Vol. 61, No. 72 Friday, April 12, 1996 p. 16289

	

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 9, 260, 261, 262, 263, 264, 265, 266 and 273

[FRL_5447_1]

RIN 2050_AD87

Imports and Exports of Hazardous Waste: Implementation of OECD Council Decision C(92)39 Concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

SUMMARY: The rule identifies the wastes, under the Resource Conservation and Recovery Act (RCRA), that are subject to a graduated system (green, amber, red) of procedural and substantive controls when they move across national borders within the OECD for recovery. (EPA may, in the future, identify wastes under other statutes that are subject to the OECD Decision). It seeks to make the transactions fully transparent and to prevent or minimize the possibility of such wastes being abandoned or otherwise illegally handled. These requirements will apply only to U.S. exporters and importers of RCRA hazardous wastes destined for recovery in OECD countries (except for Canada and Mexico; waste shipments to and from these countries will continue to move under the current bilateral agreements and regulations). Those U.S. exporters and importers transacting hazardous waste movements outside the scope of today's rule will remain subject to EPA's current waste export and import regulations at 40 CFR part 262, subparts E and F.

	This rule does not increase the scope of wastes subject to U.S. export and import controls; it does, however, modify the procedural controls governing their export and import when shipped for recovery among OECD countries. Today's rule will assist in harmonizing the new OECD requirements, reducing confusion to U.S. importers and exporters and increasing the efficiency of the process.

EFFECTIVE DATE: This rule is effective on July 11, 1996. The OECD Green List of Wastes (revised May 1994), Amber List of Wastes and Red List of Wastes (both revised May 1993) as set forth in Appendix 3, Appendix 4 and Appendix 5, respectively, to the OECD Council Decision C(92)39/FINAL (Concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations) were approved by the Director of the Federal Register to be incorporated by reference in today's rule on July 11, 1996.

ADDRESSES: Supporting materials are available for viewing in the RCRA Information Center (RIC), located at 1235 Jefferson_Davis Highway, First Floor, Arlington, Virginia 22203. The Docket Identification Number is F_94_IEHF_FFFFF. The RIC is open from 9 a.m. to 4 p.m., Monday through Friday, excluding federal holidays. To review docket materials, the public must make an appointment by calling (703) 603_9230. The public may copy a maximum of 100 pages from any regulatory docket at no charge. Additional copies cost $.15/page. Some supporting materials are available electronically. See the ``Supplementary Information'' section for information on accessing them.

FOR FURTHER INFORMATION CONTACT: For general information, contact the RCRA Hotline at 1_800_424_9346 or TDD 1_800_553_7672 (hearing impaired). In the Washington metropolitan area, call 703_412_9810 or TDD 703_412_3323.

	For more detailed information on specific aspects of this rulemaking, contact Ms. Julia Gourley, Office of Solid Waste (5304), U.S. Environmental Protection Agency, 401 M Street, SW., Washington, DC 20460, (202) 260_7944.

SUPPLEMENTARY INFORMATION:

Internet Access

	Selected supporting materials are available on the Internet. Follow these instructions to access the information electronically:

Gopher: gopher.epa.gov
WWW: http://www.epa.gov
Dial_up: (919) 558_0335.

	This report can be accessed off the main EPA Gopher menu, in the directory: EPA Offices and Regions/Office of Solid Waste and Emergency Response (OSWER)/Office of Solid Waste (RCRA)/Hazardous Waste_RCRA_
Subtitle C/Exports/Imports.

FTP: ftp.epa.gov
Login: anonymous
Password: Your Internet address

	Files are located in /pub/gopher/OSWRCRA.

>>>> The remainder of the preamble has not been included in this file. <<<<

	For the reasons set out in the preamble, title 40, chapter 1, subchapter I of the Code of Federal Regulations, is amended as set forth below.

>>>> Part 9 has not been included because it is not required as part of a State's Hazardous Waste
Program. <<<<

PART 260__HAZARDOUS WASTE MANAGEMENT SYSTEM: GENERAL

	2. In part 260:
	a. The authority citation continues to read as follows:

	Authority: 42 U.S.C. 6905, 6912(a), 6921_6927, 6930, 6934, 6935, 6937, 6938, 6939, and 6974.

	b. Section 260.2(b) is revised to read as follows:

§ 260.2  Availability of information; confidentiality of information.

* * * * *
	 (b) Any person who submits information to EPA in accordance with parts 260 through 266 and 268 of this chapter may assert a claim of business confidentiality covering part or all of that information by following the procedures set forth in § 2.203(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 2, subpart B, of this chapter except that information required by § 262.53(a) and § 262.83 that is submitted in a notification of intent to export a hazardous waste will be provided to the U.S. Department of State and the appropriate authorities in the transit and receiving or importing countries regardless of any claims of confidentiality. However, if no such claim accompanies the information when it is received by EPA, it may be made available to the public without further notice to the person submitting it.

PART 261__IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

	3. In 40 CFR part 261:
	 a. The authority citation for part 261 continues to read as follows:

	Authority: 42 U.S.C. 6905, 6912(a), 6921, 6922, and 6938.

	b. Section 261.6 is amended by adding paragraph (a)(5) to read as follows:

§ 261.6  Requirements for recyclable materials.

	 (a) * * *
	(5) Hazardous waste that is exported to or imported from designated member countries of the Organization for Economic Cooperation and Development (OECD) (as defined in § 262.58(a)(1)) for purpose of recovery is subject to the requirements of 40 CFR part 262, subpart H, if it is subject to either the Federal manifesting requirements of 40 CFR Part 262, to the universal waste management standards of 40 CFR Part 273, or to State requirements analogous to 40 CFR Part 273.
* * * * *

PART 262__STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE

	4. The authority citation for part 262 is revised to read as follows:

	Authority: 42 U.S.C 6906, 6912, 6922, 6923, 6925, 6937, and 6938.

	5. Section 262.10 is amended by redesignating paragraphs (d), (e), (f), and (g) as (e), (f), (g), and (h) respectively and adding a new paragraph (d) to read as follows:

§ 262.10 Purpose, scope, and applicability.

 * * * * *
	(d) Any person who exports or imports hazardous waste subject to the Federal manifesting requirements of part 262, or subject to the universal waste management standards of 40 CFR Part 273, or subject to State requirements analogous to 40 CFR Part 273, to or from the countries listed in § 262.58(a)(1) for recovery must comply with subpart H of this part.
* * * * *

	6. Section 262.53(b) is revised to read as follows:

§ 262.53  Notification of intent to export.

* * * * *
	(b) Notifications submitted by mail should be sent to the following mailing address: Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460. Hand_delivered notifications should be sent to: Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, Ariel Rios Bldg., 12th St. and Pennsylvania Ave., NW., Washington, DC. In both cases, the following shall be prominently displayed on the front of the envelope: ``Attention: Notification of Intent to Export.''
* * * * *

	7. Section 262.56(b) is revised to read as follows:

§ 262.56  Annual reports.

* * * * *
	(b) Annual reports submitted by mail should be sent to the following mailing address: Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460. Hand_delivered reports should be sent to: Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, Ariel Rios Bldg., 12th St. and Pennsylvania Ave., NW., Washington, DC.

	8. Section 262.58 is amended by adding text to read as follows:

§ 262.58  International agreements.

	(a) Any person who exports or imports hazardous waste subject to Federal manifest requirements of Part 262, or subject to the universal waste management standards of 40 CFR Part 273, or subject to State requirements analogous to 40 CFR Part 273, to or from designated member countries of the Organization for Economic Cooperation and Development (OECD) as defined in paragraph (a)(1) of this section for purposes of recovery is subject to Subpart H of this part. The requirements of Subparts E and F do not apply.
	(1) For the purposes of this Subpart, the designated OECD countries consist of Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United States.
	(2) For the purposes of this Subpart, Canada and Mexico are considered OECD member countries only for the purpose of transit.
	(b) Any person who exports hazardous waste to or imports hazardous waste from: a designated OECD member country for purposes other than recovery (e.g., incineration, disposal), Mexico (for any purpose), or Canada (for any purpose) remains subject to the requirements of subparts E and F of this part.

	9. Part 262 is amended by adding subpart H consisting of §§ 262.80 through 262.89 to read as follows:
Subpart H__Transfrontier Shipments of Hazardous Waste for Recovery within the OECD
Sec.
262.80  Applicability.
262.81  Definitions.
262.82  General conditions.
262.83  Notification and consent.
262.84  Tracking document.
262.85  Contracts.
262.86  Provisions relating to recognized traders.
262.87  Reporting and recordkeeping.
262.88  Pre_approval for U.S. Recovery Facilities (Reserved).
262.89  OECD Waste Lists.

Subpart H__Transfrontier Shipments of Hazardous Waste for Recovery within the OECD

§ 262.80  Applicability.

	(a) The requirements of this subpart apply to imports and exports of wastes that are considered hazardous under U.S. national procedures and are destined for recovery operations in the countries listed in § 262.58(a)(1). A waste is considered hazardous under U.S. national procedures if it meets the Federal definition of hazardous waste in 40 CFR 261.3 and it is subject to either the Federal manifesting requirements at 40 CFR Part 262, Subpart B, to the universal waste management standards of 40 CFR Part 273, or to State requirements analogous to 40 CFR Part 273.
	(b) Any person (notifier, consignee, or recovery facility operator) who mixes two or more wastes (including hazardous and non_hazardous wastes) or otherwise subjects two or more wastes (including hazardous and non_hazardous wastes) to physical or chemical transformation operations, and thereby creates a new hazardous waste, becomes a generator and assumes all subsequent generator duties under RCRA and any notifier duties, if applicable, under this subpart.

§ 262.81  Definitions.

	The following definitions apply to this subpart.
	(a) "Competent authorities" means the regulatory authorities of concerned countries having jurisdiction over transfrontier movements of wastes destined for recovery operations.
	(b) "Concerned countries" means the exporting and importing OECD member countries and any OECD member countries of transit.
	(c) "Consignee" means the person to whom possession or other form of legal control of the waste is assigned at the time the waste is received in the importing country.
	(d) "Country of transit" means any designated OECD country in § 262.58(a)(1) and (a)(2) other than the exporting or importing country across which a transfrontier movement of wastes is planned or takes place.
	(e) "Exporting country" means any designated OECD member country in § 262.58(a)(1) from which a transfrontier movement of wastes is planned or has commenced.
	(f) "Importing country" means any designated OECD country in § 262.58(a)(1) to which a transfrontier movement of wastes is planned or takes place for the purpose of submitting the wastes to recovery operations therein.
	(g) "Notifier" means the person under the jurisdiction of the exporting country who has, or will have at the time the planned transfrontier movement commences, possession or other forms of legal control of the wastes and who proposes their transfrontier movement for the ultimate purpose of submitting them to recovery operations. When the United States (U.S.) is the exporting country, notifier is interpreted to mean a person domiciled in the U.S.
	(h) "OECD area" means all land or marine areas under the national jurisdiction of any designated OECD member country in § 262.58. When the regulations refer to shipments to or from an OECD country, this means OECD area.
	(i) "Recognized trader" means a person who, with appropriate authorization of concerned countries, acts in the role of principal to purchase and subsequently sell wastes; this person has legal control of such wastes from time of purchase to time of sale; such a person may act to arrange and facilitate transfrontier movements of wastes destined for recovery operations.
	(j) "Recovery facility" means an entity which, under applicable domestic law, is operating or is authorized to operate in the importing country to receive wastes and to perform recovery operations on them.
	(k) "Recovery operations" means activities leading to resource recovery, recycling, reclamation, direct re_use or alternative uses as listed in Table 2.B of the Annex of OECD Council Decision C(88)90(Final) of 27 May 1988, (available from the Environmental Protection Agency, RCRA Information Center (RIC), 1235 Jefferson_Davis Highway, first floor, Arlington, VA 22203 (Docket # F_94_IEHF_FFFFF) and the Organisation for Economic Co_operation and Development, Environment Direcorate, 2 rue Andre Pascal, 75775 Paris Cedex 16, France) which include:

R1	Use as a fuel (other than in direct incineration) or other means to generate energy
R2	Solvent reclamation/regeneration
R3	Recycling/reclamation of organic substances which are not used as solvents
R4	Recycling/reclamation of metals and metal compounds
R5	Recycling/reclamation of other inorganic materials
R6	Regeneration of acids or bases
R7	Recovery of components used for pollution control
R8	Recovery of components from catalysts
R9	Used oil re_refining or other reuses of previously used oil 
R10	Land treatment resulting in benefit to agriculture or ecological improvement
R11	Uses of residual materials obtained from any of the operations numbered R1_R10
R12	Exchange of wastes for submission to any of the operations numbered R1_R11
R13	Accumulation of material intended for any operation in Table 2.B
	(l) "Transfrontier movement" means any shipment of wastes destined for recovery operations from an area under the national jurisdiction of one OECD member country to an area under the national jurisdiction of another OECD member country.

§ 262.82  General conditions.

	(a) Scope. The level of control for exports and imports of waste is indicated by assignment of the waste to a green, amber, or red list and by U.S. national procedures as defined in § 262.80(a). The green, amber, and red lists are incorporated by reference in § 262.89 (e).
	(1) Wastes on the green list are subject to existing controls normally applied to commercial transactions, except as provided below:
	(i) Green_list wastes that are considered hazardous under U.S. national procedures are subject to amber_list controls.
	(ii) Green_list waste that are sufficiently contaminated or mixed with amber_list wastes, such that the waste or waste mixture is considered hazardous under U.S. national procedures, are subject to amber_list controls.
	(iii) Green_list wastes that are sufficiently contaminated or mixed with other wastes subject to red_list controls such that the waste or waste mixture is considered hazardous under U.S. national procedures must be handled in accordance with the red_list controls.
	(2) Wastes on the amber list that are considered hazardous under U.S. national procedures as defined in § 262.80(a) are subject to the amber_list controls of this Subpart.
	(i) If amber_list wastes are sufficiently contaminated or mixed with other wastes subject to red_list controls such that the waste or waste mixture is considered hazardous under U.S. national procedures, the wastes must be handled in accordance with the red_list controls.
	(ii) [Reserved].
	(3) Wastes on the red list that are considered hazardous under U.S. national procedures as defined in § 262.80(a) are subject to the red_list controls of this subpart.

	Note to paragraph (a)(3): Some wastes on the amber or red lists are not listed or otherwise identified as hazardous under RCRA (e.g., polychlorinated biphenyls) and therefore are not subject to the amber_ or red_list controls of this subpart. Regardless of the status of the waste under RCRA, however, other Federal environmental statutes (e.g., the Toxic Substances Control Act) may restrict certain waste imports or exports. Such restrictions continue to apply without regard to this Subpart.

	(4) Wastes not yet assigned to a list are eligible for transfrontier movements, as follows:
	(i) If such wastes are considered hazardous under U.S. national procedures as defined in § 262.80(a), these wastes are subject to the red_list controls; or
	(ii) If such wastes are not considered hazardous under U.S. national procedures as defined in § 262.80(a), such wastes may move as though they appeared on the green list.
	(b) General conditions applicable to transfrontier movements of hazardous waste.
	(1) The waste must be destined for recovery operations at a facility that, under applicable domestic law, is operating or is authorized to operate in the importing country;
	(2) The transfrontier movement must be in compliance with applicable international transport agreements; and

	Note to paragraph (b)(2): These international agreements include, but are not limited to, the Chicago Convention (1944), ADR (1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS Convention (1974), IMDG Code (1985), COTIF (1985), and RID (1985).

	(3) Any transit of waste through a non_OECD member country must be conducted in compliance with all applicable international and national laws and regulations.
	(c) Provisions relating to re_export for recovery to a third country.
	(1) Re_export of wastes subject to the amber_list control system from the U.S., as the importing country, to a third country listed in § 262.58(a)(1) may occur only after a notifier in the U.S. provides notification to and obtains consent of the competent authorities in the third country, the original exporting country, and new transit countries. The notification must comply with the notice and consent procedures in § 262.83 for all concerned countries and the original exporting country. The competent authorities of the original exporting country as well as the competent authorities of all other concerned countries have 30 days to object to the proposed movement.
	(i) The 30_day period begins once the competent authorities of both the initial exporting country and new importing country issue Acknowledgements of Receipt of the notification.
	(ii) The transfrontier movement may commence if no objection has been lodged after the 30_day period has passed or immediately after written consent is received from all relevant OECD importing and transit countries.
	(2) Re_export of waste subject to the red_list control system from the original importing country to a third country listed in § 262.58(a)(1) may occur only following notification of the competent authorities of the third country, the original exporting country, and new transit countries by a notifier in the original importing country in accordance with § 262.83. The transfrontier movement may not proceed until receipt by the original importing country of written consent from the competent authorities of the third country, the original exporting country, and new transit countries.
	(3) In the case of re_export of amber or red_list wastes to a country other than those in § 262.58(a)(1), notification to and consent of the competent authorities of the original OECD member country of export and any OECD member countries of transit is required as specified in paragraphs (c)(1) and (c)(2) of this section in addition to compliance with all international agreements and arrangements to which the first importing OECD member country is a party and all applicable regulatory requirements for exports from the first importing country.

§ 262.83  Notification and consent.

	(a) Applicability. Consent must be obtained from the competent authorities of the relevant OECD importing and transit countries prior to exporting hazardous waste destined for recovery operations subject to this Subpart. Hazardous wastes subject to amber_list controls are subject to the requirements of paragraph (b) of this section; hazardous wastes subject to red_list controls are subject to the requirements of paragraph (c) of this section; and wastes not identified on any list are subject to the requirements of paragraph (d) of this section.
	(b) Amber_list wastes. The export from the U.S. of hazardous wastes as described in § 262.80(a) that appear on the amber list is prohibited unless the notification and consent requirements of paragraph (b)(1) or paragraph (b)(2) of this section are met.
	(1) Transactions requiring specific consent:
	(i) Notification. At least 45 days prior to commencement of the transfrontier movement, the notifier must provide written notification in English of the proposed transfrontier movement to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460, with the words ``Attention: OECD Export Notification'' prominently displayed on the envelope. This notification must include all of the information identified in paragraph (e) of this section. In cases where wastes having similar physical and chemical characteristics, the same United Nations classification, and the same RCRA waste codes are to be sent periodically to the same recovery facility by the same notifier, the notifier may submit one notification of intent to export these wastes in multiple shipments during a period of up to one year.
	(ii) Tacit consent. If no objection has been lodged by any concerned country (i.e., exporting, importing, or transit countries) to a notification provided pursuant to paragraph (b)(1)(i) of this section within 30 days after the date of issuance of the Acknowledgment of Receipt of notification by the competent authority of the importing country, the transfrontier movement may commence. Tacit consent expires one calendar year after the close of the 30 day period; renotification and renewal of all consents is required for exports after that date.
	(iii) Written consent. If the competent authorities of all the relevant OECD importing and transit countries provide written consent in a period less than 30 days, the transfrontier movement may commence immediately after all necessary consents are received. Written consent expires for each relevant OECD importing and transit country one calendar year after the date of that country's consent unless otherwise specified; renotification and renewal of each expired consent is required for exports after that date.
	(2) Shipments to facilities pre_approved by the competent authorities of the importing countries to accept specific wastes for recovery:
	(i) The notifier must provide EPA the information identified in paragraph (e) of this section in English, at least 10 days in advance of commencing shipment to a pre_approved facility. The notification should indicate that the recovery facility is pre_approved, and may apply to a single specific shipment or to multiple shipments as described in paragraph (b)(1)(i) of this section. This information must be sent to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460, with the words ``OECD Export Notification__Pre_approved Facility'' prominently displayed on the envelope.
	(ii) Shipments may commence after the notification required in paragraph (b)(1)(i) of this section has been received by the competent authorities of all concerned countries, unless the notifier has received information indicating that the competent authorities of one or more concerned countries objects to the shipment.
	(c) Red_list wastes. The export from the U.S. of hazardous wastes as described in § 262.80(a) that appear on the red list is prohibited unless notice is given pursuant to paragraph (b)(1)(i) of this section and the notifier receives written consent from the importing country and any transit countries prior to commencement of the transfrontier movement.
	(d) Unlisted wastes. Wastes not assigned to the green, amber, or red list that are considered hazardous under U.S. national procedures as defined in § 262.80(a) are subject to the notification and consent requirements established for red_list wastes in accordance with paragraph (c) of this section. Unlisted wastes that are not considered hazardous under U.S. national procedures as defined in § 262.80(a) are not subject to amber or red controls when exported or imported.
	(e) Notification information. Notifications submitted under this section must include:
	(1) Serial number or other accepted identifier of the notification form;
	(2) Notifier name and EPA identification number (if applicable), address, and telephone and telefax numbers;
	(3) Importing recovery facility name, address, telephone and telefax numbers, and technologies employed;
	(4) Consignee name (if not the owner or operator of the recovery facility) address, and telephone and telefax numbers; whether the consignee will engage in waste exchange or storage prior to delivering the waste to the final recovery facility and identification of recovery operations to be employed at the final recovery facility;
	(5) Intended transporters and/or their agents;
	(6) Country of export and relevant competent authority, and point of departure;
	(7) Countries of transit and relevant competent authorities and points of entry and departure;
	(8) Country of import and relevant competent authority, and point of entry;
	(9) Statement of whether the notification is a single notification or a general notification. If general, include period of validity requested;
	(10) Date foreseen for commencement of transfrontier movement;
	(11) Designation of waste type(s) from the appropriate list (amber or red and waste list code), descriptions of each waste type, estimated total quantity of each, RCRA waste code, and United Nations number for each waste type; and
	(12) Certification/Declaration signed by the notifier that states:

	I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally_enforceable written contractual obligations have been entered into, and that any applicable insurance or other financial guarantees are or shall be in force covering the transfrontier movement.

Name:_____________________
Signature:________________
Date:_____________________
	Note to paragraph (e)(12): The U.S. does not currently require financial assurance; however, U.S. exporters may be asked by other governments to provide and certify to such assurance as a condition of obtaining consent to a proposed movement.

§ 262.84  Tracking document.

	(a) All U.S. parties subject to the contract provisions of § 262.85 must ensure that a tracking document meeting the conditions of § 262.84(b) accompanies each transfrontier shipment of wastes subject to amber_list or red_list controls from the initiation of the shipment until it reaches the final recovery facility, including cases in which the waste is stored and/or exchanged by the consignee prior to shipment to the final recovery facility, except as provided in §§ 262.84(a)(1) and (2).
	(1) For shipments of hazardous waste within the U.S. solely by water (bulk shipments only) the generator must forward the tracking document with the manifest to the last water (bulk shipment) transporter to handle the waste in the U.S. if exported by water, (in accordance with the manifest routing procedures at § 262.23(c)).
	(2) For rail shipments of hazardous waste within the U.S. which originate at the site of generation, the generator must forward the tracking document with the manifest (in accordance with the routing procedures for the manifest in § 262.23(d)) to the next non_rail transporter, if any, or the last rail transporter to handle the waste in the U.S. if exported by rail. 
	(b) The tracking document must include all information required under § 262.83 (for notification), and the following:
	(1) Date shipment commenced.
	(2) Name (if not notifier), address, and telephone and telefax numbers of primary exporter.
	(3) Company name and EPA ID number of all transporters.
	(4) Identification (license, registered name or registration number) of means of transport, including types of packaging.
	(5) Any special precautions to be taken by transporters.
	(6) Certification/declaration signed by notifier that no objection to the shipment has been lodged as follows:

	I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally_enforceable written contractual obligations have been entered into, that any applicable insurance or other financial guarantees are or shall be in force covering the transfrontier movement, and that:
	1. All necessary consents have been received; OR
	2. The shipment is directed at a recovery facility within the OECD area and no objection has been received from any of the concerned countries within the 30 day tacit consent period; OR
	3. The shipment is directed at a recovery facility pre_
authorized for that type of waste within the OECD area; such an authorization has not been revoked, and no objection has been received from any of the concerned countries.

(delete sentences that are not applicable)

Name:____________________
Signature:_______________
Date:____________________
	(7) Appropriate signatures for each custody transfer (e.g. transporter, consignee, and owner or operator of the recovery facility).
	(c) Notifiers also must comply with the special manifest requirements of 40 CFR 262.54(a), (b), (c), (e), and (i) and consignees must comply with the import requirements of 40 CFR part 262, subpart F.
	(d) Each U.S. person that has physical custody of the waste from the time the movement commences until it arrives at the recovery facility must sign the tracking document (e.g. transporter, consignee, and owner or operator of the recovery facility).
	(e) Within 3 working days of the receipt of imports subject to this Subpart, the owner or operator of the U.S. recovery facility must send signed copies of the tracking document to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460, and to the competent authorities of the exporting and transit countries.

§ 262.85  Contracts.

	(a) Transfrontier movements of hazardous wastes subject to amber or red control procedures are prohibited unless they occur under the terms of a valid written contract, chain of contracts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Such contracts or equivalent arrangements must be executed by the notifier and the owner or operator of the recovery facility, and must specify responsibilities for each. Contracts or equivalent arrangements are valid for the purposes of this section only if persons assuming obligations under the contracts or equivalent arrangements have appropriate legal status to conduct the operations specified in the contract or equivalent arrangement.
	(b) Contracts or equivalent arrangements must specify the name and EPA ID number, where available, of:
	(1) The generator of each type of waste;
	(2) Each person who will have physical custody of the wastes;
	(3) Each person who will have legal control of the wastes; and
	(4) The recovery facility.
	(c) Contracts or equivalent arrangements must specify which party to the contract will assume responsibility for alternate management of the wastes if its disposition cannot be carried out as described in the notification of intent to export. In such cases, contracts must specify that:
	(1) The person having actual possession or physical control over the wastes will immediately inform the notifier and the competent authorities of the exporting and importing countries and, if the wastes are located in a country of transit, the competent authorities of that country; and
	(2) The person specified in the contract will assume responsibility for the adequate management of the wastes in compliance with applicable laws and regulations including, if necessary, arranging their return to the original country of export.
	(d) Contracts must specify that the consignee will provide the notification required in § 262.82(c) prior to re_export of controlled wastes to a third country.
	(e) Contracts or equivalent arrangements must include provisions for financial guarantees, if required by the competent authorities of any concerned country, in accordance with applicable national or international law requirements.

	Note to paragraph (e): Financial guarantees so required are intended to provide for alternate recycling, disposal or other means of sound management of the wastes in cases where arrangements for the shipment and the recovery operations cannot be carried out as foreseen. The U.S. does not require such financial guarantees at this time; however, some OECD countries do. It is the responsibility of the notifier to ascertain and comply with such requirements; in some cases, transporters or consignees may refuse to enter into the necessary contracts absent specific references or certifications to financial guarantees.

	(f) Contracts or equivalent arrangements must contain provisions requiring each contracting party to comply with all applicable requirements of this subpart.
	(g) Upon request by EPA, U.S. notifiers, consignees, or recovery facilities must submit to EPA copies of contracts, chain of contracts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Information contained in the contracts or equivalent arrangements for which a claim of confidentiality is asserted accordance with 40 CFR 2.203(b) will be treated as confidential and will be disclosed by EPA only as provided in 40 CFR 260.2.

	Note to paragraph (g): Although the U.S. does not require routine submission of contracts at this time, OECD Council Decision C(92)39/FINAL allows members to impose such requirements. When other OECD countries require submission of partial or complete copies of the contract as a condition to granting consent to proposed movements, EPA will request the required information; absent submission of such information, some OECD countries may deny consent for the proposed movement.

§ 262.86  Provisions relating to recognized traders.

	(a) A recognized trader who takes physical custody of a waste and conducts recovery operations (including storage prior to recovery) is acting as the owner or operator of a recovery facility and must be so authorized in accordance with all applicable Federal laws.
	(b) A recognized trader acting as a notifier or consignee for transfrontier shipments of waste must comply with all the requirements of this Subpart associated with being a notifier or consignee.

§ 262.87  Reporting and recordkeeping.

	(a) Annual reports. For all waste movements subject to this Subpart, persons (e.g., notifiers, recognized traders) who meet the definition of primary exporter in § 262.51 shall file an annual report with the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460, no later than March 1 of each year summarizing the types, quantities, frequency, and ultimate destination of all such hazardous waste exported during the previous calendar year. (If the primary exporter is required to file an annual report for waste exports that are not covered under this Subpart, he may include all export information in one report provided the following information on exports of waste destined for recovery within the designated OECD member countries is contained in a separate section). Such reports shall include the following:
	(1) The EPA identification number, name, and mailing and site address of the notifier filing the report;
	(2) The calendar year covered by the report;
	(3) The name and site address of each final recovery facility;
	(4) By final recovery facility, for each hazardous waste exported, a description of the hazardous waste, the EPA hazardous waste number (from 40 CFR part 261, subpart C or D), designation of waste type(s) from OECD waste list and applicable waste code from the OECD lists, DOT hazard class, the name and U.S. EPA identification number (where applicable) for each transporter used, the total amount of hazardous waste shipped pursuant to this Subpart, and number of shipments pursuant to each notification;
	(5) In even numbered years, for each hazardous waste exported, except for hazardous waste produced by exporters of greater than 100kg but less than 1000kg in a calendar month, and except for hazardous waste for which information was already provided pursuant to § 262.41:
	(i) A description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated; and
	(ii) A description of the changes in volume and toxicity of the waste actually achieved during the year in comparison to previous years to the extent such information is available for years prior to 1984; and
	(6) A certification signed by the person acting as primary exporter that states:

	I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment.

	(b) Exception reports. Any person who meets the definition of primary exporter in § 262.51 must file an exception report in lieu of the requirements of § 262.42 with the Administrator if any of the following occurs:
	(1) He has not received a copy of the tracking documentation signed by the transporter stating point of departure of the waste from the United States, within forty_five (45) days from the date it was accepted by the initial transporter;
	(2) Within ninety (90) days from the date the waste was accepted by the initial transporter, the notifier has not received written confirmation from the recovery facility that the hazardous waste was received;
	(3) The waste is returned to the United States.
	(c) Recordkeeping. (1) Persons who meet the definition of primary exporter in § 262.51 shall keep the following records:
	(i) A copy of each notification of intent to export and all written consents obtained from the competent authorities of concerned countries for a period of at least three years from the date the hazardous waste was accepted by the initial transporter;
	(ii) A copy of each annual report for a period of at least three years from the due date of the report; and
	 (iii) A copy of any exception reports and a copy of each confirmation of delivery (i.e., tracking documentation) sent by the recovery facility to the notifier for at least three years from the date the hazardous waste was accepted by the initial transporter or received by the recovery facility, whichever is applicable.
	(2) 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.

§ 262.88  Pre_approval for U.S. Recovery Facilities (Reserved).

§ 262.89  OECD Waste Lists.

	(a) General. For the purposes of this Subpart, a waste is considered hazardous under U.S. national procedures, and hence subject to this Subpart, if the waste:
	(1) Meets the Federal definition of hazardous waste in 40 CFR 261.3; and
	(2) Is subject to either the Federal RCRA manifesting requirements at 40 CFR part 262, subpart B, to the universal waste management standards of 40 CFR part 273, or to State requirements analogous to 40 CFR part 273.
	(b) If a waste is hazardous under paragraph (a) of this section and it appears on the amber or red list, it is subject to amber_ or red_list requirements respectively;
	(c) If a waste is hazardous under paragraph (a) of this section and it does not appear on either amber or red lists, it is subject to red_list requirements.
	(d) The appropriate control procedures for hazardous wastes and hazardous waste mixtures are addressed in § 262.82.
	(e) The OECD Green List of Wastes (revised May 1994), Amber List of Wastes and Red List of Wastes (both revised May 1993) as set forth in Appendix 3, Appendix 4 and Appendix 5, respectively, to the OECD Council Decision C(92)39/FINAL (Concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations) are incorporated by reference. These incorporations by reference were approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51 on July 11, 1996. These materials are incorporated as they exist on the date of the approval and a notice of any change in these materials will be published in the Federal Register. The materials are available for inspection at: the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC; the U.S. Environmental Protection Agency, RCRA Information Center (RIC), 1235 Jefferson_Davis Highway, first floor, Arlington, VA 22203 (Docket # F_94_IEHF_FFFFF) and may be obtained from the Organisation for Economic Co_operation and Development, Environment Direcorate, 2 rue Andre Pascal, 75775 Paris Cedex 16, France.

PART 263__STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

	10. The authority citation for part 263 is revised to read as follows:

	Authority: 42 U.S.C. 6906, 6912, 6922, 6923, 6925, 6937, and 6938.

	11. Section 263.10 is amended by adding paragraph (d) to read as follows:

§ 263.10  Scope.

* * * * *
	(d) A transporter of hazardous waste subject to the Federal manifesting requirements of 40 CFR part 262, or subject to the waste management standards of 40 CFR part 273, or subject 
to State requirements analogous to 40 CFR part 273, that is being imported from or exported to any of the countries listed in 40 CFR 262.58(a)(1) for purposes of recovery is subject to this Subpart and to all other relevant requirements of subpart H of 40 CFR part 262, including, but not limited to, 40 CFR 262.84 for tracking documents.

	12. Section 263.20(a) is revised to read as follows:

§ 263.20  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 other than those subject to subpart H of 40 CFR part 262, a transporter may not accept such waste from a primary exporter or other person if he knows the shipment does not conform to the EPA Acknowledgement of Consent; and 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 Acknowledgement of Consent which, except for shipment by rail, is attached to the manifest (or shipping paper for exports by water (bulk shipment)). For exports of hazardous waste subject to the requirements of subpart H of 40 CFR part 262, a transporter may not accept hazardous waste without a tracking document that includes all information required by 40 CFR 262.84.
* * * * *
PART 264__STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

	13a. The authority citation for part 264 continues to read as follows:

	Authority: 42 U.S.C. 6905, 6912(a) 6924, and 6925, 13b. Section 264.12 is amended by redesignating paragraph (a) as paragraph (a)(1) and by adding a paragraph (a)(2) to read as follows:

§ 264.12  Required notices.

	(a) * * *
	(2) The owner or operator of a recovery facility that has arranged to receive hazardous waste subject to 40 CFR part 262, subpart H must provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460; and to the competent authorities of all other concerned countries within three working days of receipt of the shipment. The original of the signed tracking document must be maintained at the facility for at least three years.
* * * * *

	14. Section 264.71 is amended by adding paragraph (d) after the comment to read as follows:

§ 264.71  Use of manifest system.

* * * * *
	(d) Within three working days of the receipt of a shipment subject to 40 CFR part 262, subpart H, the owner or operator of the facility must provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460, and to competent authorities of all other concerned countries. The original copy of the tracking document must be maintained at the facility for at least three years from the date of signature.

PART 265__INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

	15. The authority citation for part 265 is revised to read as follows:

	Authority: 42 U.S.C 6905, 6906, 6912, 6922, 6923, 6924, 6925, 6935, 6936, and 6937.

	16. Section 265.12 is amended by redesignating paragraph (a) as paragraph (a)(1) and by adding paragraph (a)(2) to read as follows:

§ 265.12  Required notices.

	(a) * * *
	 (2) The owner or operator of a recovery facility that has arranged to receive hazardous waste subject to 40 CFR part 262, subpart H must provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460 and to the competent authorities of all other concerned countries within three working days of receipt of the shipment. The original of the signed tracking document must be maintained at the facility for at least three years.
* * * * *

	17. Section 265.71 is amended by adding paragraph (d) after the comment to read as follows:

§ 265.71  Use of the manifest system.

* * * * *
	(d) Within three working days of the receipt of a shipment subject to 40 CFR part 262, subpart H, the owner or operator of facility must provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460, and to competent authorities of all other concerned countries. The original copy of the tracking document must be maintained at the facility for at least three years from the date of signature.

PART 266__STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS WASTES AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT FACILITIES

	18. The authority citation for part 266 is revised to read as follows:

	Authority: 42 U.S.C 1006, 2002(a), 3004, 3014, 6905, 6906, 6912, 6922, 6923, 6924, 6925, 6934, and 6937.

	19. Section 266.70 is amended by adding paragraph (b)(3) and by adding the word ``and'' at the end of paragraph (b)(2) to read as follows:

§ 266.70  Applicability and requirements.

* * * * *
	(b) * * *
	(3) For precious metals exported to or imported from designated OECD member countries for recovery, subpart H of part 262 and § 265.12(a)(2) of this chapter. For precious metals exported to or imported from non_OECD countries for recovery, subparts E and F of 40 CFR part 262.
* * * * *

PART 273__STANDARDS FOR UNIVERSAL WASTE MANAGEMENT

	20a. The authority citation for part 273 continues to read as follows:

	Authority: 42 U.S.C. 6922, 6923, 6924, 6925, 6930, and 6937. 20b. The introductory text for § 273.20 is revised to read as follows:

§ 273.20  Exports.

	A small quantity handler of universal waste who sends universal waste to a foreign destination other than to those OECD countries specified in 40 CFR 262.58(a)(1) (in which case the handler is subject to the requirements of 40 CFR part 262, subpart H) must:
* * * * *

	21. The introductory text for § 273.40 is revised to read as follows: 

§ 273.40  Exports.

	A large quantity handler of universal waste who sends universal waste to a foreign destination other than to those OECD countries specified in 40 CFR 262.58(a)(1) (in which case the handler is subject to the requirements of 40 CFR part 262, subpart H) must:
* * * * *

	22. The introductory text for § 273.56 is revised to read as follows:

§ 273.56  Exports.

	A universal waste transporter transporting a shipment of universal waste to a foreign destination other than to those OECD countries specified in 40 CFR 262.58(a)(1) (in which case the transporter is subject to the requirements of 40 CFR part 262, subpart H) may not accept a shipment if the transporter knows the shipment does not conform to the EPA Acknowledgment of Consent. In addition the transporter must ensure that:
* * * * *

	23. Section 273.70 is amended by revising the introductory text and by adding a new paragraph (d) to read as follows:

§ 273.70  Imports.

	Persons managing universal waste that is imported from a foreign country into the United States are subject to the applicable requirements of this part, immediately after the waste enters the United States, as indicated in paragraphs (a) through (c) of this section:
* * * * *
	(d) Persons managing universal waste that is imported from an OECD country as specified in 40 CFR 262.58(a)(1) are subject to paragraphs (a) through (c) of this section, in addition to the requirements of 40 CFR part 262, subpart H.

[FR Doc. 96_8087 Filed 4_11_96; 8:45 am]
BILLING CODE 6560_50_P