§ 66262.83. Exports of Hazardous Waste.
22 CA ADC § 66262.83Barclays Official California Code of Regulations
22 CCR § 66262.83
§ 66262.83. Exports of Hazardous Waste.
(a) General export requirements. Except as provided in subsections (a)(5) and (6) of this section, exporters that have received an AOC from U.S. EPA before December 31, 2016 are subject to that approval and the requirements listed in the AOC that existed at the time of that approval until such time the approval period expires. All other exports of hazardous waste are prohibited unless:
1. Submits Electronic Export Information (EEI) for each shipment to the Automated Export System (AES) or its successor system, under the International Trade Data System (ITDS) platform, in accordance with 15 Code of Federal Regulations section 30.4(b), and includes the following items in the EEI, along with the other information required under 15 Code of Federal Regulations section 30.6:
a. Attaching paper documentation of consent (i.e., a copy of the U.S. EPA Acknowledgment of Consent, international movement document) to the manifest, or shipping papers if a manifest is not required, which shall accompany the hazardous waste shipment. For exports by rail or water (bulk shipment), the primary exporter shall provide the transporter with the paper documentation of consent which shall accompany the hazardous waste but which need not be attached to the manifest except that for exports by water (bulk shipment) the primary exporter shall attach the paper documentation of consent to the shipping paper.
b. Providing the transporter with an additional copy of the manifest, and instructing the transporter via mail, email or fax to deliver that copy to the U.S. Customs official at the point the hazardous waste leaves the United States in accordance with 40 Code of Federal Regulations section 263.20(g)(4)(ii).
(B) For shipments initiated on or after the AES filing compliance date, submits Electronic Export Information (EEI) for each shipment to the Automated Export System (AES) or its successor system, under the International Trade Data System (ITDS) platform, in accordance with 15 Code of Federal Regulations section 30.4(b), and includes the following items in the EEI, along with the other information required under 15 Code of Federal Regulations section 30.6:
(1) General notifications. At least sixty (60) days before the first shipment of hazardous waste is expected to leave the United States, the exporter shall provide notification in English to U.S. EPA of the proposed transboundary movement. Notifications shall be submitted electronically using U.S. EPA's Waste Import Export Tracking System (WIETS), or its successor system. In addition, a copy of the notification shall be sent to the Import/Export Coordinator, Department of Toxic Substances Control, 7575 Metropolitan Drive, Suite 108, San Diego, CA 92108. Notwithstanding any other provision of law or regulation, notifications for non-RCRA hazardous waste exports shall only be sent to the Department. The notification may cover up to one year of shipments of one or more hazardous wastes being sent to the same recovery or disposal facility, and shall include all of the following information:
(K) Description(s) of each hazardous waste, including whether each hazardous waste is regulated universal waste under 40 Code of Federal Regulations part 273 or California Code of Regulations, title 22, chapter 23, spent lead-acid batteries being exported for recovery of lead under 40 Code of Federal Regulations part 266, subpart G, or industrial ethyl alcohol being exported for reclamation under 40 Code of Federal Regulations section 261.6(a)(3)(i), estimated total quantity of each waste in either metric tons or cubic meters, the applicable RCRA waste code(s) for each hazardous waste, if applicable, the California Hazardous Waste Code Number (from chapter 11, Appendix XII), the applicable OECD waste code from the lists incorporated by reference in 40 Code of Federal Regulations section 260.11, and the United Nations/U.S. Department of Transportation (DOT) ID number for each waste;
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 guarantee is or shall be in force covering the transboundary movement.
Name:
Signature:
Date:
(2) Exports to pre-consented recovery facilities in OECD Member countries. If the recovery facility is located in an OECD member country and has been pre-consented by the competent authority of the OECD member country to recover the waste sent by exporters located in other OECD member countries, the notification may cover up to three years of shipments. Notifications proposing export to a pre-consented facility in an OECD member country shall include all information listed in subsections (b)(1)(A) through (b)(1)(M) of this section and additionally state that the facility is pre-consented. Exporters shall submit the notification to U.S. EPA using the allowable methods listed in subsection (b)(1) of this section at least ten days before the first shipment is expected to leave the United States.
(3) Notifications listing interim recycling operations or interim disposal operations. If the foreign receiving facility listed in subsection (b)(1)(B) of this section shall engage in any of the interim recovery operations R12 or R13 or interim disposal operations D13 through D15, or in the case of transboundary movements with Canada, any of the interim recovery operations R12, R13, or RC3, or interim disposal operations D13 to D14, or D15, the notification submitted according to subsection (b)(1) of this section shall also include the final foreign recovery or disposal facility name, address, telephone, fax numbers, email address, technologies employed, and which of the applicable recovery or disposal operations R1 through R11 and D1 through D12, or in the case of transboundary movements with Canada, which of the applicable recovery or disposal operations R1 through R11, RC1 to RC2, D1 through D12, and DC1 to DC2 shall be employed at the final foreign recovery or disposal facility. The recovery and disposal operations in this subsection are defined in 40 Code of Federal Regulations section 262.81.
(4) Renotifications. When the exporter wishes to change any of the information specified on the original notification (including increasing the estimate of the total quantity of hazardous waste specified in the original notification or adding transporters), the exporter shall submit a renotification of the changes to U.S. EPA using the allowable methods in subsection (b)(1) of this section, and the Department, in writing. Any shipment using the requested changes cannot take place until the countries of import and transit consent to the changes and the exporter receives a U.S. EPA AOC letter documenting the countries' consents to the changes.
(5) For cases where the proposed country of import and recovery or disposal operations are not covered under an international agreement to which both the United States and the country of import are parties, U.S. EPA shall coordinate with the Department of State to provide the complete notification to country of import and any countries of transit. In all other cases, U.S. EPA shall provide the notification directly to the country of import and any countries of transit. A notification is complete when U.S. EPA receives a notification which U.S. EPA determines satisfies the requirements of subsections (b)(1)(A) through (b)(1)(M) of this section. Where a claim of confidentiality is asserted with respect to any notification information required by subsections (b)(1)(A) through (b)(1)(M) of this section, U.S. EPA may find the notification not complete until any such claim is resolved in accordance with 40 Code of Federal Regulations section 260.2.
(6) Where the countries of import and transit consent to the proposed transboundary movement(s) of the hazardous waste(s), U.S. EPA shall forward a U.S. EPA AOC letter to the exporter documenting the countries' consents. Where any of the countries of import and transit objects to the proposed transboundary movement(s) of the hazardous waste or withdraws a prior consent, U.S. EPA shall notify the exporter.
(7) Export of hazardous wastes for recycling or disposal operations that were originally imported into the United States for recycling or disposal operations in a third country is prohibited unless an exporter in the United States complies with the export requirements of this section, including providing notification to U.S. EPA in accordance with subsection (b)(1) of this section. In addition to listing all required information in subsections (b)(1)(A) through (b)(1)(M) of this section, the exporter shall provide the original consent number issued for the initial import of the wastes in the notification, and receive an AOC from U.S. EPA documenting the consent of the competent authorities in new country of import, the original country of export, and any transit countries prior to re-export.
(1) All exporters shall ensure that a movement document meeting the conditions of subsection (d)(2) of this section accompanies each transboundary movement of hazardous wastes from the initiation of the shipment until it reaches the foreign receiving facility, including cases in which the hazardous waste is stored and/or sorted by the foreign importer prior to shipment to the foreign receiving facility, except as provided in subsections (d)(1)(A) and (B) of this section.
(B) For rail shipments of hazardous waste within the United States which start from the company originating the export shipment, the exporter shall forward the movement document to the next non-rail transporter, if any, or the last rail transporter to handle the hazardous waste in the United States if exported by rail.
(F) Description(s) of each hazardous waste, quantity of each hazardous waste in the shipment, applicable RCRA hazardous waste code(s) for each hazardous waste, applicable OECD waste code for each hazardous waste from the lists incorporated by reference in 40 Code of Federal Regulations section 260.11, and the United Nations/U.S. Department of Transportation (DOT) ID number for each hazardous waste;
(O) As part of the contract requirements per subsection (f) of this section, the exporter shall require that the foreign receiving facility send a copy of the signed movement document to confirm receipt within three working days of shipment delivery to the exporter, to the competent authorities of the countries of import and transit, and for shipments occurring on or after the electronic import-export reporting compliance date, the exporter shall additionally require that the foreign receiving facility send a copy to U.S. EPA at the same time using the allowable methods listed in subsection (b)(1) of this section.
(e) Duty to return or re-export hazardous wastes. When a transboundary movement of hazardous wastes cannot be completed in accordance with the terms of the contract or the consent(s) and alternative arrangements cannot be made to recover or dispose of the waste in an environmentally sound manner in the country of import, the exporter shall ensure that the hazardous waste is returned to the United States or re-exported to a third country. If the waste shall be returned, the exporter shall provide for the return of the hazardous waste shipment within ninety days from the time the country of import informs U.S. EPA of the need to return the waste or such other period of time as the concerned countries agree. In all cases, the exporter shall submit an exception report to U.S. EPA in accordance with subsection (h) of this section.
(1) Exports of hazardous waste 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 shall be executed by the exporter, foreign importer (if different from the foreign receiving facility), and the owner or operator of the foreign receiving facility, and shall 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 arrangements.
(3) Contracts or equivalent arrangements shall specify which party to the contract shall assume responsibility for alternate management of the hazardous wastes if their disposition cannot be carried out as described in the notification of intent to export. In such cases, contracts shall specify that:
(A) The transporter or foreign receiving facility having actual possession or physical control over the hazardous wastes shall immediately inform the exporter, U.S. EPA, and either the competent authority of the country of transit or the competent authority of the country of import of the need to make alternate management arrangements; and
(B) The person specified in the contract shall assume responsibility for the adequate management of the hazardous wastes in compliance with applicable laws and regulations including, if necessary, arranging the return of hazardous wastes and, as the case may be, shall provide the notification for re-export to the competent authority in the country of import and include the equivalent of the information required in subsection (b)(1) of this section, the original consent number issued for the initial export of the hazardous wastes in the notification, and obtain consent from U.S. EPA and the competent authorities in the new country of import and any transit countries prior to re-export.
(4) Contracts shall specify that the foreign receiving facility send a copy of the signed movement document to confirm receipt within three working days of shipment delivery to the exporter and to the competent authorities of the countries of import and transit. For contracts that shall be in effect on or after the electronic import-export reporting compliance date, the contracts shall additionally specify that the foreign receiving facility send a copy to U.S. EPA at the same time using the allowable methods listed in subsection (b)(1) of this section on or after that date.
(5) Contracts shall specify that the foreign receiving facility shall send a copy of the signed and dated confirmation of recovery or disposal, as soon as possible, but no later than thirty days after completing recovery or disposal on the waste in the shipment and no later than one calendar year following receipt of the waste, to the exporter and to the competent authority of the country of import. For contracts that shall be in effect on or after the electronic import-export reporting compliance date, the contracts shall additionally specify that the foreign receiving facility send a copy to U.S. EPA at the same time using the allowable methods listed in subsection (b)(1) of this section on or after that date.
(6) Contracts shall specify that the foreign importer or the foreign receiving facility that performed interim recycling operations R12, R13, or RC3, or interim disposal operations D13 through D15, (recovery and disposal operations defined in 40 Code of Federal Regulations section 262.81) as appropriate, shall:
(B) Promptly send copies of the confirmation of recovery or disposal that it receives from the final foreign recovery or disposal facility within one year of shipment delivery to the final foreign recovery or disposal facility that performed one of recovery operations R1 through R11, or RC1, or one of disposal operations D1 through D12, DC1 or DC2 to the competent authority of the country of import. For contracts that shall be in effect on or after the electronic import-export reporting compliance date, the contracts shall additionally specify that the foreign facility send copies to U.S. EPA at the same time using the allowable method listed in subsection (b)(1) of this section on or after that date.
(A) 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 United States does not require such financial guarantees at this time; however, some OECD Member countries and other foreign countries do. It is the responsibility of the exporter to ascertain and comply with such requirements; in some cases, persons or facilities located in those OECD Member countries or other foreign countries may refuse to enter into the necessary contracts absent specific references or certifications to financial guarantees.
(9) Upon request by U.S. EPA, U.S. exporters, importers, or recovery facilities shall submit to U.S. 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 in accordance with 40 Code of Federal Regulations section 2.203(b) shall be treated as confidential and shall be disclosed by U.S. EPA only as provided in 40 Code of Federal Regulations section 260.2.
(g) Annual reports. The exporter shall file an annual report with U.S. EPA 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. Prior to one year after the AES filing compliance date, the exporter shall mail or hand-deliver annual reports to U.S. EPA using one of the addresses specified in 40 Code of Federal Regulations section 262.82(e), or submit to U.S. EPA using the allowable methods specified in subsection (b)(1) of this section if the exporter has electronically filed U.S. EPA information in AES, or its successor system, per subsection (a)(6)(A)(1) of this section for all shipments made the previous calendar year. Subsequently, the exporter shall submit annual reports to U.S. EPA using the allowable methods specified in subsection (b)(1) of this section. A copy of each report shall be sent to the Department at the following address: Import/Export Coordinator, Department of Toxic Substances Control, 7575 Metropolitan Drive, Suite 108, San Diego, CA 92108. The annual report shall include all of the following subsections (g)(1) through (6) of this section specified as follows:
(5) In even numbered years, for each hazardous waste exported, except for hazardous waste produced by exporters of greater than 100kg but less than 1,000kg in a calendar month, and except for hazardous waste for which information was already provided pursuant to 40 Code of Federal Regulations section 262.41:
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.
(1) The exporter shall file an exception report in lieu of the requirements of 40 Code of Federal Regulations section 262.42 (if applicable) and section 66262.42 of chapter 12 with U.S. EPA and the Department for RCRA hazardous waste, or with the Department for non-RCRA hazardous waste, if any of the following occurs:
(A) The exporter has not received a copy of the hazardous waste manifest (if applicable) signed by the transporter identifying the point of departure of the hazardous waste from the United States, within forty-five (45) days from the date it was accepted by the initial transporter, in which case the exporter shall file the exception report within the next thirty (30) days;
(B) The exporter has not received a written confirmation of receipt from the foreign receiving facility in accordance with subsection (d) of this section within ninety (90) days from the date the waste was accepted by the initial transporter in which case the exporter shall file the exception report within the next thirty (30) days; or
(C) The foreign receiving facility notifies the exporter, or the country of import notifies U.S. EPA, of the need to return the shipment to the U.S. or arrange alternate management, in which case the exporter shall file the exception report within thirty (30) days of notification, or one (1) day prior to the date the return shipment commences, whichever is sooner.
(2) Prior to the electronic import-export reporting compliance date, exception reports shall be mailed or hand delivered to U.S. EPA using the addresses listed in 40 Code of Federal Regulations section 262.82(e). Subsequently, exception reports shall be submitted to U.S. EPA using the allowable methods listed in subsection (b)(1) of this section.
(2) Exporters may satisfy these recordkeeping requirements by retaining electronically submitted documents in the exporter's account on U.S. EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any U.S. EPA or authorized state inspector. No exporter may be held liable for the inability to produce such documents for inspection under this section if the exporter can demonstrate that the inability to produce the document is due exclusively to technical difficulty with U.S. EPA's Waste Import Export Tracking System (WIETS), or its successor system for which the exporter bears no responsibility.
Credits
Note: Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25150.2, 25159, 25159.5, 25160, 25162 and 58012, Health and Safety Code; and 40 CFR Sections 262.80, 262.81, 262.82 and 262.83.
History
1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
2. Repealer and new section heading and section filed 8-20-2018 as a change without regulatory effect pursuant to Health and Safety Code section 25159.1; operative 8-20-2018 (Register 2018, No. 34).
3. Change without regulatory effect amending subsections (b)(3), (f)(6), (f)(6)(B) and Note filed 8-29-2023 pursuant to section 100, title 1, California Code of Regulations (Register 2023, No. 35).
4. Change without regulatory effect amending subsections (b)(1) and (g) filed 11-20-2023 pursuant to section 100, title 1, California Code of Regulations (Register 2023, No. 47).
This database is current through 6/21/24 Register 2024, No. 25.
Cal. Admin. Code tit. 22, § 66262.83, 22 CA ADC § 66262.83
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