CONSOLIDATED CHECKLIST C3

	Standards Applicable to Generators of Hazardous Waste
	40 CFR Part 262 as of December 31, 2002

Note: No final rules affecting 40 CFR Part 262 were promulgated between June 30, 2002 and December 31, 2002, therefore, this Consolidated Checklist corresponds to 40 CFR Part 262 as published on July 1, 2002.

	
FEDERAL REQUIREMENTS	
CHECKLIST
REFERENCE	
FEDERAL RCRA CITATION	
ANALOGOUS STATE CITATION	
STATE ANALOG IS:	
					
EQUIV-ALENT	
LESS
STRIN-
GENT	
MORE STRIN-GENT	
BROADER IN SCOPE	

SUBPART A - GENERAL	

PURPOSE, SCOPE AND APPLICABILITY	

	establish standards for generators	
*	
262.10(a)	

	

	261.5(c) and (d) must be used to determine the applicability of Part 262 for those provisions dependent on a quantity determination	
H142 A	
262.10(b)	

	

1	on-site generator requirements	
II,48,
H142 A	
262.10(c)	

	

H,1	requirements for exporters/importers of waste subject to Part 262 manifest requirements or Part 273 universal waste standards or to analogous State standards, to or from countries listed in 262.58(a)(1)	
152	
262.10(d)	

	

1	
importer requirements	
II,
H142 A,
H152	
262.10(e)	

	

1	farmer's requirements	
II,48,
H142 A,
H152	
262.10(f)	

	

1	compliance requirements and penalties	
II,
H142 A,
H152	
262.10(g)	

	

1	requirements for initiators of shipment	
II,
H142 A,
H152	
262.10(h)	

	

	
persons responding to an explosives or munitions emergency not required to comply with Part 262	
156	
262.10(i)	

	

	
HAZARDOUS WASTE DETERMINATION	

determine if a waste is a hazardous waste	
*	
262.11	

	

	
excluded under 261.4	
II	
262.11(a)	

	

	
listed in Subpart D, Part 261	
II	
262.11(b)	

	

	
identified in subpart C, Part 261	
II,78,83	
262.11(c)	

	

	
testing	
II	
262.11(c)(1)	

	

	
characteristics	
II	
262.11(c)(2)	

	

	
refer to Parts 261, 264, 265, 266, 268 and 273 for possible exclusions or restrictions pertaining to management of specific wastes	
34,
H142 A	
262.11(d)	

	

	
EPA IDENTIFICATION NUMBERS	

EPA identification number required	
II	
262.12(a)	

	

	
application for EPA ID number	
II	
262.12(b)	

	

	
hazardous waste must not be offered to transporters or TSDFs without EPA ID numbers	
II	
262.12(c)	

	

	
SUBPART B - THE MANIFEST	

GENERAL REQUIREMENTS	

offsite transportation; manifest preparation	
II,5	
262.20(a)	

	

	
designated facility permitted to handle waste	
II	
262.20(b)	

	

	
designated alternate facility	
II	
262.20(c)	

	

	
procedures when transporter unable to deliver	
II	
262.20(d)	

	

	
exemption for generators of 100 kg to 1000 kg/month under specified conditions	
23	
262.20(e)	

	

			
262.20(e)(1)	

	

			
262.20(e)(1)(i)	

	

			
262.20(e)(1)(ii)	

	

			
262.20(e)(2)	

	

H	
exemption for transporters of hazardous waste on a right-of-way within or along the border of contiguous property; generator/transporter requirements if discharge	
156	
262.20(f)	

	

	
ACQUISITION OF MANIFESTS	

use consignment State's manifest	
5	
262.21(a)	

	

	
use generator State's manifest	
5	
262.21(b)	

	

	
obtain manifest from any source	
5	
262.21(c)	

	

	
NUMBER OF COPIES	

file copies; copy returned to generator	
II	
262.22	

	

	
USE OF THE MANIFEST	

generator's duties	
II	
262.23(a)	

	

	
generator's signature	
II	
262.23(a)(1)	

	

	
initial transporter's signature and date	
II	
262.23(a)(2)	

	

	
retain copy	
II	
262.23(a)(3)	

	

	
copies to transporter	
II	
262.23(b)	

	

	
shipment by water	
II	
262.23(c)	

	

	
shipment by rail	
II	
262.23(d)	

	

			
262.23(d)(1)	

	

			
262.23(d)(2)	

	

			
262.23(d)(3)	

	

	
shipment to State lacking authorization for particular waste	
71	
262.23(e)	

	

	
SUBPART C - PRE-TRANSPORT REQUIREMENTS	

PACKAGING	

package according to DOT regulations on packaging under 49 CFR 173, 178 and 179	
II	
262.30	

	

	
LABELING	

label according to DOT regulations on hazardous materials under 49 CFR 172	
II	
262.31	

	

	
MARKING	

mark each package according to DOT regulations on hazardous materials under 49 CFR 172	
II	
262.32(a)	

	

	
mark each container of 110 gal. or less; specific wording in accordance with 49 CFR 172.304	
II	
262.32(b)	

	

	PLACARDING	

placard prior to off-site shipment; DOT regulations for hazardous materials under 49 CFR 172, Subpart F	
II	
262.33	

	

	
ACCUMULATION TIME	

90 days accumulation without a permit; specific provisions which must be met	
II,23	
262.34(a)	

	

	
the waste is placed:	
II,28,92	
262.34(a)(1)	

	

	
in containers and generator complies with Subparts I, AA, BB & CC of Part 265; and/or	
II,92,177	
262.34(a)(1)(i)	

	

3	
in tanks and generator complies with Subparts J, AA, BB and CC of Part 265, except 265.197(c) and 265.200; and/or	
II,92,177	
262.34(a)(1)(ii)	

	

H,4	
on drip pads; generator compliance with Subpart W of Part 265; maintenance of the following records at the facility:	
82,92,
109	
262.34(a)(1)(iii)	

	

H,4	
description of procedures to ensure wastes are removed from drip pad and associated collection system at least once every 90 days	
82,92	
262.34(a)(1)(iii)(A)	

	

H,4	
documentation of each waste removal, including quantity, date and time of removal; and/or	
82,92,109	
262.34(a)(1)(iii)(B)	

	

	
waste placed in containment buildings; compliance with 265, Subpart DD; professional engineer certification of compliance with 265.1101 design standards placed in operating record no later than 60 days after the date of initial unit operation; requirements after February 18, 1993; records which must be maintained	
109	
262.34(a)(1)(iv)	

	

	
written description of procedures to ensure each waste volume remains in unit for no more than 90 days; written description of waste generation and management practices for the facility showing that they are consistent with respecting the 90 day limit; documentation that procedures are complied with	
109	
262.34(a)(1)(iv)(A)	

	

	
documentation that unit is emptied at least once every 90 days	
109	
262.34(a)(1)(iv)(B)	

	

	
generator exemption from Subparts G and H of Part 265 requirements, except 265.111 and 265.114	
82,92,109	
unnumbered paragraph following 262.34(a)(1)(iv)(B)	

	

	
date each period of accumulation begins is marked and visible	
II,82,92, 109	
262.34(a)(2)	

	

4	
labeled or marked "Hazardous Waste"	
II,82,92	
262.34(a)(3)	

	

4,	compliance with 265, Subparts C and D, 265.16, and 268.7(a)(5)	
II,78,82,92,H183	
262.34(a)(4)	

	

	consequences of accumulation for longer than 90 days; criteria for extension beyond this period	
II	
262.34(b)	

	

	accumulation of up to 55 gal. of hazardous waste or 1 qt. acutely hazardous waste at point of generation; provisions which must be complied with; procedure if quantity limit is exceeded	
12	
262.34(c)(1)	

	

			
262.34(c)(1)(i)	

	

			
262.34(c)(1)(ii)	

	

			
262.34(c)(2)	

	

	180 day accumulation for 100 kg to 1,000 kg/month generator, provided:	
23	
262.34(d)	

	

	quantity never exceeds 6000 kg	
23	
262.34(d)(1)	

	

	compliance with 265 of this chapter, Subpart I, except 265.176 and 265.178	
23,28,
154	
262.34(d)(2)	

	

	compliance with 265.201	
28	
262.34(d)(3)	

	

	compliance with 262.34(a)(2)&(3) and 265, Subpart C and 268.7(a)(4)	
23,28,83,179	
262.34(d)(4)	

	

6	compliance with specific emergency precautions and procedures	
23,28	
262.34(d)(5)	

	

			
262.34(d)(5)(i)	

	

			
262.34(d)(5)(ii)	

	

			
262.34(d)(5)(ii)(A)	

	

			
262.34(d)(5)(ii)(B)	

	

			
262.34(d)(5)(ii)(C)	

	

			
262.34(d)(5)(iii)	

	

			
262.34(d)(5)(iv)	

	

			
262.34(d)(5)(iv)(A)	

	

			
262.34(d)(5)(iv)(B)	

	

			
262.34(d)(5)(iv)(C)	

	

			
262.34(d)(5)(iv)(C) (1)-(5)	

	

	
200 miles or more transport, 270 day accumulation time; compliance with 262.34(d)	
23	
262.34(e)	

	

	
requirements if accumulation in excess of 6000 kg or longer than 180 days (270 days if waste is transported over a distance of 200 miles)	
23	
262.34(f)	

	

H	
generators who generate 1,000 kilograms or greater of hazardous waste per month who also generate F006 wastes, may accumulate F006 waste on-site for up to 180 days without permit or interim status provided:	
184	
262.34(g) intro	

	

H	
generator implements pollution prevention practices;	
184	
262.34(g)(1)	

	

H	
waste is legitimately recycled through metals recovery;	
184	
262.34(g)(2)	

	

H	
no more than 20,000 kilograms is accumulated on-site at any one time; and	
184	
262.34(g)(3)	

	

H	
waste is managed in accordance with practices specified	
184	
262.34(g)(4) intro	

	

			
262.34(g)(4)(i) intro	

	

			
262.34(g)(4)(i)(A)	

	

			
262.34(g)(4)(i)(B)	

	

			
262.34(g)(4)(i)(C) intro	

	

			
262.34(g)(4)(i)(C) (1)&(2)	

	

			
262.34(g)(4)(ii)	

	

			
262.34(g)(4)(iii)	

	

			
262.34(g)(4)(iv)	

	

			
262.34(g)(4)(v)	

	

H	
generators who generate 1,000 kilograms or greater of hazardous waste per month who also generate F006 wastes, & must transport 200 miles or more for off-site metals recovery, may accumulate F006 waste on-site for up to 270 days without permit or interim status if complies with 262.34(g)(1)-(4)	
184	
262.34(h)	

	

H	
generators accumulating in accordance with 262.34(g) & (h) who accumulate for more than 180 days, or accumulate more than 20,000 kilograms are operators of storage facilities subject to 40 CFR parts 264 & 265, & permit requirements of part 270, unless extension or exception granted; reasons for extensions & exceptions granted; Regional Administrator may grant extensions & exceptions on case-by-case basis  	
184	
262.34(i)	

	

	
SUBPART D - RECORDKEEPING AND REPORTING	

RECORDKEEPING	

manifest copy retention for 3 years	
II	
262.40(a)	

	

	
biennial report and exception report retention for 3 years	
II,H1	
262.40(b)	

	

	
test results and waste analyses retention for 3 years	
II	
262.40(c)	

	

	
automatic extension of retention periods during unresolved enforcement action	
II	
262.40(d)	

	

	
BIENNIAL REPORT	

off-site shipper must submit a biennial report; form used and what must be submitted	
II,1,31	
262.41(a)	

	

	
EPA ID number	
II	
262.41(a)(1)	

	

	
calendar year covered	
II	
262.41(a)(2)	

	

	
off-site TSD facility information	
II,31	
262.41(a)(3)	

	

	
transporter information	
II,31	
262.41(a)(4)	

	

	
hazardous waste information and how it must be reported	
II,31	
262.41(a)(5)	

	

	
describe efforts to reduce volume and toxicity	
17 D	
262.41(a)(6)	

	

	
a description of changes in volume and toxicity	
17 D	
262.41(a)(7)	

	

	
certification	
II,17 D	
262.41(a)(8)	

	

	
on-site handler; separate annual reports for exports	
II,1,31	
262.41(b)	

	

	
EXCEPTION REPORTING	

generators of greater than 1000 kg/month; requirements if manifest copy not received within 35 days	
II,42	
262.42(a)(1)	

	

	
if manifest copy not received within 45 days, must submit exception report; what the report must include	
II,42	
262.42(a)(2)	

	

			
262.42(a)(2)(i)&(ii)	

	

	
generators of 100 to 1000 kg/month; requirements if manifest copy not received within 60 days	
42	
262.42(b)	

	

	
ADDITIONAL REPORTING	

additional information may be required under 2002(a) and 3002(6) of RCRA regarding quantity and disposition	
II	
262.43	

	

	
SPECIAL REQUIREMENTS FOR GENERATORS OF BETWEEN 100 AND 1000 KG/MONTH	

requirements the generator of 100 to 1000 kg/month is subject to	
23,42	
262.44	

	

			
262.44(a)	

	

			
262.44(b)	

	

			
262.44(c)	

	

,	
SUBPART E - EXPORTS OF HAZARDOUS WASTE	

APPLICABILITY	

establishes applicability	
31	
262.50	

	

	
DEFINITIONS	

"consignee"	
31	
262.51	

	

	
"EPA Acknowledgement of Consent"	
31	
262.51	

	

	
"primary exporter"	
31	
262.51	

	

	
"receiving country"	
31	
262.51	

	

	
"transit country"	
31	
262.51	

	

	
GENERAL REQUIREMENTS	

exports prohibited unless:	
31	
262.52	

	

	
notification	
31	
262.52(a)	

	

	
consent of receiving country	
31	
262.52(b)	

	

	
EPA Acknowledgment of Consent	
31	
262.52(c)	

	

	
conformation to terms	
31	
262.52(d)	

	

	
NOTIFICATION OF INTENT TO EXPORT	

contents of notification	
31	
262.53(a)	

	

			
262.53(a)(1)	

	

			
262.53(a)(2)	

	

			
262.53(a)(2)(i)	

	

			
262.53(a)(2)(ii)	

	

			
262.53(a)(2)(iii)	

	

			
262.53(a)(2)(iv)	

	

			
262.53(a)(2)(v)	

	

			
262.53(a)(2)(vi)	

	

			
262.53(a)(2)(vii)	

	

			
262.53(a)(2)(viii)	

	

	
office to notify	
31,97, H152	
262.53(b)	

	

	
changes in original notification	
31	
262.53(c)	

	

	
additional information
	
31	
262.53(d)	

	

	
EPA notification to receiving and transit countries	
31	
262.53(e)	

	

	
EPA notification to primary exporter
	
31	
262.53(f)	

	

	
SPECIAL MANIFEST REQUIREMENTS	

compliance with 262.20 through 262.23 requirements; exceptions:	
31	
262.54	

	

	consignee	
31	
262.54(a)	

	

	alternate consignee	
31	
262.54(b)	

	

	point of departure	
31	
262.54(c)	

	

	item 16 of manifest	
31	
262.54(d)	

	

	obtaining manifest	
31	
262.54(e)	

	

	acknowledgment of receipt by consignee	
31	
262.54(f)	

	

	procedures when unable to deliver	
31	
262.54(g)	

	

			
262.54(g)(1)	

	

			
262.54(g)(2)	

	

			
262.54(g)(3)	

	

	copy of Consent	
31	
262.54(h)	

	

	manifest copy to Customs official at border	
31	
262.54(i)	

	

	
EXCEPTION REPORTS	

	exporter requirements for exception reports:	
31	
262.55	

	

	no manifest within 45 days	
31	
262.55(a)	

	

	no confirmation within 90 days	
31	
262.55(b)	

	

	returned waste	
31	
262.55(c)	

	

	
ANNUAL REPORTS	

reporting requirements; contents of report	
31	
262.56(a)	

	

			
262.56(a)(1)	

	

			
262.56(a)(2)	

	

			
262.56(a)(3)	

	

			
262.56(a)(4)	

	

			
262.56(a)(5)	

	

			
262.56(a)(5)(i)&(ii)	

	

			
262.56(a)(6)	

	

	office filed with	
31,97, H152	
262.56(b)	

	

									

	RECORDKEEPING	

	length to keep records	
31	
262.57(a)	

	

			
262.57(a)(1)	

	

			
262.57(a)(2)	

	

			
262.57(a)(3)	

	

			
262.57(a)(4)	

	

	retention period extension	
31	
262.57(b)	

	

H,	
INTERNATIONAL AGREEMENTS	

	requirements for exporters/importers of hazardous waste subject to manifest requirements of Part 262, to universal waste standards of Part 273 or to analogous state standards, to or from countries defined in (a)(1) for recovery	
31,152	
262.58(a)	

	

	designated OECD countries	
152	
262.58(a)(1)	

	

	Canada and Mexico	
152	
262.58(a)(2)	

	

	requirements for exporters/importers of hazardous waste from OECD countries other than for recovery, or from Canada or Mexico for any purpose	
152	
262.58(b)	

	

	SUBPART F - IMPORTS OF HAZARDOUS WASTE	

	IMPORTS OF HAZARDOUS WASTE	

	applicability	
31	
262.60(a)	

	

	manifest requirements; exceptions	
31	
262.60(b)	

	

			
262.60(b)(1)	

	

			
262.60(b)(2)	

	

	obtaining manifest	
31	
262.60(c)	

	

	SUBPART G - FARMERS	

10	FARMERS	

	provisions for variance	
II,31,H39	
262.70	

	

	
SUBPART H - TRANSFRONTIER SHIPMENTS OF HAZARDOUS WASTE FOR RECOVERY WITHIN THE OECD	

H	APPLICABILITY	

	requirements of part 262 subpart H apply to imports and exports of wastes considered hazardous under U.S. national procedures and destined for recovery in countries listed in 262.58(a)(1); a waste is considered hazardous if it meets the definition of hazardous waste in 261.3 and is subject to either the manifesting requirements in part 262 subpart B, the universal waste management standards in part 273, or State requirements analogous to part 273	
152	
262.80(a)	

	

	persons who mix two or more wastes or subjects two or more wastes to physical or chemical transformation operations, and thereby creates a new hazardous waste, become generators  and assume generator duties under RCRA and any notifier duties under part 262 subpart H, if applicable	
152	
262.80(b)	

	

									

		

H	
DEFINITIONS	

definitions applicable to part 262 subpart H	
152	
262.81	

	

	
"competent authorities"	
152	
262.81(a)	

	

	
"concerned countries"	
152	
262.81(b)	

	

	
"consignee"	
152	
262.81(c)	

	

	
"country of transit"	
152	
262.81(d)	

	

	
"exporting country"	
152	
262.81(e)	

	

	
"importing country"	
152	
262.81(f)	

	

	
"notifier"	
152	
262.81(g)	

	

	
"OECD area"	
152	
262.81(h)	

	

	
"recognized trader"	
152	
262.81(i)	

	

	
"recovery facility"	
152	
262.81(j)	

	

	
"recovery operations"	
152	
262.81(k)	

	

	
"transfrontier movement"	
152	
262.81(l)	

	

H	
GENERAL CONDITIONS	

level of import and export waste control is indicated by green, amber, or red lists and by U.S. national procedures as defined in 262.80(a); green, amber, and red lists are incorporated by reference in 262.89(e)	
152	
262.82(a)	

	

	
green-list wastes are subject to existing controls normally applied to commercial transactions, except as provided below:	
152	
262.82(a)(1)	

	

	
green-list wastes that are considered hazardous under U.S. national procedures are subject to amber-list controls	
152	
262.82(a)(1)(i)	

	

	
green-list wastes that are contaminated or mixed with amber-list wastes, such that the waste is considered hazardous, are subject to amber-list controls	
152	
262.82(a)(1)(ii)	

	

	
green-list wastes that are contaminated or mixed with red-list wastes, such that the waste is considered hazardous under U.S. national procedures, are subject to red-list controls	
152	
262.82(a)(1)(iii)	

	

	
amber-list wastes that are considered hazardous under 262.80(a) are subject to the amber-list controls of part 262 subpart H	
152	
262.82(a)(2)	

	

	
amber-list wastes contaminated or mixed with red-list wastes, such that the waste is considered hazardous under U.S. national procedures, must be handled in accordance with red-list controls	
152	
262.82(a)(2)(i)	

	

	
Reserved
	
152	
262.82(a)(2)(ii)	

	

	
red-list wastes that are considered hazardous under 262.80(a) are subject to red-list controls of part 262 subpart H	
152	
262.82(a)(3)	

	

	
wastes not yet assigned to a list are eligible for transfrontier movements, as follows:	
152	
262.82(a)(4)	

	

	
wastes considered hazardous under 262.80(a) are subject to red-list controls, or	
152	
262.82(a)(4)(i)	

	

	
wastes not considered hazardous under 262.80(a) may move as though they appeared on the green list	
152	
262.82(a)(4)(ii)	

	

	
general conditions applicable to transfrontier movements of hazardous waste	
152	
262.82(b)	

	

	
waste must be destined for recovery operations at a facility that, under domestic law, is operating or is authorized to operate in the importing country	
152	
262.82(b)(1)	

	

	
transfrontier movement must comply with international transport agreements, and 	
152	
262.82(b)(2)	

	

	
waste transported through a non-OECD country must comply with applicable international and national laws and regulations	
152	
262.82(b)(3)	

	

	
provisions relating to re-export for recovery to a third country	
152	
262.82(c)	

	

	
re-export of amber-list wastes from 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 competent authorities in the third country, the original exporting country, and new transit countries; notification must comply with 262.83; 30‑day objection period to proposed movement	
152	
262.82(c)(1)	

	

	
30‑day period begins when competent authorities in both the initial exporting country and the new importing country issue Acknowledgements of Receipt of the notification	
152	
262.82(c)(1)(i)	

	

	
transfrontier movement may commence if no objection lodged after the 30‑day period has passed or immediately after written consent is received from all relevant OECD importing and transit countries	
152	
262.82(c)(1)(ii)	

	

	
re-export of red-list wastes from original importing country to a third country listed in 262.58(a)(1) may occur following notification of the competent authorities in the third country, the original exporting country, and new transit countries by a notifier in original importing country in accordance with 262.83; transfrontier movement may not proceed until receipt by original importing country of written consent of the competent authorities	
152	
262.82(c)(2)	

	

	
re-export of amber‑list or red-list wastes to a country other than those listed in 262.58(a)(1) is subject to the notification and consent requirements in 262.82(c)(1)&(2) in addition to compliance with international agreements and arrangements to which the first importing OECD country is party and all applicable regulatory requirements for exports from the first importing country
	
152	
262.82(c)(3)	

	

H	
NOTIFICATION AND CONSENT	

applicability; consent must be obtained from competent authorities of OECD importing and transit countries prior to exporting hazardous waste destined for recovery operations subject to part 262 subpart H; hazardous wastes subject to amber-list controls are subject to the requirements in 262.83(b); hazardous wastes subject to red-list controls are subject to the requirements in 262.83(c); and wastes not identified on any list is subject to the requirements in 262.83(d)	
152	
262.83(a)	

	

	
export from the U.S. of hazardous wastes on the amber list described in 262.80(a) is prohibited unless the requirements of 262.83(b)(1) or (2) are met	
152	
262.83(b)	

	

	
transactions requiring specific consent:	
152	
262.83(b)(1)	

	

	
at least 45 days prior to transfrontier movement the notifier must provide written notification in English of proposed transfrontier movement to Office of Enforcement and Compliance Assurance, with words "Attention: OECD Export Notification" on the envelope; notification must include all the information identified in 262.83(e); for wastes with similar physical and chemical characteristics, the same U.N. classifications, and the same RCRA wastes codes, which are to be sent to the same recovery facility, the notifier may submit one notification of intent to export wastes in multiple shipments during a period of up to one year	
152	
262.83(b)(1)(i)	

	

	
transfrontier movement may commence upon tacit consent; if no objections to notification provided pursuant to 262.83(b)(1)(i) are lodged within 30 days after issuance of Acknowledgment of Receipt by the competent authority of the importing country; tacit consent expires one year after close of 30 day period; renotification and renewal is required for exports after that expiration date	
152	
262.83(b)(1)(ii)	

	

	
written consent; if competent authorities of OECD importing and transit countries provide written consent in a period less than 30 days, transfrontier movement may commence immediately; written consent expires one year after date of consent; renotification and renewal is required for exports after that expiration date	
152	
262.83(b)(1)(iii)	

	

	
shipments to facilities pre-approved by competent authorities of importing countries:	
152	
262.83(b)(2)	

	

	notifier must provide EPA with information identified in 262.83(e) at least 10 days in advance of shipment to pre-approved facility; notification should indicate the facility is pre‑approved, and may apply to a single specific shipment or multiple shipments as described in 262.83(b)(1)(i); information must be sent to Office of Enforcement and Compliance Assurance with "OECD Export Notification--Pre‑approved Facility" displayed on the envelope	
152	
262.83(b)(2)(i)	

	

	shipments may commence after notification required in 262.83(b)(1)(i) is received by competent authorities of all concerned countries, unless notifier receives information indicating objections to the shipment	
152	
262.83(b)(2)(ii)	

	

	export from the U.S. of hazardous wastes as described in 262.80(a) that appear on the red list is prohibited unless notice pursuant to 262.83(b)(1)(i) is given and notifier receives written consent from the importing country and any transit countries prior to transfrontier movement	
152	
262.83(c)	

	

	
wastes not assigned to the green, amber, or red list that are considered hazardous under 262.80(a) are subject to notification and consent requirements for red-list wastes in accordance with 262.83(c); unlisted wastes that are not considered hazardous under 262.80(a) are not subject to amber or red controls when exported or imported	
152	
262.83(d)	

	

	
notifications submitted must include the following information:	
152	
262.83(e)	

	

	
serial number or other identifier of the notification form	
152	
262.83(e)(1)	

	

	
notifier name and EPA identification number, address, and telephone and telefax numbers	
152	
262.83(e)(2)	

	

	
importing recovery facility name, address, telephone and telefax numbers, and technologies employed	
152	
262.83(e)(3)	

	

	
consignee name, address, and telephone and telefax numbers; whether consignee will engage in waste exchange or storage prior to delivery to final recovery facility and identification of operations employed at final recovery facility	
152	
262.83(e)(4)	

	

	
intended transporters and/or their agents	
152	
262.83(e)(5)	

	

	
country of export and competent authority; point of departure	
152	
262.83(e)(6)	

	

	
countries of transit and competent authorities; points of entry and departure	
152	
262.83(e)(7)	

	

	
country of import and competent authority; point of entry	
152	
262.83(e)(8)	

	

	
statement of whether notification is single or general notification; if general, include period of validity requested	
152	
262.83(e)(9)	

	

	
date foreseen for commencement of transfrontier movement	
152	
262.83(e)(10)	

	

	
designation of waste type(s) from list (green, red or amber), descriptions of each waste type, estimated total quantity of each waste, RCRA waste code, and U.N. number; and	
152	
262.83(e)(11)	

	

	
certification/declaration signed by notifier that the information is complete and correct, and that legally enforceable written contractual obligations have been entered into	
152	
262.83(e)(12)	

	

H	
TRACKING DOCUMENT	

U.S. parties subject to 262.85 must ensure that a tracking document meeting the conditions of 262.84(b), accompanies each transfrontier shipment of amber-list or red-list wastes as specified, except as provided in 262.84(a)(1) and (2)	
152	
262.84(a)	

	

	
for shipments of hazardous waste in the U.S. solely by water (bulk shipments only), the generator  must forward tracking document with the manifest to last water transporter to handle the waste in the U.S. in accordance with 262.23(c)	
152	
262.84(a)(1)	

	

	
for rail shipments of hazardous waste in the U.S. originating at the site of generation, the generator must forward the tracking document with the manifest in accordance with 262.23(d) to next non‑rail transporter or to last rail transporter to handle the waste in the U.S.	
152	
262.84(a)(2)	

	

	
tracking document must include information required under 262.83 and the following:	
152	
262.84(b)	

	

	
date shipment commenced	
152	
262.84(b)(1)	

	

	
name (if not notifier), address, phone and telefax number of primary exporter	
152	
262.84(b)(2)	

	

	
company name and EPA identification number of all transporters	
152	
262.84(b)(3)	

	

	identification (license, registered name or registration number) of means of transport, including types of packaging	
152	
262.84(b)(4)	

	

	any special precautions to be taken by transporters 	
152	
262.84(b)(5)	

	

	certification/declaration signed by notifier that no objection to the shipment has been lodged	
152	
262.84(b)(6)	

	

	appropriate signatures for each custody transfer	
152	
262.84(b)(7)	

	

	notifiers must comply with manifest requirements of 262.54 (a),(b),(c),(e),&(i) and part 262 subpart F	
152	
262.84(c)	

	

	each U.S. person that has physical custody of waste must sign tracking document	
152	
262.84(d)	

	

	within three working days of the receipt of imports subject to part 262 subpart H, the owner or operator of the U.S. recovery facility must send signed copies of the tracking document to notifier, Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division, and to competent authorities of exporting and transit countries	
152	
262.84(e)	

	

H	CONTRACTS	

	transfrontier movements of hazardous wastes subject to amber or red control procedures are prohibited unless they occur under a valid written contract, chain of contracts, or equivalent arrangements; such contracts or equivalent arrangements must be executed by the notifier and the owner or operator of the recovery facility; such contracts or equivalent arrangements are valid only if participants have appropriate legal status	
152	
262.85(a)	

	

	
contracts or equivalent arrangements must specify name and EPA identification number, where available, of:	
152	
262.85(b)	

	

	
generator of each type of waste;	
152	
262.85(b)(1)	

	

	
each person who will have physical custody of wastes;	
152	
262.85(b)(2)	

	

	
each person who will have legal control of wastes; and	
152	
262.85(b)(3)	

	

	
the recovery facility	
152	
262.85(b)(4)	

	

	
contracts or equivalent arrangements must specify the party who will assume responsibility for alternate waste management if its disposition cannot be carried out as described in the notification of intent to export; contracts must specify:	
152	
262.85(c)	

	

	
person with actual possession or physical control of wastes must immediately inform notifier and competent authorities of the exporting and importing countries; if wastes located in a country of transit, notify competent authorities of that country; and	
152	
262.85(c)(1)	

	

	
person specified in contract assumes responsibility for adequate management of wastes in compliance with applicable laws including arranging for the return of the waste to original country of export, if necessary	
152	
262.85(c)(2)	

	

	
contracts must specify that the consignee will provide notification as required in 262.82(c) prior to re-export to a third country	
152	
262.85(d)	

	

	
contracts or equivalent arrangements must include financial guarantee provisions, if required, in accordance with applicable national or international law	
152	
262.85(e)	

	

	
contracts or equivalent arrangements must require compliance with all applicable requirements of part 262 subpart H	
152	
262.85(f)	

	

	
upon EPA request, U.S. notifiers, consignees, or recovery facilities must submit to EPA copies of contracts, chain of contracts or equivalent arrangements; confidential information in the contracts or equivalent arrangements will be disclosed by EPA only as provided in 260.2	
152	
262.85(g)	

	

H	
PROVISIONS RELATING TO RECOGNIZED TRADERS	

a recognized trader who takes physical custody of waste and conducts recovery operations is acting as the owner or operator of a recovery facility and must be authorized in accordance with applicable Federal law	
152	
262.86(a)	

	

	
a recognized trader acting as notifier or consignee must comply with the requirements of part 262 subpart H	
152	
262.86(b)	

	

H	
REPORTING AND RECORDKEEPING	

for all waste movements subject to part 262 subpart H, primary exporters, as defined in 262.51, shall file annual reports no later than March 1 of each year that summarize the types, quantities, frequency, and ultimate destination of all hazardous waste exported; such reports shall include:	
152	
262.87(a)	

	

	
EPA identification number, name, mailing and site address of the notifier filing report	
152	
262.87(a)(1)	

	

	
calendar year covered by the report	
152	
262.87(a)(2)	

	

	
name and site address of each final recovery facility	
152	
262.87(a)(3)	

	

	
for each hazardous waste exported by a final recovery facility, a description of the hazardous waste, EPA hazardous waste number, OECD waste type(s) and waste code, DOT hazard class, name and EPA identification number of each transporter, total amount of waste shipped, and number of shipments pursuant to each notification	
152	
262.87(a)(4)	

	

	
in even numbered years, for each hazardous waste exported, except for hazardous waste produced by exporters of greater than 100 kg but less than 1000 kg in a calendar month, and except for waste for which information already provided pursuant to 262.41:	
152	
262.87(a)(5)	

	

	
description of efforts to reduce volume and toxicity of waste generated; and	
152	
262.87(a)(5)(i)	

	

	
description of changes in volume and toxicity achieved during the year in comparison to previous years; and	
152	
262.87(a)(5)(ii)	

	

	
certification signed by primary exporter that the information is true, accurate, and complete	
152	
262.87(a)(6)	

	

	
exception reports; persons meeting the definition of primary exporter in 262.51 must file an exception report with the Administrator in lieu of the requirements of 262.42 if any of the following occurs:	
152	
262.87(b)	

	

	
he has not received a copy of the tracking document signed by the transporter stating the point of departure of the waste from the U.S. within 45 days from acceptance date	
152	
262.87(b)(1)	

	

	
within 90 days from the date the waste was accepted by the initial transporter, the notifier has not received written confirmation that the hazardous waste was received	
152	
262.87(b)(2)	

	

	
waste is returned to U.S.	
152	
262.87(b)(3)	

	

	
recordkeeping	
152	
262.87(c)	

	

	
persons meeting the definition of primary exporter in 262.51 shall keep the following records:	
152	
262.87(c)(1)	

	

	
a copy of each notification of intent to export and all written consents obtained from competent authorities of concerned countries for at least 3 years from the date the waste was accepted by the initial transporter	
152	
262.87(c)(1)(i)	

	

	
a copy of each annual report for at least 3 years from the due date of the report; and	
152	
262.87(c)(1)(ii)	

	

	
a copy of any exception reports and a copy of each confirmation of delivery sent by the recovery facility to the notifier for at least 3 years as specified	
152	
262.87(c)(1)(iii)	

	

	
periods of retention are automatically extended during unresolved enforcement action or as requested by Administrator	
152	
262.87(c)(2)	

	

H	
PRE-APPROVAL FOR U.S. RECOVERY FACILITIES	

reserved	
152	
262.88	

	

H	
OECD WASTE LISTS	

for the purposes of part 262 subpart H, a waste is considered hazardous if the waste:	
152	
262.89(a)	

	

	
meets Federal definition of hazardous waste in 261.3; and 	
152	
262.89(a)(1)	

	

	
is subject to the RCRA manifesting requirements at part 262, subpart B, to the universal waste standards of part 273, or to State requirements analogous to part 273	
152	
262.89(a)(2)	

	

	
if waste is hazardous under 262.89(a) and appears on the amber or red list, it is subject to amber- or red-list requirements, respectively	
152	
262.89(b)	

	

	if waste is hazardous under 262.89(a) and does not appear on either the amber or red lists, it is subject to red-list requirements	
152	
262.89(c)	

	

	
the appropriate control procedures for hazardous waste and hazardous waste mixtures are addressed in 262.82	
152	
262.89(d)	

	

	OECD Green, Amber, and Red Lists as set forth in Appendices 3, 4, and 5 to the OECD Council Decision C(92)39/FINAL are incorporated by reference as they existed on date of approval; notice of any change will be published in the Federal Register; these materials are available for inspection at Office of Federal Register and may be obtained from the Organization for Economic Cooperation, France	
152	
262.89(e)	

	

	APPENDIX TO PART 262	

UNIFORM HAZARDOUS WASTE MANIFEST AND INSTRUCTIONS (EPA FORMS 8700-22 AND 8700-22A AND THEIR INSTRUCTIONS)	

uniform hazardous waste manifest form; instructions	
Base,5,17 D,31,32,58	
Appendix