NEIC
CUSTOMS/EPA
JOINT ENFORCEMENT STRATEGY
HAZARDOUS WASTE EXPORTS
JUNE 1989
National Enforcement Investigations Center, Denver
U.S. Environmental Protection Agency
Office of Enforcement
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
AND
UNITED STATES CUSTOMS SERVICE
OFFICE OF INSPECTION AND CONTROL
CUSTOMS/EPA
JOINT ENFORCEMENT STRATEGY
HAZARDOUS WASTE EXPORTS
JUNE 1989
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Denver, Colorado
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PREFACE
Hazardous wastes generated by a variety of industrial activities in the
United States are routinely exported to Canada, Mexico and other areas of the
world for recycling, reclamation, treatment or disposal. These export activities
are regulated by the Resource Conservation and Recovery Act and by
International Agreements. Since March 1987, our agencies have cooperated in
monitoring this commerce to ensure that shipments are properly documented
and in compliance with applicable regulations and statutes and that the exports
have the full consent of the receiving country.
This Joint Enforcement Strategy supplements and forms a key element of
EPA's March 1988 Enforcement Strategy for Hazardous Waste Exports. The
Joint Enforcement Strategy further defines responsibilities outlined in the
February 1987 Memorandum of Understanding between our agencies and
forms the basis for cooperative enforcement activities.
It is our policy that our agencies will cooperate fully in monitoring
hazardous waste exports and in related enforcement activities to ensure that
such exports occur in an environmentally sound manner.
Samuel H. Banks Edward E. Reich
Assistant Commissioner Acting Assistant Administrator
Office of Inspection and Office of Enforcement and
Control Compliance Monitoring
U.S. Customs Service U. S. Environmental
Protection Agency
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ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
BUILDING 53, BOX 25227. DENVER FEDERAL CENTER
DENVER, COLORADO 80225
DATE June 14, 1989
MEMORANDUM
SUBJECT: Customs/EPA Joint Enforcement Strategy - Hazardous Waste
Exports _
0 JJ
FROM: Carroll G. Wills V****'
Acting Director, NEIC
TO: Edward E. Reich (LE-133)
Acting Assistant Administrator for Enforcement
and Compliance Monitoring
Enclosed are two final copies of the subject enforcement strategy. The
two copies are ready for signature on the Preface page by the Assistant
Administrator-OECM, and the Assistant Commissioner Office of Inspection and
Control, U.S. Customs. Also enclosed is a separate Preface page to be signed
and returned to NEIC for use in producing additional copies for distribution.
Howard Berman and Jim Vincent have met with Charles Davies of
Customs to complete the final strategy and arrange for signatures. Howard has
agreed to complete these arrangements when you have received the two
copies.
The Joint Strategy was reviewed by Customs and by the following EPA
offices: OECM (Civil and Criminal), International Activities, Waste Programs
Enforcement, and Solid Waste. The final version has been revised to reflect
review comments.
The Joint Enforcement Strategy is a supplement to the EPA Enforcement
Strategy for Hazardous Waste Exports and is an element of the Memorandum of
Understanding with Customs. It will be used by both agencies to guide our
cooperative efforts in monitoring hazardous waste exports.
Please contact me or Jim Vincent if you have any questions.
End.
cc: Paul R. Thomson, Jr.
Deputy Assistant Administrator, Office of Criminal Enforcement
Counsel/OECM
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PREFACE
Hazardous wastes generated by a variety of industrial activities in the
United States are routinely exported to Canada, Mexico and other areas of the
world for recycling, reclamation, treatment or disposal. These export activities
are regulated by the Resource Conservation and Recovery Act and by
International Agreements. Since March 1987, our agencies have cooperated in
monitoring this commerce to ensure that shipments are properly documented
and in compliance with applicable regulations and statutes and that the exports
have the full consent of the receiving country.
This Joint Enforcement Strategy supplements and forms a key element of
EPA's March 1988 Enforcement Strategy for Hazardous Waste Exports. The
Joint Enforcement Strategy further defines responsibilities outlined in the
February 1987 Memorandum of Understanding between our agencies and
forms the basis for cooperative enforcement activities.
It is our policy that our agencies will cooperate fully in monitoring
hazardous waste exports and in related enforcement activities to ensure that
such exports occur in an environmentally sound manner.
Samuel H. Banks Edward E. Reich
Assistant Commissioner Acting Assistant Administrator
Office of Inspection and Office of Enforcement and
Control Compliance Monitoring
U.S. Customs Service U. S. Environmental
Protection Agency
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PREFACE
Hazardous wastes generated by a variety of industrial activities in the
United States are routinely exported to Canada, Mexico and other areas .of the
world for recycling, reclamation, treatment or disposal. These export activities
are regulated by the Resource Conservation and Recovery Act and by
International Agreements. Since March 1987, our agencies have cooperated in
monitoring this commerce to ensure that shipments are properly documented
and in compliance with applicable regulations and statutes and that the exports
have the full consent of the receiving country.
This Joint Enforcement Strategy supplements and forms a key element of
EPA's March 1988 Enforcement Strategy for Hazardous Waste Exports. The
Joint Enforcement Strategy further defines responsibilities outlined in the
February 1987 Memorandum of Understanding between our agencies and
forms the basis for cooperative enforcement activities.
It is our policy that our agencies will cooperate fully in monitoring
hazardous waste exports and in related enforcement activities to ensure that
such exports occur in an environmentally sound manner.
Samuel H. Banks Edward E. Reich
Assistant Commissioner Acting Assistant Administrator
Office of Inspection and Office of Enforcement and
Control Compliance Monitoring
U.S. Customs Service U. S. Environmental
Protection Agency
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CONTENTS
I. INTRODUCTION 1
II. SUMMARY 3
III. APPLICABLE REGULATIONS 6
RCRA EXPORT REGULATIONS 6
Notification of Intent to Export 6
Acknowledgment of Consent 7
Rejections 7
Manifests 7
Exception Reports 8
Annual Reports 8
Transporter Requirements 8
INTERNATIONAL AGREEMENTS 9
Canada 9
Mexico 9
DEPARTMENT OF TRANSPORTATION REGULATIONS 10
CENSUS BUREAU REQUIREMENTS 10
IV. EPA ENFORCEMENT STRATEGY 11
V. DEVELOPMENT OF PROCEDURES 13
MANIFEST COLLECTION PROCEDURES 13
SPOT CHECK PROCEDURES 14
HAZARDOUS WASTE HANDBOOK 14
INFORMATION EXCHANGE 15
VI. TRAINING 16
VII. WASTE EXPORTER PROFILES 18
VIII. BORDER SPOT CHECKS 20
EXPORT SHIPMENT MONITORING 20
IMPORT SHIPMENT MONITORING 21
RAIL AND WATER SHIPMENTS 21
IX. COORDINATION/RESPONSIBILITIES 22
APPENDIX A. SECTION 3017 OF RCRA
APPENDIX B. RCRA EXPORT REGULATIONS
APPENDIX C. INTERNATIONAL AGREEMENT WITH CANADA
APPENDIX D. INTERNATIONAL AGREEMENT WITH MEXICO
APPENDIX E. CUSTOMS/EPA MEMORANDUM OF UNDERSTANDING
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I. INTRODUCTION
This document describes the strategy developed by the U.S.
Customs Service (Customs) and the Environmental Protection Agency
(EPA) to fulfill their joint responsibilities for regulating the
export of hazardous waste from the United States to Canada, Mex-
ico and other countries. The strategy continues and expands
cooperative enforcement activities implemented by the two agen-
cies during the past two years. Elements of the strategy are
defined, responsibilities assigned and an implementation plan
established. Provisions for monitoring imports of hazardous
waste into the United States are also included.
The objectives of this strategy are to ensure that all ex-
ports of hazardous waste from the United States are in compliance
with applicable statutes and regulations including the require-
ment that the country receiving the waste has formally consented
to the shipment and that all such exports are reported to EPA.
This strategy is national in scope in that it includes the
enforcement of regulations on import and export shipments of
hazardous waste wherever they enter or leave the country. How-
ever, the main focus of the enforcement activities will be on the
Canadian border crossings in New England, New York, Michigan and
Washington and on selected Mexican border crossings. Currently
there are about 4,000 to 5,000 export shipments of hazardous
waste annually with a total volume in the range of 100,000 to
120,000 tons. Most of these shipments leave the United States
through about 10 ports of exit with shipment frequencies at each
port ranging from less than 100 to more than 1,500 per year.
About 80 percent of the volume is exported to Canada, primarily
by highway. About 15 percent of the volume goes by rail to
Mexico with the remaining 5 percent by water to overseas
locations. Imports of hazardous waste are in the range of 40,000
to 50,000 tons annually, primarily from Canada.
Section 3017 of the Resource Conservation and Recovery Act
(RCRA), which was added by the Hazardous and Solid Waste Amend-
ments of 1984, provides specific statutory requirements applic-
able to the export of hazardous waste from the United States to
any other country [Appendix A]. In August 1986, EPA promulgated
regulations as 40 CFR Part 262, Subpart E, effective November 8,
1986, fully implementing the provisions of Section 3017 [Appendix
B]. Bi-Lateral International Agreements were signed by the
United States with both Canada [Appendix C] and Mexico [Appendix
D] in late 1986 to further implement controls on transboundary
movements of hazardous waste. These statutes, regulations and
international agreements form the regulatory framework for regu-
lation of international shipments of hazardous waste.
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In deliberating on passage of Section 3017 of RCRA, Congress
indicated its intent that EPA and Customs develop a national
program of spot checks of export shipments of hazardous waste.
In addition, Customs is in the best position to assist EPA in the
enforcement of the export regulations and in the monitoring of
import shipments as they enter the country. In February 1987,
EPA and Customs signed a Memorandum of Understanding (MOU) which
sets forth the responsibilities of each agency in carrying out a
cooperative program to enforce the export regulations [Appendix E]
In March 1988, EPA completed an Enforcement Strategy for
Hazardous Waste Exports. The Strategy clearly recognizes the
role of Customs and sets forth several program elements that are
included in this joint strategy.
Several elements of the MOU have already been implemented.
In March 1987, Customs issued Other Agency Compliance Circular
No. 188 that transmitted the regulatory requirements for
hazardous waste exports to all Customs locations and implemented
the collection of hazardous waste manifests by Customs from
export shipments for delivery to EPA. In September 1987, a pilot
border spot check was conducted jointly by EPA and Customs at El
Paso, Texas, with the assistance of State and local agencies. A
pilot training course was also conducted at El Paso in November
1987. In February 1988, EPA notified Customs of 10 ports of exit
that were handling most of the export shipments. Manifest
collection procedures were refined at those locations.
Additional border spot checks were conducted at Detroit and Port
Huron, Michigan; Alexandria Bay, Buffalo, Champlain and Niagara
Falls, New York and Highgate Springs, Vermont during 1988. EPA
contacts were also made with Customs personnel in Douglas, Naco
and Nogales, Arizona; Otay Mesa and San Ysidro, California and
Laredo, Texas during 1988 to provide information on hazardous
waste movements at those locations. Border spot checks and
training of Customs inspectors are continuing in 1989.
Communication patterns have been developed between EPA and
various Customs offices and ports, manifest collection proced-
ures have been improved, compliance with export regulations has
substantially improved, additional border spot checks have been
scheduled and a training program has begun. There is now a need
to fully define and implement a Joint Enforcement Strategy as set
forth in the MOU.
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II. SUMMARY
This Customs/EPA Joint Enforcement Strategy is designed to
ensure that all exports of hazardous waste from the United States
are in compliance with applicable statutes and regulations and
that the exports are reported to EPA. Compliance of import ship-
ments of hazardous waste is also monitored.
Enforcement activities are national in scope with emphasis
on 10-20 ports of exit in New England/ New York, Michigan and
Washington and along the Mexican border which are known to handle
hazardous waste shipments.
Regulations applicable to the transport and handling of
hazardous waste are complex. This strategy focuses on ensuring
that all transboundary shipments of hazardous waste are accompa-
nied by the proper documentation and that the shipments have been
consented to by the receiving country. Key documents are the EPA
Uniform Hazardous Waste Manifest (a shipping paper that identi-
fies the exporter, transporter and receiving facility and that
describes the nature and volume of the waste) and, for exports,
the EPA Acknowledgment of Consent that authorizes the shipment.
EPA has implemented an overall enforcement strategy for the
regulation of hazardous waste exports. Activities conducted as
part of the Customs/EPA Joint Enforcement Strategy form an inte-
gral part of the overall strategy. Elements of the EPA strategy
include a program to inform the regulated community, information
management activities, an inspection strategy and enforcement
response procedures.
Public Information
EPA is developing information packets for informing the
regulated community of hazardous waste export requirements.
Customs will assist EPA in this public information activity by
distributing these packets to waste handlers at the border when
instances of non-compliance are detected.
Manifest Collection
Procedures for collecting Hazardous Waste Manifests from
waste transporters as shipments exit the United States have been
implemented by Customs and EPA at all ports of exit. Revised
procedures are in use at about 10 locations handling most of the
waste shipments. Collected manifests are delivered to EPA for
tracking export shipments. These procedures will be revised and
expanded to additional ports as indicated by experience and as
new export routes are identified.
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Training
EPA will continue development of training for Customs in-
spectors involved in monitoring of waste shipments. The existing
pilot training course will be produced as a video tape during
1989. A handbook for Customs inspectors will be produced as part
of this course. The handbook gives location-specific information
on waste shipments and provides procedures for response to likely
waste transport scenarios. EPA will provide the initial training
at key locations during 1989. Customs will ensure that
appropriate personnel receive the training and will provide the
training to new personnel in an ongoing fashion.
Waste Exporter Profile
A national profile of hazardous waste exports has been de-
veloped from information in the EPA export computer database and
has been used to target ports of exit for regulatory attention
and to define content for the training course. As part of the
training and border spot check programs/ waste exporter profiles
will be developed by EPA for each location handling waste ship-
ments. Several profiles have already been completed and provided
to Customs personnel and to State environmental agencies. These
profiles provide information on the types of waste exported,
containers, transport vehicles, transportation firms, exporters,
destinations of shipments, potential illegal shipments and known
violations of regulations. EPA and Customs will jointly explore
the use of these profiles and the Customs data systems to assist
Customs inspectors in identifying suspected shipments of waste.
EPA has identified to Customs the 10 ports of exit handling
most waste exports. EPA will continually update information on
shipment routes and will cooperate with Customs in implementing
enforcement procedures at additional ports of exit as needed to
ensure most shipments are monitored.
Border Spot Checks
The ongoing program of border spot checks conducted jointly
by EPA, Customs and State and local enforcement agencies will be
continued and expanded to additional ports during 1989. Joint
spot checks will initially be conducted at about 10 to 15 ports
annually at various frequencies. These spot checks will vary
from review of shipping documents only to full inspections of
transport vehicles and sampling of waste loads. Customs will
conduct spot checks of waste transporters as part of routine
border checks for other purposes. Customs will also cooperate
with periodic transporter checks conducted by State environmental
agencies.
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Coordination
EPA is responsible for the overall coordination of enforce-
ment of hazardous waste export regulations. This coordination is
the responsibility of EPA's National Enforcement Investigations
Center (NEIC) in Denver, Colorado, an element of the Office of
Enforcement and Compliance Monitoring. Coordination of Customs
hazardous waste activities is the responsibility of the Office of
Inspection and Control in Washington, DC. At the local level,
coordination responsibilities have been assigned among Customs
Districts and ports, EPA Regions and State and Local enforcement
agency offices to facilitate rapid response to enforcement and
emergency situations.
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III. APPLICABLE REGULATIONS
Hazardous wastes are governed by a complex set of regula-
tions from initial generation until they are ultimately recycled
or disposed of. Export shipments are subject to many of these
regulations. However, there are a few key requirements that are
the focus of this strategy. These are outlined below.
All domestic hazardous waste handlers (generators, transpor-
ters and treatment, storage and disposal (TSD) facilities) are
required to notify EPA of their activities and to comply with
regulations promulgated pursuant to RCRA. These regulations
define what materials are hazardous waste, set minimum standards
for generators, specify standards for waste storage, treatment
and disposal facilities, establish a permit system for TSD facil-
ities and require the use of a hazardous waste manifest to track
all off-site shipments of waste from the generator to ultimate
treatment or disposal. In most states, most of these regulations
are administered and enforced by an EPA authorized State agency.
Additional State requirements usually apply.
All handlers of exports of hazardous waste are subject to
essentially the same domestic RCRA requirements and also to addi-
tional RCRA regulations specific to exports. For exports to Cana-
da and Mexico, Bi-Lateral International Agreements with these
countries impose slightly different requirements than for all
other countries. Export shipments must comply with Department of
Transportation regulations applicable to all shipments of hazar-
dous materials. Exports are subject to certain Census Bureau
requirements.
RCRA EXPORT REGULATIONS
Most of the RCRA regulations specific to exports are con-
tained 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 effec-
tive November 8, 1986. Appendix B contains those regulations
that were revised or promulgated on that date.
Notification c)f Intent tC; Export
A Notification of Intent to Export should be submitted to
EPA about 60 days prior to initiation of any planned export
shipments. This Notification is analogous to a permit
application and may cover export activities for up to 12 months.
The Notification must provide information on the exporter, the
consignee (foreign facility ultimately receiving the waste), the
type(s) of waste (s) to be exported, 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
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manner in which the waste will be treated, stored or disposed of
in the receiving country. Renotification is required 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.
This Notification is a key document in the process to
authorize hazardous waste exports as it provides the basis for
the consent of the receiving country and for prescribing condi-
tions on waste shipments. The Notification will normally not be
used by Customs.
Acknowledgment of Consent
When a receiving country consents to an export shipment, EPA
forwards an Acknowledgment of Consent to the exporter. This
Acknowledgment is analogous to a permit or license to export.
Exports must not take place unless written consent in the form of
this Acknowledgment is received by the exporter. For all
countries except Canada, the Acknowledgment is the cable sent to
EPA by the U.S. Embassy in the receiving country that acknow-
ledges the written consent of the country and describes any terms
and conditions of that consent. An Acknowledgment of Consent
Letter is used for Canadian exports under the terms of the Bi-
Lateral Agreement. The Acknowledgment contains information on
the specific waste which the exporter is authorized to ship.
By Statute, a copy of the Acknowledgment must accompany each
export shipment. All export shipments must be in conformance
with the conditions of the Acknowledgment. An objective of this
joint enforcement strategy is to ensure that all exports meet
this requirement.
Rejections
If a country objects to a shipment of hazardous waste or
withdraws a previous consent, EPA is required to notify the ex-
porter in writing. Shipments may not take place unless this
objection is resolved. Customs may occasionally be requested by
EPA to assist in stopping shipments that have been objected to by
the receiving country.
Manifests
An EPA hazardous waste manifest must accompany all export
shipments in essentially the same manner as for domestic ship-
ments. The manifest must provide information on the generator or
exporter of the waste, the transporter and the facility in the
foreign country receiving the shipment. It also provides a
description of the waste, the number and type of containers and
the volume of the shipment. The point and date of departure from
the U.S. must be shown on the manifest.
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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.
The EPA manifest is a key element in the monitoring of
export shipments for compliance. The manifest must be consistent
with the actual shipment and also with the Acknowledgment of
Consent. The manifest also provides the basis for tracking
export shipments.
Customs will be continually involved in this aspect of com-
pliance monitoring in two ways. By checking export documentation
as the shipment leaves the United States, compliance with the
receiving country's consent can be verified. By collecting mani-
fest copies for submission to EPA, tracking of shipments is
facilitated. This strategy provides for both activities.
Exception Reports
Each exporter is required to file an exception report with
the EPA Administrator if he does not receive a signed copy of the
manifest from the transporter (within 45 days of the date the
waste was accepted by the transporter) showing the date and place
of departure from the U.S. or he does not receive written
confirmation (within 90 days of the date the waste was accepted
by the transporter) that the waste was received by the consignee.
An exception report is also required if the waste is returned to
the U.S.
Customs assists EPA in detecting when exception reports
should be submitted by exporters by alerting EPA when export
shipments are returned to the U.S.
Annual Reports
All exporters of hazardous waste are required to file an
annual report with EPA by March 1 of each year covering all ship-
ments for the previous calendar year. EPA uses these reports to
prepare summaries of waste exports and to detect cases where
exporters or transporters have not complied with the requirement
to deliver manifest copies to Customs.
Transporter Requirements
In addition to the standard requirements for transporters of
hazardous waste, a transporter of an export shipment is prohib-
ited from accepting the shipment if it is not accompanied by an
Acknowledgment of Consent or it does not conform to the Acknow-
ledgment. 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. Customs assists EPA in
monitoring compliance with these requirements.
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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 [APPENDIX C]. 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. However, with respect to
implementation of this strategy, no significant differences exist
in procedures for monitoring export shipments.
Canadian exporters of waste to the U.S. are required to
provide the same Notification of Intent under the bi-lateral
agreement that is required of U.S. exports. The Notifications
are sent to EPA for consent or objection. A Canadian Acknow-
ledgment of Consent is not required to accompany shipments from
Canada to the U.S. Customs may occasionally be requested by EPA
to assist in intercepting import shipments which have been
objected to by EPA or the receiving State.
Hazardous waste shipments frequently move between U.S. ports
of exit in Michigan and New York over Ontario highways or rail-
roads. These transit shipments are also covered by the bi-
lateral agreement. A notification to the transit country is
required at least seven days prior to the shipment.
The agreement provides for a cooperative program of informa-
tion exchange, monitoring and spot-checking of transboundary
shipments in order to ensure that they comply with the regula-
tions of both countries. EPA and Customs are participating in
this cooperative program.
Mexico
A bi-lateral agreement concerning the transboundary ship-
ments 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 D]. The agreement slightly modifies
the notification procedure and also covers the import of hazar-
dous waste into the U.S. from Mexico and transit shipments
through the U.S. and Mexico. Special provisions apply to hazar-
dous waste generated by U.S. companies with manufacturing facili-
ties in Mexico.
The agreement provides that notice of intent to export 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.
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A specific requirement unique to Mexico concerns the genera-
tion 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 for further processing. Any hazardous
waste generated by such processing is to be returned to the U.S.
for disposal. Under terms of the bi-lateral agreement, the U.S.
must accept the returning hazardous waste. However, the returned
waste is an import shipment under RCRA and must comply with U.S.
regulations. Customs will assist EPA in the monitoring of both
import and export shipments along the Mexican border.
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 trans-
porting vehicle and classification and coding of wastes on ship-
ping 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 Notifica-
tions of Intent to export, the Acknowledgment of Consent, mani-
fests and Annual Reports. Applicable DOT regulations are con-
tained 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. Border spot checks will
assess compliance with DOT requirements as well as RCRA
regulations.
CENSUS BUREAU REQUIREMENTS
Census Bureau regulations require that a Shipper's Export
Declaration (SED) be prepared for all export shipments of
materials (including hazardous waste) with a value exceeding
$1500. The SED 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 SEDs 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 $1503, 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 $1500 in value and would require 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 class-
ification of the material are enforceable violations under Census
Bureau regulations.
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IV. EPA ENFORCEMENT STRATEGY
In March 1988, EPA completed development of a national en-
forcement strategy for hazardous waste exports. The strategy
contains four main elements: a program to inform the regulated
community, information management activities, an inspection stra-
tegy and enforcement response procedures. Activities conducted
as a part of the EPA/Customs Joint Enforcement Strategy are key
parts of each of these elements.
Compliance with export specific RCRA requirements could be
improved; part of the problem is due to ignorance on the part of
waste exporters of the export specific requirements. EPA has
implemented a variety of approaches to inform the regulated
community. These include seminars, information packets, direct
contact with exporters and other means. EPA will continue the
development and modification of information packets for the
regulated community and will make these available to Customs
ports handling waste shipments. Customs will assist in the
information program by providing information on border crossing
procedures to exporters and waste transporters and by
disseminating information packets as requested.
EPA has developed a computer database for compiling Notifi-
cations of Intent to Export, EPA Acknowledgment of Consent let-
ters, Annual Reports and Hazardous Waste Manifests. This data-
base is used to assess the status of compliance, develop inspec-
tion targeting strategies, develop waste exporter profiles, track
export shipments and compile summaries of hazardous waste ex-
ports. Customs, through the collection of manifests from export
shipments, will assist EPA in maintenance of this database.
Information from the database will be provided to Customs on a
routine basis.
Two types of inspections are used to assess the status of
compliance with export regulations. Ongoing domestic inspections
of hazardous waste generators, transporters and treatment, stor-
age and disposal facilities by EPA and authorized State agencies
identifies those facilities that are involved in export activi-
ties and evaluates their compliance with notification, manifest-
ing and record keeping requirements. Spot checks of export ship-
ments at the border in joint operations involving Customs, EPA
and State agencies are the other key type of inspections. These
spot checks are discussed in more detail in Section X.
EPA has established detailed procedures for response by EPA
and authorized States to violations of hazardous waste regula-
tions. The EPA Enforcement Strategy for Hazardous Waste Exports
provides that import and export violations will be responded to
in the same manner as domestic violations. For most violations,
this will involve referral of the non-compliance to the EPA
Regional office for enforcement follow-up by the Waste Management
Division and Office of Regional Counsel as appropriate.
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Responses may include warning letters, notices of violation,
administrative orders and civil or criminal litigation. Where
criminal activities are documented or suspected, these cases are
handled directly by EPA's Office of Criminal Investigations. In
some cases, the State environmental and law enforcement agencies
may be involved.
Customs will refer any violations of RCRA regulations to EPA
for follow up and appropriate enforcement response. EPA will
refer any instances of non-compliance with Customs authorities
(false declarations, etc.) to Customs for action. It is likely
that some instances of non-compliance will require joint
participation in enforcement responses including administrative
procedures and both civil and criminal litigation.
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V. DEVELOPMENT OF PROCEDURES
A major EPA responsibility is the cooperative development
with Customs of procedures for use by Customs inspectors in the
monitoring of routine hazardous waste shipments and in detecting,
inspecting, detaining and seizing illegal shipments of hazardous
waste. This will be an ongoing activity with new procedures
developed and existing ones modified as indicated by experience
and changing conditions. Information exchange is occurring
between various elements of Customs and EPA including data on
criminal investigations. This exchange will be continued and
broadened as needed.
Manifest collection procedures have been developed and im-
plemented. These manifest procedures will be periodically up-
dated as needed. Spot checking of export shipments has been
conducted at several highway ports of exit. Spot check proced-
ures will be developed for other ports including rail and water
transportation ports. A handbook will be developed for Customs
inspectors to aid them in identifying shipments of hazardous
waste and taking appropriate enforcement responses. This hand-
book will be location specific and will form the reference book
for a video training course.
Manifest Collection Procedures
RCRA regulations require that the EPA Uniform Hazardous
Waste Manifest accompany all shipments of hazardous waste includ-
ing exports. This manifest includes information on the generator
of the waste, the exporter, the transporter, the destination of
the shipment, a description of each type of waste in the ship-
ment, the waste volume and the number and type of containers. It
is a key document both for the inspection of the shipment and in
the tracking of exports.
Export regulations require that the exporter provide an
extra copy of the manifest to the transporter for delivery to
Customs at the point of exit from the U.S. EPA has developed
procedures for the collection of these manifests by Customs for
subsequent transmittal to EPA for entry into the export database.
These collection procedures were implemented at all Customs ports
of exit in March 1987 by issuance of Other Agency Compliance
Circular No. 188. Additional procedures have since been
implemented at about 10 highway ports of exit and at two rail
ports of exit to Canada and Mexico.
EPA and Customs will continue to monitor the performance of
the manifest collection procedures to ensure that manifests are
collected from all export shipments, the manifests are properly
marked by Customs and that they are transmitted to EPA in a
timely manner. Procedures will be periodically revised if needed
13
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and local adjustments made where appropriate. As additional
highway and rail ports of exit handling waste shipments are iden-
tified, Customs will ensure that manifest collection procedures
are fully operable at these locations. Current projections
indicate that manifest collections may routinely occur at up to
25 ports of exit during the next few years.
Due to the infrequent shipments of waste by water transpor-
tation at a few scattered seaports and different document
processing procedures, the collection of manifests at seaports is
more difficult than at highway ports. EPA and Customs will
explore means of improving the collection of manifests at water
shipping locations.
Spot Check Procedures
At most highway ports of exit, traffic leaving the U.S. is
not routinely inspected by Customs. At some locations, all load-
ed trucks must stop and make personal contact with a Customs
official to present Shipper's Export Declarations or other ship-
ping papers. At other locations, the trucks may stop at a "mail-
box" to deposit the Declarations without any contact with
Customs. To ensure compliance with a variety of export
requirements, Customs conducts spot checks of outbound traffic.
Customs conducts periodic spot checks at many of the highway
ports of exit as part of Exodus or Contraband Enforcement Team
activities. These spot checks are targeted at certain types of
vehicles or contraband but can be used as a basis for detecting
illegal loads of hazardous waste and monitoring compliance of
routine shipments with applicable regulations.
Periodic spot checks will be conducted at locations handling
frequent export shipments as joint exercises with Customs, EPA
and State environmental agency participation. EPA has developed
procedures in cooperation with Customs to conduct border spot checks,
Hazardous Waste Handbook
As will be discussed in Section VI, EPA has developed a
training course for Customs inspectors involved in monitoring of
hazardous waste shipments. This training course has been
presented by EPA in person to Customs personnel at key ports of
exit. The course is being converted into video format so that it
may be distributed to additional ports of exit and also made
available to new personnel whose duties may include monitoring
hazardous waste shipments at ports where the initial training has
been completed. EPA will also provide a location specific
procedural handbook to each port of exit handling hazardous waste
shipments. This handbook provides the "how to" information for
responding to various scenarios likely to be encountered with
transboundary waste shipments. It also provides information on
the known movements of hazardous waste at that location.
14
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Specific contents will include:
— Manifest Collection Procedures
— Identification of Hazardous Waste Shipments
— Responses to Illegal Shipments
— Responses to Leaking Loads
— Shipments Rejected by Foreign Facilities
— Imports
— Spot Checking Procedures
— Waste Exporter Profiles
Information Exchange
This strategy provides for the routine exchange of various
types of information between Customs and EPA. Hazardous waste
manifests, waste exporter profiles, training information and
other documents will continue to be exchanged using established
communication patterns. Evidence of non-compliance will be
exchanged on a case-specific basis.
15
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VI. TRAINING
A major responsibility of EPA is the development of training
for Customs inspectors to prepare them for identification of
hazardous waste shipments and the monitoring of compliance with
regulations. A pilot one-day training course was developed in
1987 and presented by EPA to personnel in El Paso, Texas, in
November 1987. The course was modified in response to this pilot
test. A shorter two-hour version of the course was pilot tested
at the Laredo and Brownsville, Texas, ports in March 1989. The
revised course was presented to Customs inspectors in Buffalo,
Champlain and Niagara Falls, NY, and Highgate Springs, VT in
Spring 1989. This course is being produced as a video tape for
use at all Customs ports which handle waste shipments.
EPA will complete development of the video course during
1989 in cooperation with Customs and will conduct the initial
training of inspectors at about 6-10 key ports. Customs will
ensure that appropriate personnel at key ports receive the train-
ing and will provide the training to new personnel at these loca-
tions on an ongoing basis. Training will also be provided by EPA
and Customs in the same fashion at any new ports of exit identi-
fied as handling significant volumes of waste shipments.
The video training course includes the following major topics:
— Hazardous Waste Regulations
— Export Regulations
— Import Regulations
— Customs/EPA Memorandum of Understanding
— Manifest Collection Procedures
— Waste Handler Profiles
— Transporter Inspections
— Border Spot Checks
— Safety Considerations
— Enforcement Responses
The course emphasizes practical aspects of how to recognize
shipments of hazardous waste and to determine if proper documen-
tation accompanies the shipment. Scenes of various types of
waste transport vehicles and containers are used to acquaint the
inspector with this complex subject. Actual inspection scenarios
are also presented. A Customs inspector handbook is used as the
16
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course reference so that the proper procedures for response to
specific situations can easily be determined at a later date.
The handbook contains local procedures such as contacts if an
illegal load of waste is discovered or if a load is leaking.
The course presents a profile of a wide variety of wastes,
transport vehicles and containers to acquaint the inspector with
the most common hazardous waste shipments even if those may not
be currently present at this location. Location-specific waste
exporter profiles are contained in the course handbook.
When practical, the initial training by EPA may be coupled
with a border spot check so that inspectors may receive immediate
hands on practice in the procedures taught by the course.
EPA will provide each Customs location handling significant
hazardous waste shipments with its own copy of the video training
course and a location-specific handbook. The local Customs of-
fice will be responsible for conducting follow up training of new
personnel and periodic refresher training.
17
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VII. WASTE EXPORTER PROFILES
EPA has compiled a large volume of information on known
exports of hazardous waste from Notifications of Intent to Ex-
port, manifests collected from export shipments and Annual Re-
ports. In addition, information has been collected by EPA Re-
gional offices and State environmental agencies through ongoing
inspection and enforcement programs. Much of this data has been
entered in an export database at the National Enforcement Inves-
tigations Center. This information has been used to prepare a
profile of known export activity on the national scale. This
profile is being updated as new information is received and is
the basis for preparation of location-specific waste exporter
profiles.
The national profile currently contains the following types
of information:
— Waste Types and General Characteristics
— Volumes of Waste Exported by Type and Characteristic
— Types of Containers
— Types of Transport Vehicles
— Major Destinations for Waste Shipments
— Ports of Exit with Expected Shipment Frequencies
— Major Transportation Companies
In addition to this information, data are being compiled on
waste types with significant potential to be exported illegally,
suspect commodities that may be improperly labeled, known types
of sham recycling and other exporter characteristics.
Customs routinely develops information on non-compliance
with other types of regulations by companies or individuals that
may be involved in hazardous waste handling. Through information
exchange procedures, this information is provided to EPA for
inclusion in the profile.
The national profile is used by EPA to identify to Customs
those ports of exit to be targeted for implementation of revised
manifest collection procedures and for the training and spot
check programs. It is also the basis for selecting the content
of the video training course.
Customs uses computer procedures to track import shipments
and determine whether a specific shipment entering the country
should be released without inspection or detained for secondary
18
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inspection. This system operates on a commodity and company-
specific basis. Customs is developing a similar system for moni-
toring export shipments within the next three to five years.
Customs and EPA will explore the use of the EPA waste exporter
profile and the Customs computer systems to identify suspected
waste shipments and other shipments that should receive detailed
Customs inspections.
Profiles specific to each port of exit handling waste ship-
ments are needed to assist Customs inspectors in monitoring the
specific shipments expected at each location. These profiles
have been prepared for several of the locations where spot checks
have been conducted and will be completed for all key ports as
part of the Customs reference handbook for the video training
course. Port specific profiles contain the following types of
information:
— Known Exporting Companies and Locations
— Known Waste Transporters
— Types of Transport Vehicles
— Container Types
— Waste Types, Characteristics and Volumes
— Shipment Frequencies
Histories of violations will be compiled for each location
as the information becomes available from enforcement actions by
EPA, Customs and State agencies.
19
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VIII. BORDER SPOT CHECKS
Export Shipment Monitoring
Depending upon local operating procedures and the configura-
tion of the port of exit, Customs may or may not routinely make
contact with transporters of export shipments of hazardous waste.
At some locations, all transporters stop and make personal con-
tact with Customs inspectors. At other locations, transporters
stop at a drop box to deposit Shipper Export Declarations and
hazard waste manifests. At some locations, outbound traffic is
not observed by Customs and bypassing of Customs facilities by
waste transporters is possible. A program of border spot checks
has been implemented to assist in enforcing compliance with the
manifest drop requirement, to ensure that export shipments have
the proper documentation and to detect illegal shipments.
During 1988, border spot checks were conducted in Michigan,
New York, New England and Texas. This existing program will be
expanded to include about 10 to 15 key ports on an annual basis.
At those locations where routine contact is made with waste
transporters, Customs will continue to routinely verify that
proper documentation accompanies each export shipment. This
monitoring activity will be supplemented by periodic joint
EPA/State transporter checks involving a more detailed inspection
of the transportation vehicle and related licenses, documenta-
tion, etc.
Two types of spot checks (outbound checks by Customs per-
sonnel only and more comprehensive joint spot checks involving
EPA and other agencies) will be performed at the other key
locations. Customs routinely conducts periodic spot checks of
outbound traffic as part of the Exodus Program or Contraband En-
forcement Team activities. Checks for hazardous waste shipments
will be included in some of these routine checks. These will
usually be record checks in which only shipping papers including
hazardous waste manifests are inspected with follow-up inspection
of suspect loads where indicated.
In addition to these Customs operations, joint operations
involving various combinations of Customs, EPA, State environ-
mental agencies, local enforcement agencies and Canadian agencies
will be conducted.periodically to specifically check for compli-
ance with hazardous waste regulations. Procedures for these
inspections have been developed and tested. Some of these spot
checks will involve typical transporter checks with inspections
of transport vehicles and record reviews. Others will be more
comprehensive with sampling of selected waste shipments.
When allegations or evidence of illegal shipments are
obtained by enforcement agencies, targeted inspections of certain
transporters or shipments may be conducted.
20
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Import Shipment Monitoring
All import shipments of all commodities must stop at a Cus-
toms inspection station as they enter the country. Depending
upon the nature of the cargo and the border location, the ship-
ment may be routinely subjected to varying degrees of detailed
inspection by Customs inspectors.
For declared hazardous waste shipments, Customs will conduct
a records review to verify that a hazardous waste manifest accom-
panies the shipment. Both declared and suspected waste shipments
may be subjected to more detailed inspections and may be detained
for EPA or State environmental agency response if necessary.
Rail and Water Shipments
Inspections of hazardous waste shipments exported by rail or
water are not routinely performed at present. EPA and Customs
will jointly explore methods of conducting such inspections.
Procedures for targeting those locations or shipments most likely
to handle hazardous waste will also be evaluated.
When information on suspected illegal shipments by rail or
water is received, Customs will assist EPA in detecting,
intercepting and detaining such suspected shipments.
21
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IX. COORDINATION
EPA has the overall responsibility for coordination of RCRA
hazardous waste export and import regulations. Within EPA, the
EPA Enforcement Strategy for Hazardous Waste Exports establishes
the National Enforcement Investigations Center (NEIC) in Denver,
Colorado, as the focal point for this coordination. In addition,
each of the 10 EPA Regional Offices has designated a hazardous
waste export coordinator to facilitate coordination among EPA and
the various State environmental agencies. EPA will continue this
established communication pattern to facilitate the coordination
of enforcement actions within EPA and authorized State hazardous
waste programs. NEIC will be the focal point for communications
with Customs.
The Office of Inspection and Control in Washington, DC, has
the lead responsibility within Customs for coordination of hazar-
dous waste enforcement activities. Each key port of exit has
designated a coordinator for local activities. Customs will
continue the established communication pattern to facilitate
dissemination of information of national application and interest.
EPA (NEIC) will communicate directly with the designated
coordinator at each port when local procedure modifications are
necessary, when specific enforcement actions are needed at that
location, when spot checks are planned and other similar activi-
ties. The local Customs coordinator will be responsible for
communicating items of national program significance to the
Office of Inspection and Control.
Local communications arrangements for dealing with
emergencies such as spills of hazardous materials, etc. will be
continued. Routine contact among Customs personnel and State and
local enforcement and environmental agencies will be encouraged
for exchange of information relative to hazardous waste
shipments.
22
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APPENDIX A
SECTION 3017
RESOURCE CONSERVATION AND RECOVERY ACT
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§ 6938. Export of hazardous wastes
(a) In general.—Beginning twenty-four months after November 8,
1984, no person shall export any hazardous waste identified or listed
under this subchapter unless
(IXA) such person has provided the notification required in
subsection (c) of this section,
(B) the government of the receiving country has consented
to accept such hazardous waste,
(C) a copy 9f the receiving country's written consent is
attached to the manifest accompanying each waste shipment,
and
(D) the shipment conforms with the terms of the consent
of the government of the receiving country required pursuant
to subsection (e) of this section or
(2) the United States and the government of the receiving
country have entered into an agreement as provided for in subsec-
tion (f) of this section and the shipment conforms with the terms of
such agreement.
(b) Regulations.—Not later than twelve months after November
8, 1984, the Administrator shall promulgate the regulations necessary
to implement this section. Such regulations shall become effective one
hundred and eighty days after promulgation.
(c) Notification.—Any person who intends to export a hazardous
waste identified or listed under this subchapter beginning twelve
months after November 8, 1984, shall, before such hazardous waste is
scheduled to leave the United States, provide notification to the Admin-
istrator. Such notification shall contain the following information:
(1) the name and address of the exporter;
(2) the types and estimated quantities of hazardous waste to be
exported;
(3) 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;
(4) the ports of entry;
(5) a description of the manner in which such hazardous waste
will be transported to and treated, stored, or disposed in the
receiving country; and
-------
SOLID WASTE DISPOSAL 42 § 6939
(6) the name and address of the ultimate treatment, storage or
disposal facility.
(d) Procedures for requesting consent of the receiving coun-
try.—Within thirty days of the Administrator's receipt of a complete
notification under this section, the Secretary of State, acting on behalf
of the Administrator, shall—
(1) forward a copy of the notification to the government of the
receiving country;
(2) advise the government that United States law prohibits the
export of hazardous waste unless the receiving country consents to
accept the hazardous waste;
(3) request the government to provide the Secretary with a
written consent or objection to the terms of the notification; and
(4) forward to the government of the receiving country a
description of the Federal regulations which would apply to the
treatment, storage, and disposal of the hazardous waste in the
United States.
(e) Conveyance of written consent to exporter.—Within thirty
days of receipt by the Secretary of State of the receiving country's
written consent or objection (or any subsequent communication with-
drawing a prior consent or objection), the Administrator shall forward
such a consent, objection, or other communication to the exporter.
(f) Internationa] agreements.—Where there exists an interna-
tional agreement between the United States and the government of the
receiving country establishing notice, export, and enforcement proce-
dures for the transportation, treatment, storage, and disposal of hazard-
ous wastes, only the requirements of subsections (aX2) and (g) of this
section shall apply.
(g) Reports.—After November 8, 1984, any person who exports
any hazardous waste identified or listed under section 6921 of this title
shall file with the Administrator no later than March 1 of each year, a
report summarizing the types, quantities, frequency, and ultimate desti-
nation of all such hazardous waste exported during the previous calen-
dar year.
(h) Other standards.—Nothing in this section shall preclude the
Administrator from establishing other standards for the export of
hazardous wastes under section 6922 or 6923 of this title.
Pub.L. 89-272, Title II, § 3017, as added Pub.L. 98-616, Title II,
§ 245(a), Nov. 8, 1984, 98 Stat. 3262.
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APPENDIX B
RCRA EXPORT REGULATIONS
-------
Federal Regitte* / Vol 51. No. 1S3 / Friday. August 6. 1866 / Rules and Regulations
requirement*. Water pollution control.
Water supply.
LM M.Taosua.
Adminitlfolor.
, iaae.
PART 260-MAZARDOUS WASTE
MANAGEMENT SYSTEM: GENERAL
L Hie authority caution lor Part 280
continues to read at follows:
Authority: Sees. MO* JOWa). 9001 through
3007. 300. J014. 301S. J017.1014 J01B and
TOM. Solid Waste OH00H1 AcL aa amended
by toe Resource Cooaenratiaa a&d Recovery
Act of Wo, ii emended (42 U.S.C. 8905.
an 2(i). OB21 through BB27.8B90.6B3t. B93S.
6837. Btta. 8039. and «B74).
2. Section 260.2 is amended by
revising paragraph (bj to read as
follows:
}28U AvaaeaMyof
eonfldantlaltty of Momwtton.
• • • • •
(b) Any person who submits
information to EPA in accordance with
Parts 260 through 266 of this chapter
may assert a claim of business
confidentiality covering part or all of
that information by following the
procedures set forth ia 12J03(b) 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 Z Subpart
B. of this chapter except that
information required by 128LS3(a)
which is submitted in notification of
intent to export a hazardous waste will
be provided to the Department of State
and the appropriate authorities • a
receiving country regardless of any
claims of confidentiality. However. If no
such claim accompanies *^"* information
when it ia received by EPA, it may be
made available to me public without
further notice to the person submitting
it
PART »1-IDEHTVtCAT!ON AND
USTINQ OF HAZARDOUS WASTE
3. The authority citation for Part 281 ia
revised lo read a* follows:
Authority: Sees. 1008, 2D02fe). 3001.3002.
tnd 3017 of the Solid Waste DtopoMl Act M
amendeV by the Resource Coniervation and
Recovery Ad of 1«7B. •• mended (42 U S C.
ens. eeu(s). era. eazz •nd essr).
4. Section 261.8 is amended by
revising paragraphs (a)(3)(i) to read aa
follows:
otherwise in an mteraatianal agreement
ai specified in ft 262J8:
(A) A person initiating • shipment for
reclamation in a foreign eoanlry. and
any intermediary arranging for the
shipment, mutt comply with the
requirements applicable to a primary
exporter in || 282.53.282.56 (aJllHO.
(6). and (bj. and 262.57. export such
matenals only upon consent of the
receiving country and in conformance
with *e EPA Acknowledgment of
Consent as defined in Subpart E of Part
26*. 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
nol 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.
• • • t •
5. Section 261.5 la amended fay
revising paragraphs (f)(3) and (g)[3)to
read as follows:
j 2*1.5 SeeeWraqulramemafor
hazardous waete generated by
conditionally oiempt ami quantity
(a)***
(3) ' • '
(I) Industrial ethyl alcohol that it
reclaimed except that unless provided
10" '
(3) A cofidrtkmeUy exempt small
quantity generator may either treat or
dispose of bit acute hazardous watte in
an on-tite facility or emnre delivery to
aa off-site treatment, storage or disposal
facility, either of which, if touted in the
U.S. is:
• •••*•
(g) • ' '
(3) A conditionally exempt snafl
quantity generator may either treat or
dispose of hit hazardooa watte ia an on-
site facility or enure delivery to aa off*
site treatment ttoiage or disposal .
facility, either of which, if located in die
U.S.. is:
PART M2-STANDARDS APPLICABLE
TO GENERATORS OF HAZARDOUS
WASTE
6. The authority citation for Part 282
continue* to read as follows:
Authority: Sees. 1008.2002(4 300Z. 3003.
3004.3004. and 1017 of the Solid Waste
Diiposal Act as amended by the Resource
Conservation and Recovery Act of 1676. «s
•mended (42 U.S.C. 6008. OB12(a|. 6B2Z,6823.
88Z4.6021 snd 6937).
7. Section 282.41 is amended by
revising the introductory text to
paragraph (a). (a}(3), (a)(4) and («H5).
and adding a sentence at the end of
paragraph (b) to read as follows-
J282.41 Biennial Report.
[a] A generator who ships any
hazardous waste off-tite to a treatment,
storage or disposal facility within the
United States must prepare and submit
• 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
B700-13A, must cover generator
activities during the previous year, 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 Slates to which waste wa«
shipped during the yean
(4J The name and EPA identification
number of each transporter used, 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 281.
Subpart C or DJ, DOT hazardj^ajs. and.
quantity of each hazardous waste
shipped off-site for shipments lo a
treatment storage or disposal facility
within the United Stales. This
information mutt be listed by EPA
identification number of each such off-
site facility to which waste was shipped.
Reporting for exports of hazardous
waste it not required on the Biennial
Report torn. A separate annual report
requirement ia set forth at 46 CFR 282.58.
8. 40 CFR Part 282 is amended by
revising Subpart E to read as follows:
Sec.
20ZSO Apa&caWlity.
28U1 TJqfliriMaM-
282.52 General requirements.
282.51 Notification of orient to export.
282.54 Special manifest requirements.
28255 Exception report*.
262.50 Annual report*.
282.57 Recordkeeplng,
282.56 International sgnemems. [Rewrved|
> of Hazardous
Watts)
128240 AppRcaMlty.
This subpart establishes requirements
applicable to exports of hazardous
waste. Except lo the extent 1282.58
provides otherwise, a primary exporter
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Federal Register / Vol. 51. No. 153 / Friday. August 8. 1966 / Rules and Regulations 28683
of hazardous waste must comply with
the special requirements^)! 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 Stales
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.
926U1 Definition*.
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 faciiily 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 262.
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 is
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 ia
transported.
•26232 OencrsJraqulraiMRtfc
Exports of hazardous waste are
prohibited except in compliance with
the applicable requirements of this
Subpart and Part 263. Exports of
hazardous waste an prohibited unless:
(a) Notification in accordance with
1282.S3 has 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, ia 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 consent as reflected in
the EPA Acknowledgment of Consent.
(Approved by the Office of Management and
Budget under control number 2050-003SJ
1262.53 tolfflcatlofi 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
C and-D). 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;
(iij The estimated frequency or rate at
which such waste is to be exported and
the period of time over which such
waste ia to be exported.
(iii) The estimated total quantity of
die hazardous waste in units as
specified in the instructions to the
Uniform Hazardous Waste Manifest
Form (6700-22);
(iv) All points 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.). typed) 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 («.«.. 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 wiO 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 lo 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 renotificalion 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)(iv) of this section) has
been obtained and the primary exporter
receives an EPA Acknowledgment of
Consent reflectingjhe receiving
~CuuiiLjjr'« bwnsent to the changes.
(d) Upon request by EPA. a primary
exporter shall furnish lo 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 ia 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 claim is
resolved in accordance with 40 CFR
260.2.
(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
1202.M(h). Where the receiving country
objects to receipt of the hazardous
waste or withdraws a prior 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 Manageatnl tnd
Budget under control number 2050-0035)
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28664 Federal Register / Voi. 51. No. 1S3 / Friday. August g. 1986 / Rules and Regulation
A primary exporter mutt comply with
the manifeii requirements of 40 CFR
282.20-28123 except that:
(a) In lieu of the name, itte address
and EPA ID number of the designated
permitted facility, the primary exporter
must enter the name and aitc address of
the consignee:
(b) In lieu of the name, lite address
and EPA ID number of a permitted
alternate facility, the primary exporter
may enter the name and site address of
any alternate consignee.
(c) In Special Handling Instruction
and Additional Information, the primary
exporter must Identify the point of
departure from the United States:
(d) The following statement must be
added to the end of the first sentence of
the certification set forth in Item 16 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
1262.21. the primary exporter must
obtain the manifest form from the
primary exporter's State if dial State
supplies the manifest form and requires
its use. If the primary exporter's State
does not supply the manifest form, the
primary exporter may obtain a manifest
form from any source.
(f) The primary exporter must require
the consignee 1o confirm in writing the
delivery of the hazardous waste to that
facility and to describe any significant
discrepancies (as defined in 40 CFR
284.7Z(a)) between the narifeet and (be
shipment A copy of the SMofect signed
by suck facility may be seed to confirm
delivery of the hazardous waste.
(g) la lira of the requirements of
I 26i20(d). where a shipment cannot be
deli vend for any reaaoa to the
designated or alternate consignee, the
primary exporter antst
(1) Renotify EPA of a change in me
conditions of the original notification to
allow shipment to a new consignee ia
accordance with 1262J3(c) and obtain
an EPA Acknowledgment of Consent
prior to delivery, or
(2) Instruct the transporter to return
the waste to the primary exporter in the
United States or designate another
facility within the United States: and
(3) Instruct the transporter to revise
the manifest in accordance with the
primary exporter's instructions.
(h) The primary exporter must attach
a copy of the EPA Acknowledgment of
Consent to the shipment to the manifest
which mast accompany the hazardous
waste shipment. For exports by rail or
water (bulk shipment), the primary
exporter must provide the transporter
with an EPA Acknowledgment of
Consent which must accompany the
hazardous waste but which need not be
attached to the manifest except that tor
exports by water (bulk shipment) the
primary exporter must attach the copy
of the EPA Acknowledgment of Content
to the shipping paper
(i) The primary exporter shall provide
the transporter with an additional copy
of the manifest for delivery to the U.S.
Customs official at the point the
hazardous waste leaves the United
States in accordance with f 2fl3.20(g)(4).
(Approved by th« Office of Management and
Budget under control number 2050-0035)
3M2.SS Exception reports.
In lieu of the requirements of 1262.42.
a primary exporter must file an
exception report with the Administrator
if:
(a) He has not received a copy of the
manifest signed by the transporter
stating the date and place of departure
from the United States within forty-five
(45) days from the date it waa accepted
by the initial transporter.
(b) Within ninety (90) days from the
date the waste was accepted fay the
initial transporter, the primary exporter
has not received written confirmation
from the consignee that the hazardous
wasle was received;
(c] The waste ia returned to the United
States.
(Approved by me Office of Management and
Budget and assigned under control number
2050-0035)
836246 Annual report!.
(a) Primary exporters of hazardous
waate shall file with the Administrator
no later nan March 1 of each year, a
report summarizing the types, quantities.
frequency, and ultimate destination «f
all hazardous waate exported during the
previous calendar year.Such reports
shall include (he following:
(1) The EPA identification number,
name, and mailing and she address of
tne exporter!
(2] Tfce calendar year covered by the
report
(3) The name and the address of each
consignee:
(4) By consignee, for each hazardous
waste exported, a description of me
hazardous waste, the EPA hazardous
waste number (from 40 CFR Part 261.
Subpart C or D). DOT hazard dass. the
name and US EPA ID mmber (where
applicable) for each transporter used.
the total amount of waste shipped and
number of shipments pursuant to each
notification
(5) Except for hazardous waste
produced by exporters of greater than
100 kg but less than 1000 kg in a
calendar month, unless provided
pursuant to f 262.41. in even numbered
yearr
(i) a description of the efforts
undertaken during the year to reduce the
volume and toxicity of wasle generated:
and
(ii) a description of the changes in
volume and toxiciiy of wsste actually
achieved during the year in companion
to previous years to the extent such
information is available for years prior
to 1964
(6) A certification signed by the
primary exporter which slates:
I certify under penalty of law that i hive
personally examined and am familiar with
the information submitted in this and all
attached docwnenla. and that based «n my
Inquiry of those Individuate immediately
nporuible for obtaining the Information I
bebeve that the submitted information ia true
accurate, and complete. I am aware tkat there
are tignificant penalties for submitting lake
information including Ike possibility of fine
and imprisonment
(b) Reports shall be sent to the following
address. Office of International Activities (A-
106). Environmental Protection Agency. 401
M Street SW, Washiagtoa. DC 20460.
f Approved by the Office of Management and
Budget under control number 2090-003*)
IMLS7 RscotdMaplna.
IB) For aO exports a primary exporter
must
(1J Keep a copy of each notification of
intent U> export for a period of at least
three yean front the data the hazardous
waste waa accepted ty the initial
traaaportec
(2) Keep a copy of eaefe EPA
Acknowledgment of Consent far a
period of at least three yean from the
date the hazardous waste was accepted
by the initial trasuperten
(3) Keep a copy of each coafirmabon
of delivery of me hazardous waste from
the oonsifjnee tor at least three years
from the dale the hazardous wesle was
accepted by the initial transporter and
(4) Keep a copy of each annual report
for a period of at least three years from
the due date of the report.
(b) The periods of retention referred to
in this section are extended
automatically during the course of any
unresolved enforcement action
regarding the regulated activity or as
requested by the Administrator.
(Approved by the Office of Management end
Budget under control number 2050-003S)
|z*Ul
I
9. Title 40 CFR Part 282 Is amended by
adding new Subpart F to read as
follows:
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Federal Register / Vol. 51. No. 153 / Friday. August 8. 1986 / Rules and Regulation! 28685
nports ol Hazardous Watte
282 BO Import! of haiardoiu waste.
Sutoefift F—import*
maiB,»\,-i
WBCN
{262.60 Imports of hazardous waste.
(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 wasle.
a person must meet all the requirements
of { 282.20(8) 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 siga
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 State if the Stale
supplies the manifest and requires its
use. If the consignment Slate 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:
Sufepwt G—Farmers
1.262.70
A farmer disposing 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 270.264
or 265 for those wastes provided he
triple rinses each emptied pesticide
container ui accordance with
8 281.7(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
8700-22 and a700-22A and Their
Instructions)
11. The instructions to the Uniform
Hazardous Waste Manifest form in the
Appendix to Part 282 is amended to add
under Item 16 a new paragraph after the
first paragraph as follows:
Primary exporters (hipping hazardous
wane* to a facility located outside of the
Untied Slain mult add to the end of the first
icnlence of the certification the following
words "end conforms to the term* of the EPA
Acknowledgment of Content to the
shipment."
PART 263—STANDARDS APPLICABLE
TO TRANSPORTERS OF HAZARDOUS
WASTE
12. The authority citation for Part 263
is revised to read as follows:
Authority: Sees 2002(3), 3002. 3003. 3004.
3005 and 3017 of the Solid Waste Oiiposal
Aci if amended by the Resource
Conservation and Recovery Act of 1976 and
at amended by the Quiet Conunumttes Act of
1970 (42 U.S.C. 6912.6822.8823,0824.6929
and 8937).
13. Section 263.20 ia amended by
revising paragraphs (a). (cL (e)(2L (f)(2)
and (g](3) and by adding paragraph
(g)(4) to read aa follows:
126X20 The 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 262.20. 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 for
exports by water (bulk shipment)).
• • • t •
(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
4 • • « •
if}' ' '
(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.
t t • • t
(«)•*•
(3) Return a tigned 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
corUiauet tonad aa follows:
Authority: Sees. 1006. 2002(a). and 3008 of
the SoM Wastst Disposal Act a» aoeaded by
ike Resource Conservation sad Recovery Act
of 1976. as amended (42 U.S.C. 8805, a012(i|.
and 8826).
1271.1 [Amended!
15. Section 271.1 paragraph (J) ii
amended by adding the following entry
to Table 1 in chronological order
TABLE 1.—REGULATIONS IMPLEMENTING TMC
HAZARDOUS AND Souo WASTE AMEND-
MENTS OM 964
Mi rat at noosapti
» • • • •
Eipora or »——«-r •»•»
16. Section 271.10 ia amended by
revising paragraph [e) to read aa follows
except for the note which remains
unchanged.
4 271.10 Requlrementa for generatora of
hazardous wears*.
(e) The State program shall provide
requirements respecting international
shipments which are equivalent to those
at 40 CFR Part 262 Subparta E and F.
except that
(1) Advance notification, annual
reports and exception report* in
accordance with 40 CFR 282.53. 262.55
and 262.56 shall 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 wiih
40 CFR 262.53.
• * • • •
17. Section 271.11 is amended by
revising paragraph (c] to read as
follows:
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F«deftJ Register / Vol. 51. No. 153 / Friday. August 8. 1986 / Rules and Regulations
• 4V4 4 •
§371* II
(c) The Stale must require the
transporter to carry the manifest dunng
transport, except in the case of
shipments by rail or water specified in
40 CFR 283.20 (e) and (f) and to deliver
waste only to the facility designated on
the manifest. The Slate 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
(he shipment does not conform to the
EPA Acknowledgment of Consent to
carry an EPA Acknowledgment of
Consent to the shipment and lo 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-7-8& ftIS am)
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APPENDIX C
INTERNATIONAL AGREEMENT WITH CANADA
-------
IITNCfX MB 40VUMNUT Of TKI TOITCO
Of MCKXCA AMD TIB OOVtMWWT Of CMADA
COMCfMlJiQ TIB ttAVMOinom NOWUtfT
Off NMMlDOUf MMTC
The «overn»ent of the Vnited Haiti of Aaeriea
Uha United Itatee), and the Qovarnnant of Canada
(Canada). hereinafter called 'The Partlee"i
KCCOOHISX90 that aevere health and environmental
d»n«9» c»y r«i>ilt Iron cha laprepar treatment,
and diipeaal of haaardeua «Mt*;
to «naur« that th« trtataanti atata^a,
•nd dUpoaal of ha«ac«evia *tit» «r« conducted ae •• ta
redue* the rtaki to public health, property, and
environment*! qualityr
RBCOQNlfldO that the eloee tr*dtn« ceUtionehlp
and the iona, coaaon border between the United StatM and
Canada engender opportunities for a generator of hatardoue
wait* to benefit fron uelng the neareat appropriate
diapoMl facility, which nay involve the tranaboundary
ehipment of hacardoua waatar
WBCOGSUIMO further that the aoat effaetiva and
efficient aeana of achieving environaentally eound
manageaent proeeduree for haiardoue waite eroaelng the
United ftatea-Canada border ie through cooperative eftorta
and coordinated regulatory echeaaat
BfiblCVXHO that a bilateral agreement la na«d«d to
faeilitata the control of tranaboundary ehipmenta of
haiardoua traete between the United itatee and Canada f
UA/riWddO Principle 91 of the 1*7) Declaration
Of the United tfatlona Contereaoe on the Hunan lavironaaot,
adopted nt •tockholn. which aaaerta that etatee hnvo. la
accordance Mien the Charter of the united Vationa and tho
principle* of international law, the sovereign right to
etploit their own raeoureea purauaat'to thair own
environmental polieiaa and the raapOMibllity to aneure
that aetivirfM* •»»»•«» «ii«ir )vurtMle«<**« •» ««ntrvfc dw
net eauee deaa^e to tno anvironaant of other etato* or of
araaa beyond the Unite of national Juciadietioni
TnJCXMQ into account OECS Council Deciaiona and
Recouendatlone on tranafrentler aoveaent* of haeardoua
waatea, tho UKEP Cairo Ouldellaea and Principle! for tho
Bnvironaentelly Sound Managenent of Maaardout Waat*. and
reeolutiona of the London Duaping Convention,
Have agreed aa follovai
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- I -
ARTICLE 1
for tha purpoaea e( thle Agraaaanti
fa) "Designated Authority' aeana. In the caao of tha
United Statae eC America, the tnvlronaental Protection
Aftney and. In the eaae of Canada. the Dipartaent of
the environment.
»8aaardoua Waste" atana with rtiptct to C»n»«»,
4tn9*roui goodt. *n4 vlth rttpwt to Oi« Onttod
St*tet . h«nxtfeu« *«»t« »ub)wt to * ••nllMt
r*o,ulrom*nt in cho United •(•»••, •• d*rin«4 by thoiv
r««p«etlv« nitlenal
(c) 'Country ef Sxport" »t«n» tht country (*o> »rtvtoh tho
•hlpovnt e< hattrdoui
(d) "Country of Irporf BMHI th« country to which
hkitrdou* watt* !• avnt (or th« purpoa* of tr*Bfeaont,
•ter»9* (vith th« exception of «hort-t»r« »teri9o
lncid«ntil to tr»n§po«t»tlon) or dl*po««l.
(•) 'Country of Trinttt* *««ni tho country which i*
neither the country ot export nor th* oovntry of
Import, through vheee land territory or Intern*!
»ut ere haiardoue weeta la tranepoxtad, or in vhooo
ports aueh i*aata la unloaded
aaeeption of ahort-tara atoraca ineidantaX to
tranaportatlon) or diapoaal (acillty in tho country of
iaport and the na«a of the paraoa oparatinf tho
faeiilty.
(9) 'Ixportar* aaana. in the caaa of tho Oattad «tataa,
the p«raon defined aa export at, and in the eaea of
Canada, tha paraon defined aa cenelenor, under thai*
reepactlve national tana and reouXatione govaralng
haaardoua naata.
XKICLI 2
OanaraX 0»li«ation
Yha Partlea ahaJi pecalt tha export, laport, and tranalc
of haaardoua «•••*.• aeroaa thalr cocaon border for
treataent. atorace. or dlepeaal purauant to tha t*r«a of
their donaatle :•>••. re^ulatlona and adainiatrativa
practleea, and t^e provlalona of thia Agreeaent.
-------
• I •
ARTICLE 1
fotlflcatiOA to «vo XipoitUc Country
(a) The deaianeted authority of the country of export
•hall notify tht deal gnat ad authority of the country
of lapori of propoeed tranaboundary ahlpaenta of
hetardoua wtete.
(b) The notice referred to in paragraph («) of thie
•fttelo My eovtr an individual •nlpvont or a eeriee
of ahlpaenta extending ever a twelve Death or ieeeer
period and ehall eontala tha followlnf Information*
(i) The exporter 'a naae, addreea and talapnona
nuabar, and if xaqulrad tn eha country of uport.
th« idtnclfieatlon nu»b»r.
(11) tor *ach hactrdout w«*t« typ« ind (or aach
(1) A daaeriptlon of th« tiacardoua waata to bo
•>pert«4, aa idantlflad by tna watt a
identification nuabvr, tha elaaatficatien
•nd tAa ahlppinf naaa aa r«qultad on tha
eaniftat in tha country of axporti
(21 fl»a aatlaatad fraquoney oe rato at which
•ueh «*at« ia to b« «xpor«ad and tha porioc)
of tiaa ovar whloh aacn waata ia to bo
Mportadi
()) Tha oatioatad total ^uutity of tha
hucardoua waata ia unlta aa apaeiflod by tha
•anifaat raqwicad lo tha country of asport)
(«) no point of oatry iato kha country of
iapottr
(V) Tha aoao and addraaa of th» tranaportor(a|
and tha aoana of tranaportation, auch aa tXa
•odo of tranaportation (air, Mobvay, rail,
watar, ate.) and typa(s) of eontainar
{drvma, bo«oa, tonka. ate,)»
(•) A daaartption of th* oanncr in which tha
wtata will be traotad, • tor ad or dlapoaad of
in tha iaportlBc; oouatryi
(7) Tha naoo and aito addiaaa of tha eonalcnaat
(8) An approxiaata dato of tha flrat ahipaont to
' each conelflnco. if avoilabla.
(e) The diilgnaeed authority of tha country of lapozt
•h«ll hav* JC daya frea tha data of i*c»lft of th»
notlea provided puruant to paragrapha (a) and (b) of
thla artlela *.o raapond to auch notlci. Indicating ita
eonaoat (conditional or not) or Ita objection to tha
•sport. Such r*»pon«e will b* trar.eoitted to the
daalgnatad authetlty o< tha country oC export. The
-------
date of receipt of the notice win he Identified in en
acftnowledfe*oBt of receipt eade innedietely toy the
deaitaated authority of the country of ioport to toe
oeuatry «f export.
-------
• I •
). Tha Parties vill •Mftrcti la aonltoriag and
• aaat-checkinf tf«Mbovift4try ahtpaanta of heaardoua
M«ate te enaura. to the extent posilbla. that aueh
ahipaenta aoafora to the ree^iirseente «f th«
applicable legislation aad 01 ma Aaraeaent.
J. To the cittnt any laplutnting rcqulatteai tr«
n*c»*Mry to cevply with thl« Agrctnwt, th* K
will »t •iptditieuily te Uiu* iueh r*gulatieni
consistent with dor ••tie l*w. Fontfinf ouch iMu
th» riztivi «ill MHO DOM tCferto te provltf*
notification In »eoor4*nct with thi« Agrtoaoat wX«ro
current tvguUtorv outhocity la insufficient. The
Partite will pcovidle eech other with a diploM
_ . itlo note
upon the l*«u«nc« end the coving into effect off any
eueh reguletlona.
ARTICLE a
Reedaleeion of Experts
The country of export shell reedelt any shlpeent of
hexerdeus west* that Bay be returned by the country of
iro
irport or transit
AUTICLI T
Saeoreoasat
The Parties shsll.eneure, to the extent poeaifela. that
withia their respeetivo juciMictlono, theit «om«et4o lava
•ad regulations are enforced with reopeet *o tho
transportation, storage( tiaataaat and dlapoeal of
traaeboundary shlpaente of haaardoua waate.
AJtTICU <
Protection of Coafideotlel Xnforaatloo
Xf the provision of technical information pursuant to
artlclee 3 and 4 would require the disclosure of
inforaation covered by agree*ent(s) of confidentiality
between a Party and an exporter, the country of eiport
shall aake every effort to obtaia the consent of the
concerned person for the purpoao of conveying any such
iaforaatlon tc the country of iapoxt or tranoit. The
country of i sport or traaait ahall aake every effort to
protect the confidentiality of such inforasUon conveyed.
-------
I -
The Partial My require, ft* ft condition of entry, that any
tranabounJary aovoaent of haaardoue vaato bo covered by
Inaurance or othor financial guarantee In reepeot to
daaage to third partita ca-jaed during the entire aoveaont
of haaardoua *«ata, Including loading and unloading.
AKTICLI 10
Bffacta on International Agreeaeata
Nothing In thla Agraaaens ahall b« deened to dlainlah the
obllgatlona of tha Fartlaa with rea^act to dlapoaal ol
haiardoua waate at aaa contained In tha 1*72 Leaden
Dunplng Convention.
MT1CLI 11
Ooaattlo Law
Tha proviaiona of thia A^raaaant ahall be aubject to the
applicable laws and ragulatlona of the tartlet.
AUTFCLl
Thla Agreement nay be aaendad by eutual written coaaent of
the Fartlaa or their authoriaed repreaentatlveo.
AATK
Intry into foree
Thla Agraeaent ahall enter Into force on Bovamber I. ItM
and continue in force for five yeara. Xt will
autoMtleally be renewed for additional five year parlode
wnloaa either Party glvee written notice of teraiaetion to
the other at least three eontha prior to the eapiratlon of
any five year period. In any five year period< thie
Afreeaent aay ba teralnatad upon oae year written notice
given by one Party to the other.
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1M WlTOlfl VMCMor, the undersigned, being duly
authorlied by their reeooctive aovernoenta, have eifned
tftii Agreeaent.
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APPENDIX D
INTERNATIONAL AGREEMENT WITH MEXICO
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ANNEX III TO THt AGREEMENT BETWEEN
THE UNITED STATES OP AH MICA
AND THE UNITED NEXICAN STATES
ON COOPERATION POR THE PROTECTION AND IMPROVEMENT
OP THE ENVIRONMENT IN THE BORDER AREA
AGREEMENT OP COOPERATION BETWEEN
THE UNITED STATES OP AMERICA
AND THE UNITED NEXICAN STATES
REGARDING THE TRANSBOUNDARY SHIPMENTS OF
HAZARDOUS WASTES AND HAZARDOUS SUBSTANCES
PREAMBLE
The Government of the United States of America ("the United
States'), and the Government of the United Mexican Statts ('Mexico-),
(•the Parties'),
Recognising that health and environmental damage may result
from improper activities associated with hasardoua
wastts
Raalislng the potential risks to public health, property
and the environment associated with hasardoua substances;
Seeking to ensure that activities associated with the
transboundary shipment of hasardoua waste are conducted so as
to reduce or prevent the risks to public health, property and
environmental quality, by effectively cooperating In regard to
their export and import!
Staking also to aafaguard the quality of public health.
property and environment from unreasonable risks by efCtctively
regulating the tiaort and Import of hasardous substances:
Considering that transboundary shipments of hasardoua
wast* and hasardoua substances between the Partita, If carried
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out Illegally and thus without the supervision-and control of
ths competent authorities, or if Improperly Managed could
endanger the public health, prooerty and environment, particularly
in the United States/Mesleo border area:
Recognising that the eloae trading relationship and the
long conmon border between the Parties make it neceasary to
cooperate regarding tr«nsboundary shipments of hatardous waste
and hasardout substances without unreasonably affecting th«
trade of goodt and services*
•-•affirming Principle 21 of the 1972 Declaration of the
United Nations Conference on the Hunan Cnvironae-.t* adapted at
Stocfchola, which provides that States lave, in accordance with the
Charter of the United Nations and the principles of International
law, the sovereign right to exploit their own resources pursuant
to their own environmental policies and the responsibility to
•nsure that sctivities within their jurisdiction or control do
not cause daaage to the environment of other States or of areas
beyond the Halts of national jurisdiction}
Recognising that Article 3 of the Agreement between the
Parties en Cooperation for the Protection and Improvement of
the environment in the Border Area of 198J provides that the
Parties My conclude specific arrangements for the solution of
cotvaon problems in the Border area as anneies to that Agreement:
Save agrted •» followsi
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AXTICLI I
Oefinltlone
1. 'Oealgnated Authority' means, in the cese of tht
United States. :he Environmental Protection Agency and,
in the caae of leiico, the Secretariat of Urban Development
and ecology through the Subaecretarlat of ecology.
2. 'Hazardous waste' means any waste, as designated or
defined by the apolicable designated authority pursuant to
national policies, laws or regulations, whiefe If improperly
dealt with in activities associated with them, may result In
health or environmental damage.
3. 'Racardous 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 aasoclated with
them, may produce harmful effacts to public health, property
or the environment, and la banned or severely restricted by
the applicable designated authority.
4. 'Activities* associated with hasardous waste or
hatardous substances mean*, as applicable, their handling,
transportation, treatment, recycling, storage, application,
distribution* reuse or other tit 1 Illation.
S. 'Country of esport* means the Party from which the
transboundary Movement of hasardous waste or haserdoue
eubatances la to be Initiated.
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C. "Country of lawort0 aeans tho Party to which the
hatsrdoua waato or hasardouo subatancea arc to b« sent.
This does not includt 'trannit', at moaning tranaport of
haiardoua waate or hatardouo eubttaneis through tha tarrltory
of a Party without beiig Imported through Its Cuatoni undar
applieabla laws and ragulationa.
7. 'Consign*** •••ns tha facility In the country of import
which will ultimately racalve tha hasardoua waata or haiardoua
aubstancaa.
I. "Exporter* means tha phyaical or juridical parson,
whathar public or private, acting on his behalf or aa a
contractor or aubcontractor aipraasly or Implicitly daflnad
•a aiportar undar tha national lawa and ragulationa of tha
country of axport which specifically govarn hatardoua waata
or haxardous aubstancaa.
9. 'Banned or aavaraly raatrictad' aaana final regulatory
action, as daaignated or defined by tha applicable dealgnated
authority, purauant 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 reaaona.
b) Prohibiting or severely Halting the manufacture,
proceaalng, diatrlbution or use of a chemical for
huaan health or environmental reasons.
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ARTICLC IX
General Obligations
1. Tranaboundary shipment8 of hazardous wast* and
hazardous cubstancea •eroaa the common border of the Parties
shell be governed by the terma at thia Annex and their domestic
la«a and regulationa.
2. Cach Party shall ensure, to the extent practicable,
that ice domestic lava and regulations are enforced with respect
to transboundary shipment! of haterdoua wast* and hatardoua
substances, and other substances aa the Part lea may mutually
agree through appendices to thia Anrtx, that ooae dangers to
public ('••Ith, property and the environment.
3. taeh Party shall cooperate In monitoring and epot-
checking tranaboundary shlpaetta acroaa the comaon border oC
haxardoua waste and hasardoua substances to enaure, to the
extent prtcticable* that aueh ahipitenta con font to the
requireajenta oC thia Annex and ita national lawa and regulations.
To this effecti • program of cooperation in this area should be
concluded .through an Aependix to this Annex, including the
exchange of Information reealtiag froai the monltarlng and
spot-checking of transboundary shtpaents which aay be useful to
the other Party.
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HAZAXDOUS WASTE
ARTICLE X1Z
Notification to the Importing Country
1. The -designated authority of the country of eiport shall
notify the designated authority of the country of Import of
transboundary shipments of hatardous waste foe which the consent
of the country of Import is required under the laws or regulations
of the country of export, with a copy of the notification
simultaneously sent through diplonatic channels.
3. The notification referred to in paragraph 1 of this
Article shall bo given at least 43 days In advance of the
planned date of export and may cover an individual shipment or
• series of shipments extending over a twelve-sent)) or lesser
period and shall contain -.he following information for each
shipmenti
•) The exporter's name, address, telephone number.
Identification number and other relevcnt data
reouired in the country of export.
b) By consignee, for each hasardous waste type:
1) A description of the hasardous waste to be exported.
•s Identified by the waste identification number*s)
•nd the shipping descrlptlon(s) required in the
country of export.
11) The estimated frequency or rate at which
such vasts Is to be exported and the period
time over which such waste is to be asported.
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111) The estimated total quantity of the haiardous
wast* In units as soecifled by the aanifvit or
documents required In the country or export.
lv) The point of entry Into the country of import.
v) The Beanc of transportation, including tha node of
transportation and the type of container Involved.
vi) A description of the treatnent or storage to which
the waste will be subjected in the country of import.
vii) The nane and site address of the consignee.
3. In order to facilitate compliance with the requirements
of the Importing -:ountry Cor 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 staking such requirements for Information and
documents known to the exporter. To that end* the country of
import may list such additional required information and documents
in appendices to this Annex.
4. The designated authority of the country of Import shall
have 45 days from 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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9. Th» country of iaport shall have th* right to eaend th*
tarns of IK* proposed ehioment contained in th* notification in
order to glv* its consent.
4. Th* consent of th* country of Import provided pursuant
to paragraphs 4 end 5 of thie Article, nay &• withdrawn or
modified at any tine, pursuant to the national policies, laws
or regulation* of the country of Import.
7. Whenever the designated authority of a country of
export requires notification of or Is otherwise aware of a
transboundary shipment that will be transported through th*
territory of th* other Party, it shall, in accordant* with
its national laws and regulations, notify that Party.
ARTICLE XV
Meadmisiion of Ciports
Tit* country of export shall read/lit any shipment of
haiardoua vast* that may be returned for any reason by th*
country of import.
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HAZARDOUS SUBSTANCES
ARTICLE V
notification of Regulatory Actions
I. When « Party nas banned or severely restricted a
pesticide or chealcal, Its designated authority shall notify
the designated authority of the other Party that such action
has been taken either directly or through an appropriate
intergovernmental organiiation.
2. Th« notice r*f«rr*d to In paragraph I of thu Article
shall contain the following Information, if svallablai
(a) tha nan* of the pesticide or chewiest that is tit*
object of the regulatory action*
(b) s concise summary of the regulatory action taken*
including the timetable for sny further actlone that
•re planned. It the regulatory action bans or
restrict* certain uses but allows otho? uses, such
Information should be Included!
(e) s concise suanary of the reason for the regulatory
action, including sn Indication of the potential
risks to huaun health or the environment that are
the grounds for the sctlon:
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ARTXCLC VI
Notification of Eiporti
1. Zf the country of export becomea aware that an export
of • haiardoua aubetance to the country of import ia occurring.
the daaignatad authority of th« country of aiport ehail notify
tha deaignated authority of the country of import.
2. The purpoae of auch notice ahall be to remind the country
of import of the notification regarding regulatory action provided
purauant to Article 5 and to alert it to the.fact that the export
ia occurring.
9. The notice referred to in paragraph 1 of thla Article
ahall contain the following information, if available!
(a) the name of the exported haiardoua aubatancei
(b) for banned or aeverely reatrlcted chemicals.
approximate date(a) of the exporti
(c) a copy of« or reference to. the information provided
at the time of the notification of the regulatory
actlont
(d) name and addreaa of the contact point for further
information.
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ARTICLC VII
rising of the Notifications
1. Notification o' regulatory actions, required purtuant to
Article S. shall be transmitted as aoon as practicable after
the regulatory action has been takan, and In any event not
later than 90 days following the taking of auch action.
2. When • Party has banned or severely restricted chenicals
or pesticides prior to the entry Into force of this Anne*. Its
designated authority ahall provide an inventory of such prior
regulatory actions to the designated authority of the other
Party.
3. Notification of exports required pursuant ta Article (,
shall be provided at the time tne drat expert of • hazardous
suastanee Is occurring to the Country of import following the
r*c-latorY action and should recur at the tie* of the first
export of the hazardous substance each subsequent year to that
country*
4. When the hasardoue substance being exported has been
banned or severely restricted prior to the entry Into force of
this Annex, the first expect following the regulatory action
shall be considered to be the first export following the provision
of the inventory referred to in paragraph 2 of this Article.
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ARTICLE V1XI
Compliance with Requirements In the Importing Country
In order to facilitate compliance with the requirements in
the inporting country for the import oC hazirdous substances,
the designated authority of the country of eiport will cooperate
by making such requirements, including expected Information and
document!, known to the exporter. To that end, the country of
import nay list such requirements* Information and documents in
appendices to this Annex.
ARTICLE IX
Readnisslon of exports
The country of eiport shall readmit any shipment of
hazardous substances that was not lawfully imported into
the country of import.
GENERAL PROVISIONS
ARTICLE X
Additional Arrangements
1. The Parties shall consider snd. ss appropriate, establish
additional arrangements to mitigate or avoid adverse effects on
health, property and ths environment frost improper activities
associated with hssardous waste and hazardous substances. Such
arrangements may include the sharing of rssesrch data as well
ss ths definition of criteria regarding imminent and substantisl
endsngirment and emergency responses, and may be Included in
appendices to this Annei.
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2. The Parties shall consult regarding experience with
trsnsboundsry shipments of hasardous wastes and hatardeus
substances and. as problems are Identified In the special
circumstances of the United States-tesice border relation-
ship may include through appendices to this Annex, additional
cooperation and mutual obligations aimed at achieving when
necessary a more stringent control of transboundary shipments.
such as provisions to bring uniformity in those relating to
both hazardous wastes and hazardous substanfcee regarding com-
pulsory notification to and consent by the Importing country
for each tranaboundary shipment, as nay become permitted by new
national laws and regulations adopted by the Parties.
ARTICLE XI
Hasardous Haste Generated Proa Raw Materials
Admitted In-Bond
Rasardous waste generated in the processes of economic
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 materlala in accordance with applicable national policies,
laws and regulations.
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MTICtt XII
Information E*ehange and Assistance
1. The Parties shall, to the eitent practicable, provide
co each other eiutual assistance designed to ircreas* the
capability of each Party to enforce Ita lavs applicable to
transboundary shipments of hazardous waste or haiardous sub*
stancec and to take appropriate action with respect to vio-
lations of Its laws.
(a) Such assistance nay generally include:
(1) the exchange of Infomatloni
(11) the provision of documents, records and
reports;
(111) the facilitating of on-slte visits to treatment.
atorage, or disposal facilities)
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(b) lava In exceptional circuastances, requests
for assistance Bade pursuant to this Article shall be
subwltted In writing end translated into t»e Unfuage
off the requested Scat*.
(c) The requested State ahall provide the requesting
State with eoplei of publicly available records of
government departMnts and agencies In the requested
State.
(d) The requested State «ay provide any record or
Interaction in the possession of a government office
or agency, but not publicly available, to the sane
••tent and under the sane conditions as it would be
available to its own adalnistrativs, law enforcement,
or judicial authorities.
2. The Parties aay establish in an appendix to this Annex a
cooperative program relating to the exchange of scientific,
technical, and other information (or purposes of the developaent
of their own respective regulatory Mchanisms controlling
hasardous wast* and haiardoua substances.
AKTICLC XIII
Protection of Confidential Information
The Parties shall adopt procedures to protect the
confidentiality oC proprietary or sensitive information conveyed
pursuant to this Annex, when such procedures do not already
•xiae.
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ARTICLE XIV
Damages
1. The country of isport may require, as a condition of
entry, that any transboundary shipment of hasardous waste or
heiardouo substances be covered by Insurance, bond or other
appropriate end effective guarantee.
2. Whenever a transboundary shipment of hasardous waste or
hazardous substances it carried out In violation of this Anne*,
of the nctlonal lava and regulation* of the Partial, or of the
condition* to which ihe authorisation for import was subject.
or whenever the hatardoua wast* or hatardoua substances produce
damages to public health, property or the environment in the
country- of Iwport. the competent authorities of the country of
export shall taxe all practicable •eaaures and Initiate and
carry out all pertinent legal actions that they are legally
coapottnt to undertake, so that when applicable In accordance
with .It* national laws and regulations the physical or juridical
persons involved!
a I return the hasardoua waste or haiardoua substances
to the country of export!
b) return In as much as practicable the status auo ante
of the affected ecosystean
c) repair* through compensation, the danagee caused to
persons, property or the astvlronnent.
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Th* country of Import than also take, for the aaae purposes.
•11 practicable meaeures and Initiate and carry out all
pertinent lagal action* that It* cuthoritie* ar* lagally
competent to undertake.
The country of ««port shell report to the country of Inport
all measures and legal action* undertaken in the framework of
thla paragraph, and ahall cooperate with the country of Import.
on the baala ot thia Annex or of other bilateral treaties
and agreement* in force between the Parties, and to the astent
permitted by It* national lav* and regulation*, to seek In it*
courts the satisfaction of those Mtter* covered In subparagrapha
a) to cl of this paragraph.
3. The provision* of thla Anne* ahall not be deaned to
abridge or prejudice the Partie*' national laws concerning
transboundary shipments, or liability or compensation for
daaagea resulting from aetlvitle* aaaociated with haiardoua
waste and hasardou* substance*.
ARTICLE XV
tffeet On Other Instruments
1. Nothing in this Annex shall be construed to prejudice
other existing or future agreements concluded between the
Parti**, or affect the right* or obligation* oC the Partle*
under international agreement* to which they are Party.
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2. The provision* or this Annex shall, in particular.
net b« deoMd te prejudice or otherwise affect the function*
entruated to the International Boundary and Hater Cowaisslon.
in accordance with the 1144 Treaty on the BtlUtatton of Haters
of the Colorado and Tijuana River* and of the Rio Grande.
ARTICLE XVI
Appendices
Any appendices to this Annex may be added through an
exchange of diplomatic notes and shall fora an Integral part of
this Annex.
AJtTXCLC XVII
Amendment
This Annex, and any appendices added hereto. Bay be amended
by mutual agreement of the Parties through sn exchange of
diplomatic notes.
AKTICLC mil
Review
The Parties ohall net at least every two years fro* the
date of entry into force of this Annex, st a tine and place to
be mutually agreed upon. In order to review the effectiveness
of its implementation and to agree on whatever individual and
joint Measures are necessary to laprove such effectiveness.
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AP.TXCU XXX
Entry into Fere*
This Ann*• shall enter into Core* upon an ••change of
diplomatic notes between the Parties stating that each Party
h«o complete^ lei necessary Internal procedural.
Article U
Termination
Thu Annex shall remain In totem Indefinitely, unless one
of the Partiee notifies the other In writin/ through diplomatic
channels of its desire to terminate It. in which case the Annex
shall terminate six months after the date of such written
notification. Unless otherwise agreed, such termination shall
not affect the validity of any agreements made under this Annex.
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IN WITNCSS WHEREOF the undersigned, being duly authorlied
by their respective Governments, have signed this fcnntz.
DONt at Washington. In duplicate, this twelfth day
of November, 198C In the English and Spanish languages, both
texts being equally authentic.
POR THE GOVERNMENT Of THE
UNITED STATES Of AMERICAl
PORJJ1E COVEgNHENT OP THE
UlffTEDHSXICAN STATES I
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APPENDIX E
CUSTOMS/EPA MEMORANDUM OF UNDERSTANDING
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PW13932213-01-0
MEMORANDUM OF UNDERSTANDING BETWEEN THE
ENVIRONMENTAL PROTECTION AGENCY
AND
UNITED STATES CUSTOMS SERVICE
FOR ENFORCEMENT OF RCRA $3017
1. PURPOSE
The purpose of this Memorandum of Understanding (MOU) is
co delineate the areas of responsibility of the Environmental
Protection Agency (EPA) and the U.S. Customs Service (Customs)
for the enforcement of requirements applicable to the export of
hazardous waste. EPA and Customs agree that guidance, as set
forth in this MOU. is appropriate to coordinate responsibilities
for enforcement of hazardous waste export requirements.
2. AUTHORITY
A. EPA and the Hazardous and Solid Waste Amendments of 1986
Section 3017 of the Resource Conservation and Recovery
Act (RCRA), 42 U.S.C. $ 6901 e£ seq.. as amended by the Hazardous
and Solid Waste Amendments of 1984 (HSWA) 98 Stat. 3221 e_c
seq., governs the export of hazardous waste. It prohibits the
export of hazardous waste unless: (1) notification of the
intent to export is provided, (2) prior written consent is
obtained from the receiving country, (3) a copy of the prior
written consent is attached to the hazardous waste manifest,
and (4) the export conforms to the terms of the written consent.
Alternatively, if the United States enters into an international
agreement with a receiving country which establishes different
notice, export and enforcement procedures for the transportation,
treatment, storage and disposal of hazardous wastes, the export
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may cake place If ic conforms wlch the terns of such agreement.
Subsection (b) of Section 3017 requires EPA to promuleate the
regulations necessary to implement that Section. Reeulations
recently promulgated pursuant to Section 3017 require, amone
other thines, that exporters of hazardous waste provide a copy of
the hazardous waste manifest to the U.S. Customs Service official
at the point where the hazardous waste leaves the United States,
40 CFR §§ 262.54(1). 263.20(g)(4). The effective date of these
regulations is November 8, 1986. See generally. "Hazardous Waste
Management System; Exports of Waste; Final Rule," 51 Fed. Reg.
28664, 28681 (-August 8-, 1986).
Non-compliance with Section 3017 or regulations promulgated
thereunder may subject the exporter to civil penalties as authorized
by RCRA S 3008(g). In addition, Sections 300,8(d)(4), 3008(d)(6)
and 3008(e) of RCRA authorize imposition of criminal penalties
for violations of hazardous waste export requirements. Further-
more, use of a falsified acknowledgement of consent may subject
an exporter to criminal sanctions under 18 U.S.C. § 1001.
The legislative history accompanying Section 3017 provides that
EPA "should work with the U.S. Customs Service to establish an
effective program to monitor and spot check international shipments
of hazardous waste to assure compliance" with hazardous waste
export requirements. S. Rept. No. 98-284, 98th Cong., 1st Sess. 48.
B. Customs and the Export Administration Act Amendments of 1985
Customs has independent authority to stop, search and
examine shipments of hazardous waste where there is reasonable
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cause co suspect chac chese shipments of hazardous waste are or
are about to be illegally exported. Customs nay on probable
cause seize and detain such suspected illegal exports of hazardous
wastes. Section l2(a)(2)(A) and (B) of the Export Administration
Act (EAA), 50 U.S.C. App. S 2411, as amended by the Export
Administration Act Amendments of 1985, Pub. L. No. 99-64, 99
Stac. 120 (1985) grants Customs broad authority to monitor and
spot check international shipments of hazardous waste Co ensure
compliance with Section 3017 of the HSWA. That Che EAA, as
amended, applies co hazardous wastes is confirmed by t§ 2(10),
2(12) and 16(3), 50 U.S.C. App. 5 2401(12) and (13), 241'5(3).
In addition. Section 113 of the Export Administration Act Amendments
as well as case law recognizes the broad authority of Customs to
conduct outbound border searches in connection with illegal
exports.
C. Other Agencies
This MOU does not supplant the authority of other agencies
which have enforcement authority for export laws. Where
appropriate, EPA and Customs will work with the Department of
Commerce and other federal and state agencies co coordinate
enforcement efforts in areas of .ioint responsibility.
3. SCOPE OF RESPONSIBILITIES
A. EPA agrees, subject co available resources, co:
0 Develop procedures for Cuscoras to identify hazardous
wastes and nocify EPA when shipments of hazardous waste
do noc comply wieh Seccion 3017;
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0 Nocify appropriate Customs officials when they should
take "for cause" inspections of suspect shipments;
0 Promptly respond to Custom's request for assistance in
inspecting, seizin*, detaining, or otherwise handling
known or suspected non-complying shipments;
0 Take the lead on investigating non-compliance with
Section 3017 and bring enforcement actions where
appropriate.
B. Customs aerees, subject to available resources, to:
0 Collect all manifests which transporters deliver to U.S.
Customs officials;
0 Periodically transmit all manifests which transporters
deliver to U.S. Customs officials at the point at which
hazardous waste leaves the United States to: James Prang,
EPA Office of Criminal Investigations, National Enforcement
Investigation Center, Building 53, Denver Federal
Center, Denver, Colorado 80225. All manifests received
by Customs in a given month should be mailed so that
they reach EPA by the tenth calendar day of the following
month. They should be stamped with the port of exit
and date of receipt, and mailed to the above address;
0 Inspect, seize, detain, or otherwise handle non-complying
shipments;
0 Issue a compliance circular to Customs officials which
describes requirements applicable to exports of
bar ' rdous waste;
0 Participate in enforcement actions where appropriate;
0 Where appropriate, provide information, briefings and
training to. Customs officials which will inform and
prepare them to apply the hazardous waste export
requirements.
C. Both Agencies agree, subiect to available resources, to:
0 Develop a joint enforcement strategy which further
implements this MOU. The enforcement strategy will
include a waste exporter profile. It will also target
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porcs of exit through which illegal exports of waste are
most likely occurring, or are expected to occur;
0 Develop and implement a pilot spot checking program,
the details of which will be developed by the joint
enforcement strategy;
0 Exchange information;
c Coordinate with the Department of Commerce, Rureau of
the Census and affected states in the border area,
where appropriate, as discussed supra at Article 2C.
4. PERIOD OF AGREEMENT AND AMENDMENTS
A. This MOU shall continue in effect unless modified by
mutual written consent of both Agencies. Amendments must be
signed by appropriate EPA and Customs officials.
B. Twelve months after the effective date of this MOU, EPA
and Customs agree to discuss the necessity of amending this MOU
or entering into related Interagency Agreements (lAG's).
C. This MOU may be terminated by either party upon a thirty
day advance written notice of the other party. The termination
notice must be signed by appropriate officials of EPA or Customs.
5. EFFECT OF AGREEMENT
A. This MOU does not limit in any way the statutory
authority or jurisdiction of either Agency. It does not cover
enforcement of hazardous substance export requirements under
Federal Insecticide, Fungicide and Rodenticide (FIFRA), 7 U.S.C.
§13* e£ seq. . and Toxic Substances Control Act (TSCA), 15 U.S.C.
§ 2601 e_t seq.
B. This MOU will be implemented, in part, by the joint
enforcement strategy. This MOU authorizes appropriate EPA and
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Cuscoms officials to prepare a joint enforcement strategy.
C. Nothing in this MOU nodifies other existing agreements,
or precludes either Agency from entering into separate agree-
ments setting forth procedures for special programs which can be
handled more efficiently and expeditiously by such special
agreement. These special agreements mav include MO US or lAGs,
governing:
0 Further areas of joint responsibility and cooperation
between the two Agencies, including enforcement of
hazardous substance export requirements under the
Federal Insecticide, Fungicide and Rodenticide Act
(FIFRA), 7 U.S.C. * 136 et seq.. and the Toxic
Substances Control Act (T5CAT7 15 U.S.C. § 2601 et seq. ;
0 Provision of resources for technical support, including
establishment of a pilot training course for the EPA
and Customs staff charged with enforcing Section 3017;
0 Contacts with Mexican, Canadian or other foreign
Customs officials regarding, shipments of hazardous
waste;
0 Disbursement and reimbursement of funds;
0 Responses to border incidents involving hazardous waste
or hazardous substances;
\
0 Implementation of additional procedures and programs to
monitor and spotcheck shipments of hazardous wastes and
prevent non-compliance with S 3017 of RCRA;
* Coordination with states.
6. EFFECTIVE DATE
This MOU will become effective upon signature of both
parties.
7. CONTACTS
For purposes of implementation of this MOU, each Agency
shall work through a single contact point in the other Agencv.
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The contact point for EPA shall be James Prane. Assistant
Director, Office of Criminal Investigations, National Enforcement
Investigation Center, Buildine 53, Denver Federal Center, Denver
Colorado 80225, telephone FTS 8-776-3215. The contact point for
Customs shall be Louis N. Razzino, Senior Customs Inspector,
Exodus Program, U.S. Customs Service, Inspection and Control,
telephone (202) 566-816^.
LEE M. THOMAS
Administrator
U.S. Environmental Protection
Agency
WILLIAM von RAAB
Commissioner of the U.S
Customs Service
/ y
Date
Date
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