United States
Environmental Protection
i Agency
between the
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I
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Table
of Contents
•A Waste Shipments Between
the U.S. and Canada
2 Shared Responsibility and
the Bilateral Agreement
3
What Do I Need to Do if I Want to
Export a Hazardous Waste to Canada? 10
4
What Do I Need to Do if I Want to
Import a Hazardous Waste from Canada? 12
5
Where Can I Find More Information? 14
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Waste Shipments
Between the U.S.
and Canada
or nearly 20 years, the United States and Canada have
worked together to ensure that transboundary waste
shipments are managed safely. Through binational
cooperation, waste shipments are allowed to move across
the border and be managed in an environmentally safe way.
Understanding the procedures governing waste flows between the U.S.
and Canada is important to potential waste importers, exporters, and
concerned citizens alike. For example, hazardous waste importers and
exporters must comply with several federal regulations. Citizens living
in states receiving Canadian waste may also want to learn about the
U.S.-Canadian waste flows in order to appreciate how they and their
surrounding environments are protected.
This brochure provides a basic understanding of current waste
shipments between the two countries, the U.S.-Canadian Bilateral
Agreement, and the major federal regulations controlling hazardous
waste imports and exports. It is not meant to cover every aspect of
the regulatory requirements concerning waste imports, exports and
management within the U.S. For comprehensive guidance on the
regulatory requirements that apply to a specific situation, please consult
the Code of Federal Regulations (CFR) sections referred to throughout
this brochure, your State environmental agency, or the appropriate U.S.
Environmental Protection Agency (EPA) Regional Office.
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Shared Responsibility
and The Bilateral Agreement
WHY DO SOME WASTE SHIPMENTS CROSS THE
BORDER?
iven the strong relationship between the two countries,
a shared 5,500-mile border, and the presence of a
number of waste management facilities in the border
region, it is not surprising that waste shipments cross
the U.S.-Canadian border.
When considering waste management options, generators weigh a
combination of factors, including environmental, economic, social,
and regulatory. For any number of reasons, they may choose to ship
waste off-site and across international lines for proper management.
Some reasons to do so include: (1) a cross-border facility might be
able to recover a certain type of waste and then use it for industrial or
manufacturing processes, (2) a foreign facility specializes in treating,
disposing, or recycling a particular type of waste, (3) the nearest
waste management facility that is capable of handling a particular type
of waste is just over the border from the generator, or (4) the least
expensive management facility is across the border.
WHAT IS THE CURRENT STATE OF U.S.-CANADIAN
WASTE SHIPMENTS?
The United States and Canada have agreed to work together to ensure
the safe management of two of the most prevalent waste streams: (1)
municipal solid waste (MSW) and the ash resulting from its incineration,
and (2) hazardous waste. MSW, which is more commonly referred to
as trash, is generally exported for disposal in specially designed and
permitted landfills that must operate in accordance with specific federal
and state or provincial requirements.
Because hazardous waste poses greater risks to human health and the
environment than other types of waste, both the U.S. and Canadian
governments implement comprehensive "cradle-to-grave" regulatory
programs to ensure that hazardous waste is safely managed from
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its generation to final disposal.
For example, hazardous waste,
regardless of where it is generated,
has to be managed at a government-
approved treatment, storage, or
disposal facility (TSDF) in compliance
with very strict regulations.
Hazardous waste management is
tightly controlled in both countries,
although each has its own regulatory
definition of hazardous waste and
reporting requirements. Canada
estimates that its generators
exported approximately 340,000
tons to TSDFs in the United States
in 2004. During the same time
period, Canadian figures show that
the U.S. exported approximately
455,000 tons of hazardous waste
into Canada. Available data indicate
that the amount of hazardous
waste shipped across the border
has declined since peak volumes in
1999.
According to the most recent
data provided by affected state
environmental agencies, Canada
exported nearly 4 million tons
of MSW to the United States in
2004/2005. Most of the shipments
came from the high population areas
of southern Ontario and the greater
Toronto area. Possibly
!•*-«.. .-''^
Exports MSW to Canada
Imports MSW from Canada
Figure 1: U.S. States Involved
in MSW Imports/Exports with
Canada
Figure 2: U.S. generators in 31
states export hazardous waste to
Canada
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The parties shall permit
the export, import, and
tranmAof hazardous waste
and other waste across
lommon border for
treatment, storage, or
disposal pursuant to the
term
leir domestic
laws, regulations and
administrative practices,
and the provisions of this
Agreement.
— Article 2, General Obligation,
U.S.-Canadian Bilateral
Agreement
because of its proximity and low disposal fees, Michigan received most
of these shipments. Washington, New York, and Virginia also received
appreciable amounts of Canadian MSW. In contrast, the United States
exported roughly 12,000 tons of MSW to Canada that same year,
11,000 of which was shipped from Maine to New Brunswick.
WHAT IS THE U.S.-CANADIAN BILATERAL AGREEMENT?
In an effort to ensure appropriate oversight of transboundary movement
of wastes, the U.S. and Canada signed an Agreement between the
Government of Canada and the Government of the United States of
America Concerning the Transboundary Movement of Hazardous Waste
and Other Waste. Although the original 1986 Agreement only addressed
hazardous waste, the U.S. and Canada agreed in 1992 to expand the
scope of the Bilateral Agreement to include MSW (and the ash resulting
from its incineration), referred to as "other waste," and to implement the
notice and consent provisions for MSW once each country obtained the
necessary authorities.
The U.S.-Canadian Bilateral Agreement creates a blueprint that allows
U.S.-Canadian shipments to move across the border and be managed
in an environmentally safe way. Specifically, the Bilateral Agreement
establishes a detailed procedure for national government-to-government
notice and consent. This process begins with a potential exporter
notifying its government of its intent to export a waste shipment.
Having received this information, the environmental agency of the
exporting country will then forward this notice of intent to export a waste
shipment. Having received this information, the environmental agency
of the exporting country will then forward this notice of intent to export
to its counterpart, which in turn may either consent to the proposed
shipment, object to it, or neither consent nor object if the waste is not
regulated by the importing country. Although the Bilateral Agreement
provides that consent may be given either explicitly or tacitly (by not
objecting within 30 days of receiving notice), in practice both the U.S.
and Canada usually consent explicitly. If the importing country consents
to a proposed shipment, the environmental agency of the exporting
country will then send an Acknowledgment of Consent to the exporter.
At this point, the shipment may commence.
HOW IS THE U.S.-CANADIAN BILATERAL AGREEMENT
INCORPORATED INTO U.S. REGULATIONS?
The United States and Canada committed to incorporate the provisions
of the Bilateral Agreement into their respective regulations. Both the
U.S. and Canada have successfully incorporated the notice and
consent provisions of the Bilateral Agreement for hazardous waste
shipments into their regulations. Thus for these waste shipments, the
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regulated community is subject to each country's domestic regulations
that implement the terms of the Agreement. The U.S. notice and
consent requirements concerning hazardous waste imports and exports
have been codified in Title 40 of the Code of Federal Regulations (CFR),
Part 262.
In order for the notice and consent provisions to apply to MSW, both
countries will have to add the necessary provisions into their respective
domestic laws and regulations. Canada's environmental ministry,
Environment Canada, has recently received such statutory authority and
has begun the process of developing proposed regulations. The U.S.
Environmental Protection Agency
(EPA) does not yet possess the
statutory authority to implement
these provisions in full. However,
stringent standards for maintaining
and operating MSW landfills
ensure that MSW shipments are
managed safely.
WHO MUST COMPLY WITH THE EXPORT
Waste importers and exporters
also should note that other types
of waste, such as construction
and demolition (C & D) debris and
nonhazardous industrial waste, are not covered by the U.S.-Canadian
Bilateral Agreement and consequently are not subject to its notice and
consent framework. International shipments of these wastes are subject
to each country's respective domestic regulations. For more information
on U.S. regulations concerning these waste streams, importers and
exporters should refer to 40 CFR 257 and 258.
WHAT IF ONLY ONE COUNTRY CONSIDERS A WASTE
HAZARDOUS?
Because the United States and Canada have somewhat different
regulatory definitions of what constitutes a hazardous waste, a waste
is sometimes considered hazardous only in one of the countries. The
U.S.-Canadian Bilateral Agreement anticipates this possibility and still
applies in such situations. When differences in classification exist, only
waste importers or exporters in the country that considers the waste
hazardous will have regulatory obligations to fulfill. For example, a
U.S. importer of a nonhazardous waste under U.S. law would not be
subject to U.S. import regulations even when the waste is considered
hazardous under Canadian law. The Canadian exporter, however, would
have to fulfill all the applicable Canadian export requirements before it
would be able to ship such a waste to the U.S. facility.
The party subject to the export requirements is called the
"primary exporter." EPA regulations at 40 CFR 262.51 define
the primary exporter as the person who is responsible for
originating the manifest. This person may be the hazardous
waste generator or any intermediary arranging for export.
Since more than one person could be the primary exporter, the
parties should agree who will implement the primary exporter
requirements.
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SE STUDY:
porting Spent Lead Acid Batteries
ider U.S. regulations (40 CFR 266),
spent lead acid batteries being shipped
for recycling are exempt from import
requirements. However, since Canada
classifies these as a "hazardous
recyclable material," the Canadian
exporter would have to submit an
plication of intent to export and obtain a permit from
Environment Canada in compliance with Canadian export
regulations before any shipments could be sent to the U.S.
WHEN DO IMPORT AND
EXPORT REQUIREMENTS
APPLY?
Before U.S. import/export regulations
apply to any transboundary shipment,
the waste must first be identified as a
"hazardous waste." The U.S. federal
waste law, the Resource Conservation
and Recovery Act (RCRA), defines
hazardous waste according to a
number of factors. First, it must meet
the federal regulatory definition of
a solid waste. Further, the waste must either appear on any one of
four hazardous waste lists or exhibit a hazardous waste characteristic
(ignitibility, corrosivity, reactivity, ortoxicity), as described in 40 CFR 261,
Subparts C and D.
As a general rule, hazardous waste shipments between the U.S. and
Canada are subject to federal import and export regulations. These
include notification, reporting, and record-keeping requirements. Waste
importers and exporters should be aware, though, that there are several
exclusions and exemptions to these regulations. The type of waste
being shipped and the reason for the shipment (e.g., recycling vs.
disposal) often dictate whether the hazardous waste is subject to these
requirements. For example, spent sulfuric acid that is destined for use
in the production of virgin sulfuric acid, instead of for disposal, is not
subject to the manifest or import/export requirements in the U.S. Waste
handlers should contact their state environmental agency to learn if their
shipment might fall into one of these categories.
U.S. waste importers and exporters should also be familiar with the
Canadian regulations that control hazardous waste imports and exports.
Canada separates its hazardous waste into two categories depending
on its destination: shipments intended for disposal are classified as
hazardous waste, while those intended for recycling are categorized as
hazardous recyclable material. For more information on how Canada
defines and regulates hazardous waste, U.S. waste importers and
exporters should consult the Export and Import of Hazardous Waste
and Hazardous Recyclable Material Regulations (EIHWHRMR) and
Transportation of Dangerous Goods Regulations (TDGR).
The U.S. regulations concerning the export and import of hazardous
waste, including those that implement the notice and consent provisions
of the Bilateral Agreement, are described in the following sections.
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Common Hazardous Wastes
with Special U.S. Import &
Export Regulations*
USED OIL SHIPPED FOR RECYCLING
Waste importers and exporters
should see 40 CFR 279 to learn
how they may not be subject to
^_^ the manifest or
A /^^\ ft import/export
requirements
when transporting
used oil.
UNIVERSAL WASTES
Batteries, Pesticides,
Lamps, and Mercury-
Containing Equipment
are subject to import
and export requirements,
but not the manifest if
managed under 40 CFR 273.
BATTERIES SHIPPED FOR RECYCLING
When spent lead acid batteries are
shipped for recycling under 40 CFR 266,
they are not subject to the import and
export requirements.
* Note: When differences in classification exist, only waste
importers or exporters in the country that considers the
waste hazardous will have regulatory obligations to fulfill.
What Aboatstate
JLQRA-is. the U.S. federal
i
v^hat establishes
$ protectivefretmework for
safe waste management
RCRA also allows individual^
states the opportunity to tailoi
jne/r own waste prograrK
to meet their specific neei
provided the state program is
as least as protective as the
federal one. Cons
regulations for managiii>
MSW, C&Ddkbris, industrfal
nonhazardous waste, and
hazardous waste may vary
somewhat from state to state.
For questions concerning
a state regulatory program
or the regulatory status of a
specific waste in a particular
state, waste importers and
exporters should contact the
applicable state environmental
agency. Links to all state
environmental agencies are
provided at http://www.epa.
gov/epahome/state.htm.
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What Do I Need to Do if
/ Want to Export a Hazardous
Waste to Canada?
J
Hazardous Waste
Sending Hazardous Waste
to Canada (still need to get
contact information from
thqJQanadian facility and get
derails about the export's
itinsfamr)
Ackrtov\ffSdgment of Consent
(now I'm allowed to export my
hazardous waste!)
Get Uniform Hazardous Waste
Manifest from approved
supplier (remember special
requirements for exports)
• Carry both the Manifest and
Acknowledgment of Consent
with the Shipment!
• Gef confirmation from
Canadian facility that they've
received my hazardous waste
' Send EPA Annual Report by
March 1st (make sure I don't
have to send a Biennial or
Exception Report this year)
• Keep Records of all important
documents for 3 years!
I j.S. exporters of hazardous waste must comply with all
I applicable laws and regulations (both federal and state),
r including regulations under RCRA contained in 40 CFR
I i Part 262, Subpart E. When shipping hazardous waste
^^^^S to Canada, an exporter must comply with specific U.S.
notification, manifest, reporting, and record-keeping requirements. (See
Figure 4 on page 13.)
Notification: First, an exporter must send to EPA headquarters in
Washington, D.C. a notification of intent to export. This notice must be
submitted 60 days prior to export and can cover all similar hazardous
waste shipments going to the same importing facility for up to a one-year
period. This notification must describe the type and amount of hazardous
waste, its itinerary, the number of shipments expected, and the period
during which shipments will occur. EPA then sends this information to
Environment Canada, its Canadian counterpart. Usually, the reply from
Environment Canada will be either to consent or object to the proposed
shipment. If the materials are not considered hazardous under Canadian
regulations, then the response will be that Canada neither consents nor
objects to the shipment. If an objection is not received within 30 days of
receiving notice, EPA can assume that Canada has consented. If consent
is given, EPA will forward an Acknowledgment of Consent to the exporter
and the shipment(s) of hazardous waste may commence.
Manifest: The exporter must also obtain a Uniform Hazardous Waste
Manifest from an EPA-approved supplier. The manifest is the tracking
document that must accompany hazardous waste shipments. A
completed manifest, as well as a copy of the Acknowledgment of
Consent, must accompany the shipment while it is in transit.
1
_l
F-
C£
16. International Shipments
I I Import to U.S.
Transporter signature (for exports only):
I
I I Export from U.S.
Port of entry/exit:
Date leaving U.S.:
1 7. Transporter Acknowledgment of Receipt of Materials
Figure 3: International Shipments Block of Uniform Hazardous Waste Manifest
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To meet its reporting and record-keeping requirements, the exporter
must receive a signed copy of the manifest from the transporter
indicating the date and place of departure the waste left the United
States. Exporters must also obtain written confirmation that the waste
was received by the specified Canadian facility. A copy of the manifest
signed by the importing facility fulfills this requirement.
There are several exclusions to these general manifest requirements for
a number of specific hazardous wastes. For example, universal wastes,
as defined in 40 CFR 273, are exempt from the manifest requirements,
but are still subject to the import and export regulations.
Reporting: Hazardous waste exporters must file an annual report with
EPA headquarters by March 1 of each year. This report summarizes the
exporter's shipments of hazardous waste over the previous calendar
year.
Further, annual reports submitted during even-numbered years by
exporters shipping more than 1,000 kg of hazardous waste monthly
must also describe all efforts undertaken to reduce the volume and
toxicity of the hazardous waste.
In addition, exporters not receiving either a signed copy of the manifest
from the transporter or a written confirmation from the Canadian facility
that the waste has been delivered must file an exception report to EPA,
explaining the efforts taken or being taken to locate the shipment. An
exception report is also required if the waste is returned to the U.S. for
any reason.
Record-Keeping: Finally, exporters are required to keep copies of
relevant documents for three years, including any notices of intent to
export, Acknowledgments of Consent, confirmations of delivery from
Canadian facilities, and all reports submitted to EPA.
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Notifications, Manifests, an
Reports sent to EPA Vfo
headquarters
"niust be addressed to:
Office of Enforcement and
Compliance Assurance
Off/cVof Federal Activities,
International Compliance Division
(2254M
Environmental Protection Agency
1200 /ttwwsy/va/i/a Avenue, NW
Washington, DC 20460
What Do I Need to Do if
/ Want to Import a Hazardous
Waste from Canada?
'n order to import hazardous waste from Canada, U.S. importers
must comply with all applicable domestic laws and regulations (both
federal and state), including those under RCRA codified in 40 CFR
Part 262, Subpart F. (See Figure 5 on page 13.)
Notification: The importing treatment, storage, or disposal facility
must provide written notice to its EPA Regional Office at least 4 weeks
in advance of receiving an expected hazardous waste shipment. This
notification is only required prior to the first shipment and covers all
similar shipments from the same Canadian source indefinitely.
Manifest: Imports of hazardous waste require a manifest. The importer,
rather than the Canadian generator, fills out the manifest prior to
the waste entering the U.S. The manifest must include both contact
information for the Canadian exporting facility as well as the U.S.
importing facility. Importers who are not also the receiving TSDF must
provide an additional copy of the signed manifest to the receiving TSDF,
which then must be submitted to EPA within 30 days by the TSDF.
Reporting: Finally, any TSDF importing hazardous waste must file a
Biennial Report by March 1 of each even-numbered year to its EPA
Regional Office. This report summarizes the importing facility's waste
activities over the past two years.
12
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Generator decides to
export hazardous waste
notifies EPA 60
Exporter notifies EPA 60
days before shipment is
scheduled to commence
EPA forwards
Environment Canada the
Notice of Intent to Export
Environment Canada
may either consent
(expressly or tacitly)
or object
I *
EPA sends exporter an
Acknowledgement of
Consent if consent is
given and export may
commence (if objection
is given, hazardous
waste shipment may not
commence until
objection is removed)
Exporter completes
manifest and attaches it
and Acknowledgement
of Consent to the
shipment
Transporter must date
and sign manifest as
shipment crosses border
Canadian facility
receives waste shipment
Canadian facility sends
confirmation that
shipment was received
Exporter receives
confirmation from
facility that shipment
was received
Exporter files annual
report with EPA by
March 1 (Biennial/
Exception Reports as
required)
Figure 4: Exporting Hazardous Waste to Canada
Importing Hazardous Waste v
To Do List
•s.
• Sfay in contact with exporting
Canadian Facility \
• 7VQ7E: if I'm the receiving
TSDF, then I have to notify
the appropriate EPA Regional
Office at least 4 weeks before
hazardous waste shipment
expected (but, I only have to do
this once!)
Domestic TSDF decides
to accept hazardous
waste from Canadian
generator
Receiving TSDF notifies
EPA 4 weeks in advance
of expected shipment
I '
After receiving
consent, Canadian
generator exports
hazardous waste
shipment
Shipment enters
United States
U.S. importer assumes
generator responsibilities
including initiating
manifest
Transporter signs
manifest and delivers to
domestic TSDF
TSDF sends manifest to
EPA within 30 days of
shipment receipt and
submits Biennial Reports
every even number year
• / have to prepare a Uniform
Hazardous Waste Manifest
from an approved supplier to
accompany the shipment
,
• NOTE: if I'm the receiving
TSDF, I also need to send a
copy of the manifest to EPA
in Washington, D.C. within 30
days
• Remember: if I'm the receivi
facility, I also need to send
a Biennial Report to EPA's
Regional Administrator
describing my waste activities
and other relevant info
Figure 5: Importing Hazardous Waste From Canada
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Where Can I Find
More Information?
14
INFORMATION ON U.S. REGULATIONS
International Trade in Hazardous Waste: An Overview
www.epa.gov/compliance/resources/publications/monitoring/programs/
importexport/trade. pdf
This guide describes in general terms the international and domestic
requirements applicable to U.S. hazardous waste exports and imports.
It also describes the roles that the U.S. Environmental Protection
Agency (EPA) and the U.S. Customs Service play in this process. It is
designed to provide the general public with a basic understanding of
the operation and control of this commerce.
The Import-Export Program
www.epa.gov/epaoswer/osw/meeting/pdf02/heiss.pdf
This document describes the EPA's Import-Export Program
responsibilities, and describes the general obligations of U.S. entities
importing or exporting with foreign countries.
Collection of Materials on Import/Export Regulatory Requirements
www.epa.gov/epaoswer/osw/internat/guide2.htm
This collection of materials provides a description of the federal
regulatory requirements for importing and exporting hazardous waste
under RCRA. It introduces the special provisions for hazardous waste
that is generated domestically and subsequently shipped outside of the
United States, as well as hazardous waste generated elsewhere and
shipped into the U.S.
RCRA Orientation Manual
www.epa.gov/epaoswer/general/orientat/romtoc.pdf
This manual serves as an introduction to the various facets and basic
structure of the RCRA program that regulates solid waste, hazardous
waste, and underground storage tanks.
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RCRA in Focus
http://www.epa.gov/epaoswer/hazwaste/id/infocus/index.htm
RCRA in Focus (RIF) provides an overview of the RCRA regulations
affecting specific industry sectors. Intended as a guide for small
businesses, RIF presents the lifecycle of a typical waste for each
industry and focuses on recycling and pollution prevention options.
RCRA Online
htt p: //www. e pa. g ov/rc rao n I i n e/
The RCRA Online database is designed to enable users to locate
documents, including publications and other outreach materials, that
cover a wide range of RCRA issues and topics.
Resources for Large Quantity Generators (LQG)
http://www.epa.gov/osw/gen_trans/lqg_resources.htm
Hazardous Waste Requirements for Large Quantity Generators
(LQG)
http://www.epa.gov/epaoswer/hazwaste/gener/lqgpdf.pdf
Small Quantity Generator (SQG) Handbook
http://www.epa.gov/epaoswer/hazwaste/sqg/handbook/sqg_bk.txt
Uniform Hazardous Waste Manifest
http://www.epa.gov/epaoswer/hazwaste/gener/manifest/
Find more information on the Uniform Hazardous Waste Manifest, the
Manifest Registry, and the upcoming e-manifest system on this website.
State Agencies: Where You Live
http://www.epa.gov/epahome/state.htm
This website provides links to all state environmental agencies.
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Code of Federal Regulations (CFR)
http://www.gpoaccess.gov/cfr/index.html
This site allows you to search specific regulatory provisions applying
to hazardous waste imports and exports, and hazardous waste
identification.
For more detailed information about hazardous and nonhazardous
solid waste, please see the Office of Solid Waste's Homepage at
www. epa.gov/osw.
INFORMATION ON CANADIAN REGULATIONS
Environment Canada
www.ec.gc.ca/
Environment Canada is the regulatory body responsible for regulating
the international movements of waste.
Environment Canada's Waste Management Division
www.ec.gc.ca/wmd-dgd/
Formerly known as the Transboundary Movement Branch (1MB), the
Waste Management Division is responsible for implementing terms
of international agreements aimed at the monitoring and control of
transboundary movements of hazardous wastes, hazardous recyclable
materials, and nonhazardous wastes. This site provides details on the
division's responsibilities and the Canadian regulations covering the
transboundary movement of various wastes. Environment Canada's
Waste Management Division is developing regulations under the
Canadian Environmental Protection Act, 1999 (CEPA 1999) to control
international movements of non-hazardous wastes.
Backgrounder on Hazardous Waste Management in Canada
www.ec.gc.ca/press/2005/050817_b_e.htm
This site offers a background of hazardous wastes and the Canadian
regulations that assure safe management of these wastes.
Public Consultations
www.ec.gc.ca/CEPARegistry/participation
Pertinent information regarding ongoing consultations is available
through the CEPA Environmental Registry.
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