Information for Importers and Receiving Facilities of Resource Conservation and Recovery Act (RCRA) Hazardous Waste

EPA transitioned to a new system for processing hazardous waste export and import notices on January 18th, 2022 called RCRAInfo WIETS (Waste Import Export Tracking System). Access WIETS through EPA’s Central Data Exchange (CDX). 

Importers of RCRA hazardous waste are subject to the hazardous waste generator and importer requirements described in Title 40 of the Code of Federal Regulations (CFR) Part 262 Subpart A – D and H. Information about the updated requirements for such imports are described on this page.

Resources

Hazardous waste importers should also check with their state regulatory agency because certain states have additional or more stringent requirements than the federal government. Read more about the summary of RCRA Requirements for Hazardous Waste Imports.

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Updated Regulatory Definitions for 12 Recovery and Disposal Operations Used for Export and Import

Effective on October 31, 2021, the Environmental Protection Agency (EPA or the Agency) is making conforming changes to regulations related to 12 hazardous waste import-export recovery and disposal operations used in hazardous waste export and import notices submitted to EPA by U.S. exporters and importers, and in movement documents that accompany export and import shipments. The changes to regulations related to these 12 recovery and disposal operations are needed to reflect changes to regulations related to Canadian import-export recovery and disposal operations that Canada promulgated in the Canada Gazette Part II on March 17, 2021 and that become effective in Canada on October 31, 2021. EPA’s Waste Import Export Tracking System (WIETS) must be used to create and submit U.S. exporter and U.S. importer notices to the Agency, and WIETS will reflect the changes in the recovery and disposal operation lists for exporters and importers to use in notices submitted to EPA on or after October 31, 2021.

The current and revised regulatory text for the twelve affected disposal and recovery operations are as follows:

Current regulatory definition Regulatory definition effective 10/31/2021
(13) D13 Blending or mixing, prior to any of operations D1 through D12. (13) D13 Interim blending or mixing, before an operation that bears any of the disposal operations D1 to D12.
(14) D14 Repackaging, prior to any of operations D1 through D13. (14) D14 Interim repackaging, before an operation that bears any of the disposal operations D1 to D12.
(15) D15 (or DC17 for transboundary movements with Canada only) Interim Storage, prior to any of operations D1 through D12. (15) D15 Interim storage, before an operation that bears any of the disposal operations D1 to D12.
(16) DC15 Release, including the venting of compressed or liquified gases, or treatment, other than by any of operations D1 to D12 (for transboundary movements with Canada only). (16) DC1 Release, including the venting of compressed or liquified gases, or treatment, other than by any of disposal operation codes D1 to D12. (for transboundary movements with Canada only).
(17) DC16 Testing of a new technology to dispose of a hazardous waste (for transboundary movements with Canada only). (17) DC2 Testing of a new technology to dispose of a hazardous waste (for transboundary movements with Canada only).
(11) R11 Uses of residual materials obtained from any of the operations numbered R1 through R10 or RC14 (for transboundary shipments with Canada only). (11) R11 Use of residual materials obtained from any of the recovery operation codes numbered R1 through R10 or RC1.
(12) R12 Exchange of wastes for submission to any of the operations numbered R1 through R11 or RC14 (for transboundary shipments with Canada only). (12) R12 Interim exchange of wastes before recycling using any of the recovery operation codes numbered R1 through R11 or RC1.
(13) R13 Accumulation of material intended for any operation numbered R1 through R12 or RC14 (for transboundary shipments with Canada only). (13) R13 Interim accumulation of wastes before recycling using any of the recovery operation codes numbered R1 through R11 or RC1.
(14) RC14 Recovery or regeneration of a substance or use or re-use of a recyclable material, other than by any of operations R1 to R10 (for transboundary shipments with Canada only). (14) RC1 Recovery or regeneration of a substance or use or re-use of a recyclable material, other than by any of operations R1 to R10 (for transboundary shipments with Canada only).
(15) RC15 Testing of a new technology to recycle a hazardous recyclable material (for transboundary shipments with Canada only). (15) RC2 Testing of a new technology to recycle a hazardous recyclable material (for transboundary shipments with Canada only).
(16) RC16 Interim storage prior to any of operations R1 to R11 or RC14 (for transboundary shipments with Canada only). (16) RC3 Interim storage prior to any of operations R1 to R11 or RC1 (for transboundary shipments with Canada only).

EPA Identification (EPA ID) Number

All importers must obtain an EPA ID Number before arranging for import of hazardous waste, including hazardous waste treatment, storage and disposal facilities (TSDFs) (40 CFR sections 264.11 and 265.11), hazardous waste transporters (40 CFR section 263.11(a)), and recognized traders (40 CFR section 262.18(e)).

If you do not have an EPA ID number, you may apply to obtain one using EPA Form 8700-12 (or an authorized State’s equivalent form). For more information, go to EPA's Web page about obtaining an EPA ID number. 

Contract

U.S. recovery or disposal facilities that receive hazardous waste shipments must establish a contract with the foreign exporter and the U.S. importer (if different from the U.S. receiving facility) before any shipment can occur (See 40 CFR section 262.84(f)). This contract must be a valid, written contract which specifies the responsibilities of the foreign exporter, importer, and the receiving facility and require that each party comply with all applicable requirements under 40 CFR Part 262 Subpart H.

The contract must specify the name and the EPA ID number (where available and applicable) of the generator of the waste, each person that will have physical custody of the waste, each person that will have legal control of the wastes, and the receiving facility. The contract must also designate the party or person that will assume responsibility for adequate management of the waste and if necessary, for alternate management of the waste. Transboundary movements of waste are prohibited unless they occur under the terms of the contract.

Notice of Intent

Resources

The importer (or TSDF, if acting as the importer) is responsible for submitting a notice in English to EPA proposing import of hazardous waste at least 60 days before the first shipment is expected to depart the country of export in cases where the country of export does not control the shipment as an export of hazardous waste (40 CFR section 262.84(b)). Otherwise, EPA expects to receive the notice from the competent foreign authority of the exporting country. When EPA receives an import notice directly from an importer, it will first need to confirm that no export notice is required by the country of export before it can further process the notice. U.S. importer notices concerning shipments from maquiladora facilities in Mexico already have such confirmation on file, but EPA will need to receive such confirmation via email for all other U.S. importer notices.

Notifications must include information about the foreign exporter, receiving facility, importer and transporter(s), statement of whether the notification covers a single shipment or multiple shipments, dates of the shipment, means of transport, description of each hazardous waste, specification of the recovery or disposal operation(s), and signed certification statement (40 CFR section 262.84(b)(1)(i)-(xiii)). The notice can cover up to one year of shipments of wastes having similar physical and chemical characteristics, the same United Nations classification, the same RCRA waste codes and OECD waste codes, and being sent from the same foreign exporter.

EPA will either provide its consent or objection to the foreign competent authority or U.S. importer. Imports are prohibited until EPA issues the Agency’s import consent documentation to the U.S. receiving facility or facilities as described in the “Consent Documentation” section below.

When needed, the importer must send notification to EPA. EPA strongly recommends that all U.S. importer notices be submitted using EPA’s Waste Import Export Tracking System (WIETS) to facilitate EPA's review and response. Paper notices are allowed to be submitted at this time, but importers may experience significant delays in the processing of such notices. If used, paper notices must be mailed or delivered to EPA at one of the following addresses:

For U.S. Postal Mail Delivery, mail to:

Attention: Notice of Intent to Import

Office of Land and Emergency Management
Office of Resource Conservation and Recovery
Materials Recovery and Waste Management Division
International Branch (Mail Code 2255A)
Environmental Protection Agency
1200 Pennsylvania Ave. NW.
Washington, DC 20460

For Courier Service, mail to:

Attention: Notice of Intent to Import
Office of Land and Emergency Management
Office of Resource Conservation and Recovery
Materials Recovery and Waste Management Division
International Branch (Mail Code 2255A)
Environmental Protection Agency
William Jefferson Clinton South Building
Room 6144, 1200 Pennsylvania Ave. NW., Washington, DC 20004

Notifications submitted on or after the electronic import-export reporting compliance date must be submitted electronically using EPA’s WIETS.

Consent Documentation

If and when EPA determines that the proposed import of hazardous waste complies with U.S. laws and regulations, it will consent. If the notice was sent by the country of export, EPA will inform the country of export that the import is allowable. If the notice was sent by the U.S. importer, the Agency will send an EPA Acknowledgement of Consent letter to the importer documenting EPA’s consent and the consent of the competent authorities of any transit countries.

If and when EPA informs the country of export or the U.S. importer that the import is allowable, the Agency will send a cover letter and copy of the foreign notice to all U.S. receiving facilities listed in the foreign notice to facilitate compliance with manifest-related reporting requirements (See 40 CFR sections 264.71(a)(3)/265.71(a)(3)). The EPA cover letter and attached foreign export or U.S. importer-submitted notice will serve as EPA’s import consent documentation for the export described in the foreign or U.S. importer notice. EPA will email the import consent documentation using the contact information listed for the facilities in the notice.

A U.S. TSDF receiving a RCRA manifested hazardous waste shipment from a foreign source is required to list the relevant consent number from consent documentation supplied by EPA to the facility for each waste listed on the manifest, matched to the relevant list number for the waste. If additional space is needed, the owner or operator should use a Continuation Sheet(s) (EPA Form 8700-22A). The TSDF must also send a copy of the manifest within thirty (30) days of delivery to EPA using the addresses listed in 40 CFR section 262.82(e) until the facility can submit such a copy to the e-Manifest system per 40 CFR section 264.71(a)(2)(v).

RCRA Manifest

Hazardous waste importers must complete a manifest when the waste enters the United States (40 CFR section 262.84(c)). Importers follow the general manifesting requirements for domestic generators in 40 CFR section 262.20(a), except for the following special provisions in 40 CFR section 262.84(c), including:

  • In place of the generator's name, address and EPA identification number, the importer must use the name and address of the foreign generator and the importer's name, address and EPA identification number;
  • In place of the generator's signature on the certification statement, the U.S. importer (or importer’s agent) and the initial transporter must sign and date the certification; and
  • In the “International Shipments” block on the manifest, the importer must check the import box and enter the point of entry into the United States.

Additionally, the importer must provide the transporter with an additional copy of the manifest prior to transporting the import shipment within the United States. The receiving facility will add the relevant consent number from consent documentation supplied by EPA to the facility for each waste listed on the manifest, matched to the relevant list number for the waste, and send a copy of the manifest within thirty (30) days of delivery to the e-Manifest system per 40 CFR section 264.71(a)(2)(v) (See 40 CFR sections 264.71(a)(3)/265.71(a)(3)).

Please note that the RCRA manifest is not required for imports of universal waste (40 CFR section 273.52) or spent-lead acid batteries (SLABs) (See 40 CFR section 266.80). For more information about the import and export requirements for universal waste and SLABs can be found on the requirements for imports and exports of specific RCRA wastes page.

When a shipment cannot be delivered for any reason to the receiving facility, under contract requirements in 40 CFR section 262.84(f)(4) the transporter or receiving facility having actual possession or physical control over the hazardous wastes will immediately inform the foreign exporter and importer, and the competent authority where the shipment is located of the need to arrange alternate management or return. The person specified in the contract will assume responsibility for the adequate management of the hazardous wastes in compliance with applicable laws and regulations including, if necessary, arranging the return of the hazardous wastes to the country of export and, as the case may be, shall provide the notification for re-export to a third country required in 40 CFR section 262.83(b)(7). For manifested hazardous waste import shipments located in the United States, and after consulting with the responsible person specified in the contract, the importer must instruct the transporter to return the hazardous waste to the foreign exporter or designate another facility within the United States and revise the manifest in accordance with the importer’s instructions, in lieu of the requirements of 40 CFR section 262.20(d)
(see 40 CFR section 262.84(c)(5))).

International Movement Document

Transboundary shipments of hazardous waste must be accompanied by an international movement document from the initiation of the shipment in the country of export until it reaches the receiving facility. The international movement document includes information on the date the shipment commenced, the name of the exporter, recovery facility, and all transporters, and a certification statement. For information about the information required on the international movement document, see 40 CFR section 262.84(d)).

Use of the widely accepted OECD/Basel international movement document, or any other movement document required by the country of export is acceptable provided that all the required information can be included on the movement document. Environment and Climate Change Canada (ECCC) confirmed in 2015 that use of the Canadian movement document is required, and Mexico’s Secretaría de Medio Ambiente y Recursos Naturales (SEMARNAT) confirmed in Spring 2016 that they would prefer use of the Mexican tracking document to minimize the number of tracking documents accompanying each shipment. Use of the Canadian movement document or Mexican tracking document is acceptable to EPA so long as all required items in 40 CFR section 262.84(d) are included.

All U.S. parties that manage the hazardous waste shipment (transporters, the ultimate TSDF or recovery facility owner) must sign this international movement document and ensure that it accompanies the shipment to the recovery facility. Within three working days of receiving the shipment, the recovery facility must send signed copies of the international movement document to the following parties:

  • the foreign exporter;
  • the competent authority of the exporting country;
  • the competent authority of the transit countries (if any); and
  • for shipments received on or after the electronic import-export reporting compliance date that EPA will establish in a future Federal Register notice, send the international movement document to EPA electronically using EPA’s WIETS.

Notification of Need to Arrange Alternate Management or Return of a Hazardous Waste Import Shipment

When a shipment cannot be delivered for any reason to the U.S. receiving facility, under contract requirements in 40 CFR section 262.84(f)(4) the transporter or receiving facility having actual possession or physical control over the hazardous wastes will immediately inform the foreign exporter and importer, and the competent authority where the shipment is located of the need to arrange alternate management or return. As per the contract requirements and the TSDF requirements in 40 CFR sections 264.12(a)(3) and 265.12(a)(3), if the U.S. receiving facility has physical control of the waste and it must be sent to an alternate facility or returned to the country of export, the receiving facility must inform EPA of the need to return or arrange alternate management of the shipment.

Notifications submitted prior to the electronic import-export reporting compliance date may be emailed to RCRANotifications@epa.gov, or may be mailed or hand delivered to EPA at one of the following addresses:

For U.S. Postal Mail Delivery, mail to:

Attention: Notification of Need to Arrange Alternate Management or Return of an Import Shipment
Office of Land and Emergency Management
Office of Resource Conservation and Recovery
Materials Recovery and Waste Management Division
International Branch (Mail Code 2255A)
Environmental Protection Agency
1200 Pennsylvania Ave. NW.
Washington, DC 20460

For Hand Delivery, mail to:

Attention: Notification of Need to Arrange Alternate Management or Return of an Import Shipment
Office of Land and Emergency Management
Office of Resource Conservation and Recovery
Materials Recovery and Waste Management Division
International Branch (Mail Code 2255A)
Environmental Protection Agency
William Jefferson Clinton South Building
Room 6144, 1200 Pennsylvania Ave. NW., Washington, DC 20004

Notifications submitted on or after the electronic import-export reporting compliance date must be submitted electronically using EPA’s Waste Import Export Tracking System.

Exception Reports

If the importer does not receive a copy of the import manifest for a manifested shipment within the expected timeframes, the importer must submit an exception report to EPA or the authorized State Agency (See 40 CFR section 262.42).

Packaging, Labeling, Marking, and Placarding

The importer is responsible for ensuring compliance with requirements for packaging, labeling, marking and placarding hazardous waste for shipment prior to public transportation of the import shipment within the United States (See 40 CFR sections 262.30 – 262.33).

Confirmation of Receipt

The TSDF must send a copy of the signed manifest listing waste consent numbers matched to each waste on the RCRA manifest to the e-Manifest system within 30 days of receipt of the shipment (See 40 CFR sections 264.71(a)(3)/265.71(a)(3)). The TSDF or recovery facility must also send copies of the international movement document within three days of shipment delivery to the foreign exporter, and to the countries of export and transit that control it as hazardous waste export or transit respectively. Additionally, for shipments occurring after the future electronic import-export reporting compliance date that EPA will establish in a future Federal Register notice, the TSDF or recovery facility must send a copy within three days of shipment delivery to EPA electronically using EPA's WIETS (40 CFR sections 262.84(d)(xv), 264.12(a)(2), 264.71(d), 265.12(a)(2), 265.71(d)).

Confirmation of Recovery or Disposal

The U.S. receiving facility must send copies of the confirmation of recovery or disposal no later than 30 days of completing management of shipment and no later than one year after shipment delivery to the foreign exporter, to the country of export if the country of export controls it as hazardous waste export, and on or after the electronic import-export reporting compliance date that EPA will establish in a future Federal Register notice, to EPA electronically using EPA's WIETS (40 CFR sections 262.84(g), 264.12(a)(4)(i), and 265.12(a)(4)(i)).

The confirmation of recovery or disposal includes a signed, written and dated statement that affirms that the waste materials were recovered or disposed in the manner specified in the contract and the consent.

Biennial Report

The receiving facility of an imported hazardous waste must file a biennial report by March 1 of each even numbered year covering activities from the previous calendar year with its authorized State Agency or regional EPA office (if the State Agency is not authorized to implement the BR program). This report must include the name and address of the foreign generator as described in 40 CFR sections 264.75(c)/265.75(c).  If a large quantity generator, the importer must similarly file a biennial report with its authorized State Agency or regional EPA office (if the State Agency is not authorized to implement the BR program) by March 1 of each even numbered year to report hazardous wastes generated during the previous calendar year, including those from a foreign source, as described in 40 CFR section 262.41.

When calculating the total quantity of hazardous waste generated in a month, importers should add the quantity of hazardous waste imported during the calendar month to any hazardous waste generated at the importer’s physical site during that calendar month. Under the RCRA regulations the date an import of hazardous waste enters the country is considered the date the waste is “generated”. All hazardous waste import shipments listing the importer’s EPA ID number in Item 1 on the RCRA hazardous waste manifest should be included as part of the total monthly quantity, regardless of the port of entry or border crossing used.

Recordkeeping

The importer must comply with the recordkeeping requirements of hazardous waste generators and maintain the following records for at least three years (40 CFR sections 262.40 and 262.84(h)(1)):

  • A copy of each notification the importer sends to EPA;
  • A copy of each RCRA manifest, any exception reports and any biennial reports;
  • A copy of each EPA Acknowledgement of Consent; and
  • A copy of each contract.

Receiving facilities must keep the following records for at least three years (40 CFR sections 262.84(h)(2), 264.71(a)(2)(vi), 264.74, 265.71(a)(2)(vi), and 265.74):

  • The original confirmation of receipt (i.e., movement document), a copy of which the receiving facility sends to the foreign exporter;
  • A copy of each RCRA manifest;
  • A copy of each confirmation of recovery or disposal that the receiving facility sends to the foreign exporter;
  • A copy of each contract;
  • A copy of the biennial report, and any exception reports; and
  • For receiving facilities that performed any interim recovery or disposal operations, a copy of each confirmation of recovery or disposal that the final recovery or disposal facility sent to it;

Importers and receiving facilities may satisfy these recordkeeping requirements by retaining electronically submitted documents in the importer’s or receiving facility’s account on EPA’s WIETS, provided that copies are readily available for viewing or production if requested by any EPA or authorized state inspector.

RCRA Requirements for Hazardous Waste Imports

Under RCRA, any person importing a hazardous waste into the United States from a foreign country is subject to the hazardous waste generator standards. Importers can be any entity that receives hazardous waste from a foreign source, including a treatment, storage, or disposal facility (TSDF), recovery facility, transporter, or a broker of hazardous waste. While more than one person may be considered an importer, all of the parties, as contributors to the import of hazardous waste, could be held jointly and severally liable for compliance. When multiple parties are involved in the importing process, one party should accept the importer responsibilities on behalf of all the parties See Federal Policy on Several Issues Related to the Use of the Hazardous Waste Manifest by Hazardous Waste Transporters (PDF)(12 pp, 50.5 K, About PDF). Additionally, hazardous waste generators should check with their state regulatory agency because certain states have additional or more stringent requirements than the federal government.

  • Importers of hazardous waste are responsible for complying with all generator requirements in 40 CFR Part 262 Subparts A – D and F, except those related to actual accumulation on-site (See 40 CFR 262.34), since hazardous waste import shipments are already in transit when they enter the country. Refer to this table for an overview of the requirements for hazardous waste generators.
  • Importers of hazardous waste must also comply with import-specific generator requirements in 40 CFR Part 262 Subpart H, in addition to 40 CFR Part 262 Subparts A – D.

The following table provides an overview of the RCRA requirements for U.S. imports of hazardous waste and links to the corresponding implementing regulations and guidance materials.

Requirement

Imports of Hazardous Waste for Recovery or Disposal
40 CFR Part 262 Subparts A-D, and H

Overview of Requirements

Provides guidance for importers on the import process

Flowchart of import process, Subpart H

40 CFR 262 Subpart H

EPA Identification Number

Issued by authorized State program or EPA Regional office based on Form 8700-12 notification of RCRA Subtitle C activity (e.g. acting as hazardous waste importer)

 Required
§262.18(e)

Contracts

Specifies the responsibilities of the foreign exporter, U.S. importer, and U.S. receiving facility

Required for importers and receiving facilities
§262.84(f)

Notice of Intent

U.S. importer notifies EPA of the intent to import hazardous waste in those cases in which the country of export does not control the waste as an export of hazardous waste

Required for importer in certain cases
§262.84(b)

Consent Documentation

Acknowledges EPA’s written consent back to the country of export or the U.S. importer that the proposed management complies with US laws, and describes the terms and conditions of EPA’s consent

Sent to receiving facilities when EPA consents to country of export or U.S. importer; supplies consent numbers to match listed hazardous wastes on manifest
§264.71(a)(3)(i); §265.71(a)(3)(i)

RCRA Manifest

Contains information on the type and quantity of waste transported, and instructions for handling waste; accompanies import shipment from entry port/border crossing in the United States) to final management (i.e., recycling or disposal)

Required for importers
§262.20; §262.84(c)

Not required for imports of universal waste (§273.52) or spent-lead acid batteries (§266.80)

Required for TSDFs
§264.71(a)(3)(i); §265.71(a)(3)(i)

International Movement Document

Includes information about the shipment, recovery facility, and transporters and accompanies the waste from origin to receiving facility site

Required for importers
§262.84(d)

Required for TSDFs
§264.12(a)(2); §265.12(a)(2);

Notification of Need to Arrange Alternate Management or Return of Hazardous Waste Import Shipment

Informs EPA, U.S. importer, and foreign exporter of the need to arrange alternate management or return of an import shipment.

 Required for receiving facilities, including TSDFs
§262.84(f)(4)(i), §264.12(a)(3), §265.12(a)(3)

Exception Reports

Submit exception reports if the importer does not receive signed copy of the RCRA manifest within expected timeframes from the U.S. receiving facility

 Required for importers under circumstances specified in §262.42

Packaging, Labeling, Marking, and Placarding

Contains instructions for packaging, labeling, marking and placarding hazardous waste for shipment. Importer is responsible for ensuring compliance with these requirements prior to public transportation of the import shipment within the United States

Required for importers
§262.30-262.33

Confirmation of Receipt

TSDF must add relevant consent numbers matched to listed hazardous wastes to manifest, and send copy of signed RCRA manifest to the e-Manifest system within 30 days of shipment delivery.

Within three days of shipment delivery, TSDF or recovery facility must send copies of signed international movement document to the country of export, any countries of transit, and the foreign exporter. As of the electronic import-export reporting compliance date, the facility must also send copy to EPA electronically using EPA’s Waste Import Export Tracking System (WIETS)

Required for TSDFs
§264.71(a)(3), §265.71(a)(3), §267.71(a)(3)

Required for receiving facilities, including TSDFs §262.84(d)(xv), §264.12(a)(2), §264.71(d), §265.12(a)(2), §265.71(d), §267.71(d)

Confirmation of Recovery or Disposal

TSDF or recovery facility must send to country of export, and the foreign exporter to affirm that the waste materials were recovered in the timeframe and manner specified in the contract. As of the electronic import-export reporting compliance date, the facility must also send copy to EPA electronically using WIETS.

Required for TSDFs or recovery facility
§262.84(g), §264.12(a)(4)(i), §265.12(a)(4)(i) 

Reporting

Submit biennial reports to EPA

Required for TSDFs
§264.75; §265.75

Required for importers that are large quantity generators (LQGs)
§262.41

Recordkeeping

Maintain business records for a specified period of time to be provided upon request

Required for importers
§262.40; §262.84(h)(1)

Required for TSDFs
§264.12(a)(2); §265.12(a)(2); §264.71(d); §265.71(d); §264.74; §265.74

Required for receiving facilities, including TSDFs
§262.84(h)(2)

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Last updated on June 17, 2024