Audit, Compliance and Risk Blog

The U.S. Environmental Protection Agency (EPA) administers rules governing the import and export of hazardous waste regulated by the Resource Conservation and Recovery Act (RCRA). These rules implement requirements established by RCRA, and also ensure that the U.S. meets its international responsibilities as a member of the Organization for Economic Cooperation and Development (OECD) by creating national rules that meet agreed-upon OECD standards. The proposal should appear in the Federal Register soon, opening a 60 day comment period after which EPA will decide whether to finalize the changes.

What Requirements Presently Apply To Exports And Imports?

RCRA aligns requirements for exports and imports of hazardous waste with international agreements governing transboundary movements of such wastes. In particular, EPA’s RCRA regulations include specific provisions governing “Transboundary Movements of Hazardous Waste for Recovery Within the OECD.” EPA estimates that approximately 3,000 hazardous waste import shipments and 49,000 hazardous waste export shipments are made annually, mostly within North America. I wrote in more detail about existing requirements here.

The following requirements apply to exports to Canada or Mexico (and to non-OECD countries covered by separate treaties with the U.S.):

• The “primary exporter” (typically the generator) provides EPA a written notification of intent to export, at least 60 days prior to the first shipment. This notification must be in writing, signed by the primary exporter, and include the following information:

• Name, mailing address, telephone number and EPA ID number of the primary exporter.

• The following information, by consignee, for each hazardous waste type:

• Description of the hazardous waste and the EPA hazardous waste number, U.S. Department of Transportation (DOT) proper shipping name, hazard class and ID number for each hazardous waste.

• Estimated frequency or rate at which this waste is to be exported and the period of time over which these exports will continue.

• Estimated total quantity of the hazardous waste (consistent with Uniform Hazardous Waste Manifest).

• All points of entry to and departure from each foreign country through which the hazardous waste will pass.

• Description of mode of transportation.

• Description of how the hazardous waste will be treated, stored or disposed of in the receiving country.

• Name and site address of the consignee and any alternate consignee.

• Name of any transit countries through which the waste will be sent, approximate time it will remain in each such country, and nature of handling while there.

• The receiving country consents to accept the waste. 

• A copy of an “EPA Acknowledgement of Consent” accompanies the shipment and, unless export takes place by rail, is attached to the manifest.

• The shipment conforms to the terms of the receiving country’s written consent.

• The shipment complies with RCRA manifest requirements (including the field for international shipments), modified to provide the address of the receiving consignee and alternate instead of facility, and to add the following to the certification of the shipment “and conforms to the terms of the attached EPA Acknowledgment of Consent.”

• Follow-up reporting for any shipment for which the alternate consignee is used, and filing of an exception report with EPA if other problems arise.

If the export is to another OECD country, then the shipment instead must meet similar RCRA regulations designed to ensure consistency with OECD requirements. These include:

• Incorporation of OECD’s distinction between “Green Wastes” (wastes that present low risk for human health and the environment and, therefore, are not subject to any other controls than those normally applied in commercial transactions) and “Amber Wastes” (wastes presenting sufficient risk to justify their control). These RCRA regulations regulate as hazardous each waste that is a RCRA hazardous waste and/or an Amber waste not otherwise regulated as hazardous, and regulate Green Wastes as non-hazardous.

• Notification to EPA.

• Consent by the receiving country similar to those described above.

• Use of a “movement document” analogous to RCRA’s Uniform Hazardous Waste Manifest.

• A contract for transportation and management of the wastes.

• Management of exported wastes in compliance with the receiving country’s requirements for these activities.

Exporters must file an annual report with EPA summarizing the types, quantities, and destinations of all hazardous waste exported. Records must be retained for at least three years.

Importers of hazardous wastes must complete manifests for the wastes, substituting their name and facility identifications for the non­domestic generator’s. The importer must provide the transporter with an additional copy to submit to EPA in compliance with the transporter’s manifest requirements. If the import is from an OECD country, the importer must also ensure that the shipment meets OECD requirements.

What Changes Is EPA Proposing?

This rule proposes to do all of the following:

• Consolidate the regulations so that one set of protective requirements, incorporating OECD requirements, will apply to all imports and exports of hazardous waste.

• Track each shipment to its destination using an international movement document (e.g., OECD document), and require completion of shipment and notification of exporter within one year.

• Mandate electronic reporting to EPA, to facilitate increased data [i.e., once EPA has implemented necessary data management capacity].

• Link the existing RCRA “consent to export” with the exporter declaration submitted to U.S. Customs and Border Protection through the U.S. federal International Trade Data System (ITDS), to provide for more efficient compliance monitoring.

• Clarify matching of waste stream level consent numbers with waste streams listed on RCRA manifests for import and export shipments.

• Mandate EPA identification (ID) numbers for all small quantity and large quantity hazardous waste exporters and importers, including “recognized traders” arranging for export or import of hazardous waste.

Self-Evaluation Checklist

If your organization is involved in imports and/or exports involving U.S. territory, consider the following checklist:

Does my organization export hazardous waste, acting as the “primary exporter"?

• If so, is the shipment being sent to:

• Canada or Mexico?

• Another OECD country?

• A non-OECD country?

• Has my organization secured formal consent from the receiving country?

Has my organization notified EPA of its intent to export?

Has my organization received EPA’s acknowledgement of the receiving country’s consent?

Does each shipment comply with RCRA domestic manifest requirements, and applicable requirements of the receiving country?

Does my organization retain all required records?

Does my organization import hazardous waste?

• If so, is the shipment being sent from:

• Canada or Mexico?

• Another OECD country?

• A non-OECD country?

Does each shipment comply with domestic U.S. manifest requirements?

Does my organization retain all required records?

Where Can I Go For More Information?

• EPA webpage for proposal  

• OECD webpage on transboundary movements of hazardous wastes 

photo credit: Harwich 26 August 2006 090 via photopin (license)