United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-96-046
vvEPA
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
Transporters
(40 CFR Part 263)
Updated July 1996
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DISCLAIMER
This document was developed by Booz-Allen & Hamilton Inc. under contract 68-W6-0016 to EPA. It is intended
to be used as a training tool for Hotline specialists and does not represent a statement of EPA policy.
The information in this document is not by any means a complete representation of EPA's regulations or policies.
This document is used only in the capacity of the Hotline training and is not used as a reference tool on Hotline
calls. .The Hotline revises and updates this document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency. Thus document
is not intended and cannot be relied upon to create any rights, substantive or procedural, enforceable by any
party in litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers:
National toll-free (outside of DC area)
Local number (within DC area)
National toll-free for the hearing impaired (TDD)
(800) 424-9346
(703)412-9810
(800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Standard Time,
Monday through Friday, except for federal holidays.
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TRANSPORTERS
CONTENTS
1. Introduction '.. 1
2. Regulatory Summary , ,,,,,. 3
2.1 EPA Identification Number 3
2.2 Permits, Licenses, and Insurance 3
2.3 Transfer Facilities 4
2.4 Compliance with the Manifest 4
2.5 Modes of Transportation 5
2.6 Exporting Hazardous Waste 7
2.7 Transporter as a Generator 7
2.8 Hazardous Waste Discharges 8
3. EPA/DOT Interface.... 9
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Transporters - 1
1. INTRODUCTION
Section 3003 of the Resource Conservation and Recovery Act (RCRA) requires EPA
to promulgate standards for hazardous waste transporters that will protect human
health and the environment. In response, EPA adopted certain Department of
Transportation (DOT) regulations governing the transportation of hazardous waste
(49 CFR Parts 171-179). EPA worked with DOT to develop the RCRA transporter
regulations, found in 40 CFR Part 263. These regulations establish management as
well as transportation standards for hazardous waste transporters.
When you have completed this module you will be familiar with the regulatory
requirements for transporters of hazardous waste. Specifically, you will be able to:
List the conditions and requirements for a transfer facility
Identify transporter recordkeeping and manifesting requirements
« Identify transporter requirements when exporting hazardous waste
« State the conditions under which a transporter is subject to generator
regulations
Cite the CFR section covering the transporter responsibilities for hazardous
waste discharges.
Use this list of objectives to check your knowledge of this topic after you complete
the training session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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2 - Transporters
The information-in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Transporters - 3
2. REGULATORY SUMMARY
As part of RCRA's comprehensive hazardous waste management program, EPA
promulgated regulations governing the safe transport of wastes from generator to
treatment, storage, or disposal facility (TSDF), or to other appropriate destinations
(40 CFR Part 263). Part 263 applies to carriers transporting hazardous waste within
the United States when that waste is subject to the manifesting requirements of Part
262, Transportation, as-defined in §260.10, means "the movement of hazardous
waste by air, rail, highway, or water," EPA promulgated the transporter
requirements to be consistent with appropriate DOT regulations. In general,
transporters of hazardous waste must comply with the general requirements of Part
263, as well as the specific DOT requirements referenced throughout the transporter
regulations.
/
Not all waste transportation is regulated the same way. Part 263 does not apply to
the on-site movement or transportation of hazardous waste because a manifest is
not required for on-site shipment. Transporters are required to comply with the
regulations in Part 262 if they import hazardous waste into the United States from
abroad or if they mix hazardous wastes of different DOT shipping descriptions in a
single container (§263.10(c)). There are also specific requirements for transporters
exporting hazardous waste outside the United States (§§263.20(c) and (g)).
2.1 EPA IDENTIFICATION NUMBER
A transporter is required to obtain an EPA identification (ID) number before
transporting hazardous.waste (§263.11). Transporters obtain EPA ID numbers by
completing and submitting the Notification of Regulated Waste Activity Form (EPA
Form 8700-12). EPA issues ID numbers for primary offices or places of business, not
individual transporting terminals. For example, separate truck terminals, owned by
the same company operate under the same EPA ID number (45 FR 12752;
February 26, 1980). This differs from generator ID numbers, which are site-specific.
2.2 PERMITS, LICENSES, AND INSURANCE
Transporters do not need RCRA permits if they comply with Part 263. A RCRA
permit is required, however, if the transporter stores hazardous waste longer than
10 days or treats, disposes, or otherwise actively manages hazardous waste at their
facility. In addition, states often require special permits or licenses for transporters.
Although EPA does not require transporters to have liability insurance, the Federal
Motor Carrier Act, implemented by DOT, does require it (implementing regulations
are codified at 49 CFR Parts 171-179).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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4 - Transporters
2.3 TRANSFER FACILITIES
A transfer facility, as defined in §260.10, is an area used to temporarily store wastes on
route to a treatment, storage, or disposal facility (TSDF). Transfer facilities may be
carrier terminals, loading docks, and other areas where waste is kept during the
normal course of transportation (e.g., when drivers change shifts). Transporters may
store manifested shipments of hazardous waste in containers at a transfer facility for
10 days or less without a storage permit under §263.12 (45 FR:86966; December 31,
1980).
Transfer facilities are not required to operate under RCRA storage permits when the
hazardous waste is held during the normal course of transportation and the waste is
manifested, kept in containers meeting DOT packaging requirements, _and stored
less than 10 days. Although there is no specific time limit for a hazardous waste
shipment to reach the designated facility, §262.42(a) requires large quantity
generators to contact the transporter and the owner or operator of the designated
facility within 35 days of the date the initial transporter accepted the waste if the
generator does not receive a signed copy of the manifest from the designated facility.
The large quantity generator must then submit an Exception Report to the EPA
Regional Administrator stating that he or she has not received a copy of the
manifest within 45 days of the date the waste was accepted by the initial transporter.
Small quantity generators have reduced reporting requirements under §262.42(b).
The requirements to contact the transporter and to report the discrepancy prevents
waste from being held indefinitely at a particular facility.
2.4 COMPLIANCE WITH THE MANIFEST
EPA created a tracking mechanism to ensure that hazardous waste sent to a TSDF
actually reaches its destination. The manifest is the central element of this system.
.The Uniform Hazardous Waste Manifest form (EPA Form 8700-22) and its instructions
are in the appendix to Part 262. The manifest is the control and transport document
that accompanies the waste from its generation to its final destination.
Part 263, Subpart B, dictates transporter responsibilities for the manifest system as
well as recordkeeping requirements with which a transporter must comply in
transporting hazardous waste. Before hazardous waste can be transported, the
transporter must sign and date the manifest (§263.20(d)(l)). This enables the
transporter to formally acknowledge the acceptance of hazardous waste from the
generator and return a signed copy to the generator before leaving the generator's
property (§263.20(d)(2)). The transporter must then deliver the hazardous waste
shipment to the next transporter, the designated facility, or the alternate facility
listed on the manifest or the place outside the United States designated by the
generator (§263.21(a)). If the waste cannot be delivered.to the designated receiver,
the generator must be contacted for further instructions, and the manifest must be
The information in this document is not by any means a complete representation of EPA s regulations or policies,
but is an introduction to the topic used for Hotlii
line training purposes.
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Transporters - 5
revised accordingly (§263.21(b)). The manifesting responsibilities vary depending on
the mode of transportation (i.e., highway, water, rail, or air).
2.5 MODES OF TRANSPORTATION
Transportation of hazardous waste from the generator to the designated facility can
be accomplished by any means of transportation. The regulations establish
guidelines for the proper handling and recordkeeping of hazardous waste
transported by highway, water, rail, or air. The requirements for each method of
transportation are discussed below.
HIGHWAY SHIPMENTS
Under §263.20, highway transporters must complete the following manifest and
recordkeeping requirements:
Sign and date the manifest
Leave a signed and dated copy of the manifest with the generator
Ensure that the manifest accompanies the waste
Obtain the dated signature of the next transporter or the owner/operator of
the designated facility
Keep a copy of the manifest for at least three years (all three-year record
retention requirements are extended in case of an enforcement action).
WATER (BULK) SHIPMENTS
Highway transportation is not the only method for shipping hazardous waste. In
§263.20(e), EPA established regulations governing the shipment of hazardous waste
by water. Water transporters must comply with the directions on the manifest,
obtain an EPA ID number, and be listed on the manifest. When shipping hazardous
waste by water, however, the manifest is not required to physically accompany the
shipment. In addition, if the waste is delivered directly to the TSDF, the transporter
must (§263.20(e)):
Ensure that a shipping paper (e.g., waybill), containing the same information
as the manifest, accompanies the waste (excluding the EPA ID number,
generator certification, and signatures)
Obtain the dated signature of the owner or operator of the designated facility
on the shipping paper
The information in this document is not by any means a complete representation ot hFA s regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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6 Transporters
Obtain the dated signature of the water transporter on the manifest (if
delivering the waste to the initial water transporter)
Forward the manifest to the designated facility, and retain a copy of the
shipping paper for three years.
RAIL SHIPMENTS
Rail transport is another method by .which hazardous waste is shipped to the
designated facility (§263.20(f)). As with the other methods of transport, rail
transporters must have an EPA ID number and ensure the designated facility is
listed on the manifest. For rail shipments of hazardous waste, however, the
transporter is not required to carry the manifest. Instead, a standard waybill or other
shipping document containing all the manifest information except EPA ID number,
generator certification, and signatures may accompany the waste (45 FR 12739;
February 26,1980).
Initial Rail Duties (§263.20(0(1))
Initial rail transporter's duties include:
Signing and dating the manifest
Returning a signed copy of the manifest to the non-rail transporter
Retaining a copy of the manifest for three years
Forwarding at least three copies to the next non-rail transporter or
designated facility (if the shipment is delivered by rail), or the last rail
transporter designated to handle the waste in the United States.
Rail to TSDF (§263.20(f)(3))
For rail delivery to the designated facility, the rail transporter must obtain the dated
signature of the owner or operator of the designated facility oh the manifest or
shipping paper, and retain one copy of the manifest or shipping paper for three
years.
Rail to Non-Rail (§263.20(0(5))
For delivery by rail to a non-rail transporter, the rail transporter must obtain the
dated signature of the non-rail transporter on the manifest. If the hazardous waste
is leaving the United States, the transporter must receive an Acknowledgment of
Consent from the generator, and ensure that it accompanies the shipment at all
times. The Acknowledgment of Consent is consent from the receiving country to
accept the shipment. Note that this requirement is not specific to rail, but also
applies to all other-modes of transportation.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Transporters - 7
Pipeline Shipments
Transportation of hazardous waste by pipeline does not meet the RCRA definition
of transportation (§260.10) and therefore is not subject to Part 263 regulations. Piping
as a mode of transport is not specifically addressed by RCRA, nor is it prohibited;
however, hazardous waste piped off-site may be subject to other provisions of
RCRA.
2.6 EXPORTING HAZARDOUS WASTE
There are additional requirements for transporters who export hazardous waste
(263.20(g)). Before waste can be exported to a foreign country, the generator (or
primary exporter) must obtain the country's approval for the shipment via an
Acknowledgment of Consent that is processed by the State Department. The
regulations governing exports of hazardous waste are found in §262.53.
Transporters of hazardous waste that is exported also must:
Ensure that the manifest and Acknowledgment of Consent accompany the
waste; in the case of rail and water shipments, the Acknowledgment of
Consent must go with the waste but the manifest does not need to be attached
to the shipping paper
Verify that the waste conforms to the Acknowledgment of Consent
Ensure that the date the hazardous waste left the United States is indicated on
the manifest
Sign the manifest and retain a copy
Return a signed copy of the manifest to the generator
Give a copy of the manifest to the United States Customs Official when the
waste leaves the country
Retain the manifest for three years.
2.7 TRANSPORTER AS A GENERATOR
Under §262.60, anyone, including a transporter, who imports hazardous waste from a
foreign country must comply with the generator requirements, including initiating a
manifest. If the transporter mixes wastes with different DOT shipping descriptions by
placing them in a single container (e.g., drum, tank, truck), the transporter must
initiate a new manifest and comply with the generator regulations (§263.10(c)). The
transporter should be named in the generator block and the old manifest(s) should
The information in this document is not by any means a complete representation or EPA s regulations or policies,
but is an introduction to the topic used for Hotlu
line training purposes.
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8 - Transporters
still accompany the waste. Additionally, any other substantial shipping changes
would require that a new manifest be prepared.
2.8 HAZARDOUS WASTE DISCHARGES
If a transporter discharges or spills hazardous waste, he or she is required to take
immediate action to protect human health and the environment (§263.30).
Immediate actions may include containing the spill, notifying local authorities, and
notifying the National Response Center as required by DOT or Superfund
regulations. DOT may require a written report (see §263.30 for specific reporting
requirements). In addition, federal, state, or local authorities may require a
transporter to take actions in response to a discharge or spill if the discharge is
determined to present a long-term hazard to human health or the environment
(§263.31)., .,
The information in this document is not by any means a complete representation of EPA s regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Transporters - 9
3. EPA/DOT INTERFACE
As part of the RCRA cradle-to-grave waste management system, the transporter
regulations ensure proper delivery of the hazardous waste to the designated
treatment, storage, or disposal facility. The Part 263 transporter requirements
adopted portions of the DOT.regulations for the safe transport of DOT classified
hazardous materials. The DOT references in the RCRA regulations include
requirements for labeling, marking, placarding, and containers, and also outline the
DOT requirements for responding to spills or discharges. EPA incorporated the DOT
requirements by reference, to ensure consistency with the DOT regulations and to
avoid duplicative and burdensome requirements (§263.10(a)). In addition, DOT
incorporated RCRA hazardous wastes as one of the types of materials that must be
transported according to DOT specifications (§171.3). The Joint Uniform Hazardous
Waste Manifest, promulgated on March 20, 1984 (49 FR 10490), also serves as both
the EPA tracking form (§262.20) and the shipping paper required under DOT
(§172.205). This system allows the in-transit management of hazardous waste to be
regulated safely and efficiently while allowing both EPA and DOT to retain
enforcement of their respective regulations.
The information in this document is not by any means a complete representation of EPA s regulations or policies,
but is an introduction to the topic used for Hotlii
line training purposes.
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50272-101
REPORT DOCUMENTATION
PAGE
1. REPORT NO.
EPA530-R-96-046
I
i>. Title and Subtitle
RCRA, SUPERFUND, AND EPCRA HOTLINE TRAINING MODULE: INTRODUCTION TO
TRANSPORTERS (40 CFR PART 263)
5. Report Date
JULY 1996
6.
7. Author(s)
8. Performing Organization Rept. No
9. Performing Organization Name and Address
U.S. EPA
OFFICE OF SOLID WASTE
401 M STREET, SW
WASHINGTON. DC 20A60
10. Project/Task/Work Unit No.
11. Contract(C) or Grant(G) No.
(C)
(G)
12. Sponsoring Organization Name and Address
13. Type of Report & Period Covered
TRAINING - UPDATED 7/96
14.
15. Supplementary Notes
16. Abstract (Limit: 200 words)
ONE OF A SERIES OF MODULES DEVELOPED AS A TRAINING TOOL FOR HOTLINE SPECIALISTS'. PROVIDES AN OVERVIEW OF THE REGULATORY
REQUIREMENTS OF TRANSPORTERS OF HAZARDOUS WASTES-LISTS THE CONDITIONS AND REQUIREMENTS FOR A TRANSFER FACILITY.
11 ' .
IDENTIFIES TRANSPORTER RECORDKEEPING AND MANIFESTING REQUIREMENTS./ IDENTIFIES TRANSPORTER REQUIREMENTS WHEN EXPORTING
HAZARDOUS WASTE. ' STATES THE CONDITIONS UNDER WHICH A TRANSPORTER IS SUBJECT TO THE GENERATOR REGULATIONS. CITES THE
CFR SECTION COVERING THE TRANSPORTER RESPONSIBILITIES FOR HAZARDOUS WASTE DISCHARGES. THE INFORMATION IN THIS DOCUMENT
IS NOT A COMPLETE REPRESENTATION OF EPA'S REGULATIONS OR POLICIES, BUT IS AN INTRODUCTION USED FOR HOTLINE TRAINING
PURPOSES.
17. Document Analysis a. Descriptors
b. Identifiers/Open-Ended Terms
c. COSATI Field/Group
18. Availability Statement
RELEASE UNLIMITED
| 19. Security Class (This Report)| 21. No. of Pages
I UNCLASSIFIED | 9_
| 20. Security Class (This Page) | 22. Price
I UNCLASSIFIED | .0.00
(See ANSI-Z39.18)
OPTIONAL FORM 272 (A-77)
(Formerly NTIS-35)
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