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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320
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
                       in

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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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                                                                    14

 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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                                                                     17

      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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                                                                    18

      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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                                                                   19

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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                                                                     20

 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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                                                                     21

                       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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                                                                     22

 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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                                                                      23

 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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                                                                    24

 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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                                                                    25

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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                                                                     26

                     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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                                                                     27

      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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                                                                      29

 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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                                                                      30

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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                                                                     31

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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                                                                  33

                   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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                                                                     35

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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                                                                    36

                 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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                                                                     37

 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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                                                                   38

 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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                                                                    39

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  '

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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)

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  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(
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              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:

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             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|

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            APPENDIX B
INTERNATIONAL AGREEMENT WITH CANADA

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              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

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                            -  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.

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                             J .
                        to »h, iipottlaf eegfltry
  " '
    '"'
          111
                       in th.
              of
              MI


              h!"?""!**!0^1 quantltyc* th«


                       •* *ntry into
                                         or
                                     of
        (•>  An .pp
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                          - 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.

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                             • 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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                              -J-

                           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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                                -11-

                            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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                              -12-
                           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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                              -14-
                          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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