5, shall ba transmitted as coon as practicable after
in. rtgulatory action has been taktn, and In any avant not
la-.tr than 90 days fallowing tha taking of such action.
2. Wh.n a Party has banned or savaraly rastrlctad chamlcals
or pesticides prior to tha antry Into fore* of thia Ann.,. it»
designatad authority shall provide an Invantory of such prior
regulatory actions to tha dasignattd authority of tha other
Party.
3. Notification of eiports required pursuant to Article C,
•hall be provided at tha tiM tha first export of a hazardous
SLrstanca is occurring to tha Country ef import following tha
r*c..Utory action and should racur at tha tia* of tha first
•xport of tha hasardous substanca aach aubaaqj«nt yaar to that
country*
4. Whan tha hasardous substanea being axportad has baan
bannad or aavoraly rastrictad prior to tha antry into forca of
this Annas, tha first aiport following tha ragulatory action
shall b« conaldarad to b* tha first asport following tha provision
of tha Invantory rafarrad to in paragraph 2 of this Articla.
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ARTICtE VIII
Compliance with Requirements In t*e Importing Country
In order to facilitate compliance with the requirements in
the Importing country for the import of hazardous substances,
the designated authority of the country of export will cooperate
by making euch requirements, including expected information and
documents, known to the exporter. To that end, the country of
Import may list such requirements, information and document! in
appendices to this Annex.
•
ARTICLE IX
Readmiaslon of Exports
The country of export shall readmit any shipment of
hazardous substances that was not lawfully imported into
the country of Import.
GENCR4L PROVISIONS
ARTICLE X
Additional Arrangements
1. The Parties shall consider and, as appropriate, estsblish
additional arrangements to mitigate or avoid adverse effects on
health, property and the environment from improper activities
associated with hesardous waste and hasardoua substances. Such
arrangements may include the sharing of research data as well
as the definition eC criteria regarding Imminent and substantial
endangirment and emergency responses, and may be included in
appendices to this Annex.
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-11-
2. The Parties shall consult rtgardlng experience with
transboundary shipment! of hasardoua wastea and hasardout
aubatancea and, at problems arc Identified In tht special
elreumatanetf of the Unitad Statta-qeiico bordar relation-
ahlp may include through aDpe-dlcea to thla Annas, additional
cooparatlon and mutual obligations ainad at aehlavlng whan
nccattary a aora atrlngant control of tranaboundary ahipmanta.
auch aa provlaiona to bring uniformity in thoaa ralatlng to
both hatardoua wastes and hazardous substancaa regarding com*
pulaory notification to and eonaant by the importing country
«
for each tranaboundary shipment, as nay become permitted by new
national laws and regulations adopted by the Parties.
ARTICLE XX
Hazardous Haate Ctneratad Prom Raw Natariala
Admitted In-Bond
Ratardous waste generated in t*e processes of •eononie
production, manufacturing, processing or repair, for which
raw materials were utilised and temporarily admitted, shall
continue to be readmitted by the country of origin of the
raw materials In accordance with applicable national pollciea.
laws and regulations'
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ARTICLC XXX
Information tichange and Assistance
1. Th« Partiea shall, to tht eitent practicable, provide
to each othar Mutual asiiatanca designed to Increase tht
capability of each Party to enforce Its laws applicable to
tranaboundary shipments of hazardous waste or haiardoua tub-
stancas and to taka appropriate action with reipect to vio-
lations of its laws.
(a) Such assistanca nay ganarally include:
(1) tha exchange of informationi
(ii) tha provision of documents, records and
reports:
dii) the facilitating of on-alte visits to treatnent.
storage, or disposal facilities;
(iv) assistance provided or required pursuant to any
international agreeaenta or treaties in fore*
with respect to the Parties, or pursuant to any
arrangement or practice that Bight otherwise be
applicable!
(v) energency notification of hazardous sltustlons;
and
(vi) other forms of assistance mutually agreed upon
by the Parties.
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.15-
(6) Save in exceptional circumstances, requests
for assistance made pursuant to this Article thill
submitted In writing and translated into the
of the requested State.
(e) The requested State «h«ll provide the requesting
State with copies of publicly available records of
government departments and agencies In the requested
State.
(d) The requested State «ay provide any record or
v
Information In the possession of a government office
or agency, but not publicly available, to the same
extent and under the sane conditions as it would be
available to ita own administrative, law enforcement,
or judicial authorities.
2. The Parties may establish in an appendli to this Annex i
cooperative program relating to the exchange of scientific,
technical, and other information for purposes of the development
of their own respective regulatory mechanisms controlling
hazardous waste and hasardous substances.
A*T!CL£ XXXI
Protection of Confidential Information
The Farttea shall adept procedures to protect the
confidentiality eC proprietary or sensitive information conveyed
pursuant to this Annex, when such procedures do not already
••1st.
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AKTlCte XIV
Damages
1. The country of Import «ay r.quir., as • condition of
tntry, that any traneboundary shipm.nt of hasardous wast, or
haiardoua substances DO cov.r.d by Insurance, bond or othtr
appropriate and effective guarantee.
2. Whenever a tranaboundary ahlpment of htiardoua vaste or
hazardous substancss is carri.d out In violation of this Ann.*.
of tht national la« and relations of th.'partl.s. or of tho
conditions to which •_»»• authorltatlon for l.port «as subj.ct,
or .h.n.v.r th. hasardous wast, or hatardous substances produe.
damag.. to pubUe h.alth. prop.rty or th. .nvlroni..nt in tns
country of import, th. co«p.t.nt authorities of th. country of
..port shall tat. all practicable ..asures and inltlat. and
carry out all p.rtinsnt logal actions that th.y ar. lt««lly
co»p.t.nt to unoortan., 10 that -h.n appllc.bl. In aceord.nc.
with it* Mtionai U« -nd r.g-l.tlon. th. phy.ic.l or Juridical
persons Involv.di
a) return the h.«*rdou. -a.t. or hasardoua substances
to th. country of .iporti
b) r.turn in as much «s practlcabl. th. status quo ant.
of the affected ecosytt.su
e) repair, through co-p.ns.tlon. th. d.-ag.s eaua.d to
.. penoM. property or the environment.
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-17-
co«p.t.nt to und.rtak..
•) to c) of this
Th.
p.r.,r.ph.
„
.„„
........ .
igbpw
of thi. Ann., .hall not b .......
or pr.3u
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-II-
a. Th.
not b. d...wd to pr.judle.
•"«««.« to th. lnt.rn.tion.l Boundary and «.t.r~Co«^iI.
H44 Tr.aty on th. Utilisation of
of th. Colorado and Tiju.«. .lv.r. .Bd of th. 1|0 ^^
ARTICLE XVI
App«ndic«.
Any .pp.ndic.. to thi. Ann.x nay b. .dd.d through .n
of diplomatic not.. .nd ,h.ll ton
thi. Ann.i.
XVII
Aa.nda.nt
Thi. Ann... .nd «y .pp.adle.. .dd.d h.r.to. ..y 6. ...Bd.d
by mutual .gr....nt of th. P.rtl.. through .n .,eh.ng. of
diplomatic not...
ARTICLE XVIII
R.vi.w
Th. P.rtl.. ,h.U ...t « l..,t .v.ry t.o y..r. fro. th.
d.t. of .ntry into fore, of thi. Ann... .t . ti.. ,nd pl.e. to
b. .utu.ll, .gr..d upon. In ord.r to r.vl.. th. .ff.etiv.n...
of it. l«pl...nt.tlon .nd to .gr.. on -h.t.v.r lndivldu.1 .nd
Joint ....ur.. .r. n.e....ry to l.prov. iueh
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ARTXCLI- XXX
Cntry into Force
This Ann*s (hall enter into fore* upon an exchange of
diplomatic notes between the Parties stating that each
haa complete.1 Ita necessary internal procedure*.
Article U
Temination
This Annex shall remain in force indefinitely, unless one
of the Parties notifies the other in wrIting* through diplomatic
channels of its desire to terminate it. in which case the Anne.
shall terminate six Months after the date of such written
notification. Unless otherwise agreed, such termination shall
not affect the velidity of any agreements Ba4e under this Annex.
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-JO-
IN WITNESS WHEREOF the undersigned, being duly authorised
by their respective Governments, have tinned this A/ine*.
DONE «t Washington, In duplicate, this twelfth day
of November, 19>< in the English and Spanish languages, both
teits being eo^ially authentic.
POR THE GOVERNMENT OP THE
UNITED STATES OP AMERICA!
PORja£ GOVERNMENT OP THE
UHfTED>KXICAN STATES I
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