N.Y. Comp. Codes R. & Regs. tit. 6 § 372.5

Current through Register Vol. 46, No. 45, November 2, 2024

Section 372.5 - International shipments and imports

(a)Applicability.

This section establishes requirements applicable to imports and exports of hazardous waste. Except to the extent subdivision (h) of this section provides otherwise, a primary importer or exporter of hazardous waste must comply with the special requirements of this section and a transporter transporting hazardous waste for export must comply with applicable requirements of section 372.3 of this Part. Subdivision (h) of this section sets forth the requirements of international agreements between the United States and receiving countries which establish different notice, export, and enforcement procedures for the transportation, treatment, storage and disposal of hazardous waste for shipments of hazardous waste for recovery between the United States and those countries.

(b)General requirements.

Exports of hazardous waste are prohibited except in compliance with the applicable requirements of this section and section 372.3 of this Part. Exports of hazardous waste are prohibited unless:

(1) notification in accordance with subdivision (c) of this section has been provided;

(2) the receiving country has consented to accept the hazardous waste;

(3) a copy of the EPA acknowledgment of consent to the shipment accompanies the hazardous waste shipment and, unless exported by rail, is attached to the manifest or shipping paper for exports by water (bulk shipment); and

(4) the hazardous waste shipment conforms to the terms of the receiving country's written consent as reflected in the EPA acknowledgment of consent.

(c)Notification of intent to export.

(1) A primary exporter of hazardous waste must notify EPA and the department of an intended export before such waste is scheduled to leave the United States. A complete notification should be submitted 60 days before the initial shipment is intended to be shipped offsite. This notification may cover export activities extending over a 12-month or lesser period. The notification must be in writing, signed by the primary exporter, and include the following information:

(i) name, mailing address, telephone number and EPA I.D. number of the primary exporter;

(ii) by cosignee, for each hazardous waste type:

(a) a description of the hazardous waste and the EPA hazardous waste number (from Part 371 of this Title), U.S. DOT proper shipping name, hazard class and I.D. number (UN/NA) for each hazardous waste as identified in 49 CFR parts 171-177 (see section 370.1[e] of this Title).

(b) the estimated frequency or rate at which such waste is to be exported and the period of time over which such waste is to be exported;

(c) the estimated total quantity of the hazardous waste in units as specified in the instructions to the uniform hazardous waste manifest form (8700-22);

(d) all points of entry to and departure from each foreign country through which the hazardous waste will pass;

(e) a description of the means by which each shipment of the hazardous waste will be transported (e.g., mode of transportation vehicle [air, highway, rail, water, etc.], type[s] of container [drums, boxes, tanks, etc.]);

(f) a description of the manner in which the hazardous waste will be treated, stored or disposed of in the receiving country (e.g., land or ocean incineration, other land disposal, ocean dumping, recycling);

(g) the name and site address of the cosignee and any alternate cosignee; and

(h) the name of any transit countries through which the hazardous waste will be sent and a description of the approximate length of time the hazardous waste will remain in such country and the nature of its handling while there.

(2) Notifications submitted by mail should be sent to the following mailing addresses: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division (2254A), Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460 and to the Manifest Section, NYSDEC, 625 Broadway, Albany, NY 12233-7252. Hand delivered notifications should be sent to: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division, Environmental Protection Agency, Ariel Rios Bldg., Room 6144, 12th St. and Pennsylvania Ave., NW., Washington, DC 20004, and mailed to the Manifest Section at the above address. In all cases, the following shall be prominently displayed on the front of the envelope: "Attention: Notification of Intent to Export."

(3) Except for changes to the telephone number in subparagraph (1)(i) of this subdivision, changes to clause (1)(ii)(e) and decreases in the quantity indicated pursuant to clause (1)(ii)(c) of this subdivision when the conditions specified on the original notification change (including any exceedance of the estimate of the quantity of hazardous waste specified in the original notification), the primary exporter must provide EPA and the department with a written renotification of the change. The shipment cannot take place until consent of the receiving country to the changes (except for changes to clause [1][ii][h] and in the ports of entry to and departure from transit countries pursuant to clause [1][ii][d] of this subdivision) has been obtained and the primary exporter receives an EPA acknowledgment of consent reflecting the receiving country's consent to the changes.

(4) Upon request by EPA or the department, a primary exporter must furnish to EPA and the department any additional information which a receiving country requests in order to respond to a notification.

(5) In conjunction with the U.S. Department of State, EPA will provide a complete notification to the receiving country and any transit countries. A notification is complete when EPA receives a notification which EPA determines satisfies the requirements of paragraph (1) of this subdivision. Where a claim of confidentiality is asserted with respect to any notification information required by paragraph (1) of this subdivision, EPA or the department may find the notification not complete until any such claim is resolved in accordance with section 370.1(b) of this Title and 40 CFR 260.2 (see section 370.1[e] of this Title).

(6) Where the receiving country consents to the receipt of the hazardous waste, EPA will forward an EPA acknowledgment of consent to the primary exporter for purposes of paragraph (d)(8) of this section. Where the receiving country objects to receipt of the hazardous waste or withdraws a prior consent, EPA will notify the primary exporter in writing. EPA will also notify the primary exporter of any responses from transit countries.

(d)Special manifest requirements.

A primary exporter must comply with the manifest requirements of section 372.2(b) of this Part except that:

(1) In lieu of the name, site address and EPA I.D. number of the designated permitted facility, the primary exporter must enter the name and site address of the cosignee.

(2) In lieu of the name, site address and EPA I.D. number of a permitted alternate facility, the primary exporter may enter the name and site address of any alternate cosignee.

(3) In the international shipments block, the primary exporter must check the export box and enter the point of exit (city and state) from the United States.

(4) The following statement must be added to the end of the first sentence of the certification set forth in item 15 of the uniform hazardous waste manifest form: "and conforms to the terms of the attached EPA acknowledgment of consent."

(5) The primary exporter may obtain the manifest form from any source that is registered with the EPA as a supplier of manifests (e.g., states, waste handlers, and/or commercial forms printers).

(6) The primary exporter must require the cosignee to confirm in writing the delivery of the hazardous waste to that facility and to describe any significant discrepancies (as defined in section 373-2.5[b][1][i] [a] of this Title) between the manifest and the shipment. A copy of the manifest signed by such facility may be used to confirm delivery of the hazardous waste.

(7) In lieu of the requirements of section 372.2(b)(2)(iii) of this Part, where a shipment cannot be delivered for any reason to the designated or alternate cosignee, the primary exporter must:

(i) renotify EPA of a change in the conditions of the original notification to allow shipment to a new cosignee in accordance with paragraph (c)(3) of this section and obtain an EPA acknowledgment of consent prior to delivery; or

(ii) instruct the transporter to return the waste to the primary exporter in the United States or designate another facility within the United States; and

(iii) instruct the transporter to revise the manifest in accordance with the primary exporter's instructions.

(8) The primary exporter must attach a copy of the EPA acknowledgment of consent to the shipment to the manifest which must accompany the hazardous waste shipment. For exports by rail or water (bulk shipment), the primary exporter must provide the transporter with an EPA acknowledgment of consent which must accompany the hazardous waste but which need not be attached to the manifest except that for exports by water (bulk shipment) the primary exporter must attach the copy of the EPA acknowledgment of consent to the shipping paper.

(9) The primary exporter must provide the transporter with an additional copy of the manifest for delivery to the U.S. Customs official at the point the hazardous waste leaves the United States in accordance with subparagraph (k)(1)(v) of this section.

(e)Exception reports.

In lieu of the requirements of section 372.2(c)(3) of this Part, a primary exporter must file an exception report with the Environmental Protection Agency at the address listed in 40 CFR 262.82(e), as incorporated by reference in section 370.3(b) of this Title, and the department if any of the following occurs:

(1) the primary exporter has not received a copy of the manifest signed by the transporter stating the date and place of departure from the United States within 45 days from the date it was accepted by the initial transporter;

(2) within 90 days from the date the waste was accepted by the initial transporter, the primary exporter has not received written confirmation from the cosignee that the hazardous waste was received; and

(3) the waste is returned to the United States.

(f)Annual reports.

(1) Primary exporters of hazardous waste must file with the administrator and the department no later than March 1st of each year, a report summarizing the types, quantities, frequency, and ultimate destination of all hazardous waste exported during the previous calendar year. Such reports must include the following:

(i) the EPA identification number, name, and mailing and site address of the exporter;

(ii) the calendar year covered by the report;

(iii) the name and site address of each cosignee;

(iv) by cosignee, for each hazardous waste exported, a description of the hazardous waste, the EPA hazardous waste number (5) (from section 371.3 and/or 371.4 of this Title), DOT hazard class, the name and U.S. EPA I.D. number (where applicable) for each transporter used, the total amount of waste shipped and number of shipments pursuant to each notification;

(v) except for hazardous waste produced by exporters of greater than 100 kilograms but less than 1,000 kilograms in a calendar month, unless provided pursuant to section 372.2(c) of this Part:

(a) a description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated; and

(b) a description of the changes in volume and toxicity of waste actually achieved during the year in comparison to previous years to the extent such information is available for years prior to 1984;

(vi) a certification signed by the primary exporter which 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.

(2) Annual reports submitted by mail should be sent to the following mailing addresses: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division (2254A), Environmental Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460 and to the Manifest Section, NYSDEC, 625 Broadway, Albany, NY 12233-7252. Hand delivered reports should be sent to: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division, Environmental Protection Agency, Ariel Rios Bldg., Room 6144, 12th St. and Pennsylvania Ave., NW., Washington, DC, 20004 and mailed to the Manifest Section at the above address.

(g)Recordkeeping.

(1) For all exports a primary exporter must:

(i) keep a copy of each notification of intent to export for a period of at least three years from the date the hazardous waste was accepted by the initial transporter;

(ii) keep a copy of each EPA acknowledgment of consent for a period of at least three years from the date the hazardous waste was accepted by the initial transporter;

(iii) keep a copy of each confirmation of delivery of the hazardous waste from the consignee for at least three years from the date the hazardous waste was accepted by the initial transporter; and

(iv) keep a copy of each annual report for a period of at least three years from the due date of the report.

(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 or the commissioner.

(h)International agreements.

(1) Any person who exports or imports hazardous waste, except "State-only waste," subject to manifest requirements of this Part, or subject to the universal waste management standards of Subpart 374-3 of this Title, or subject to the export requirements in the spent lead-acid battery management standards of section 374-1.7 of this Title, to or from designated member countries of the Organization for Economic Cooperation and Development (OECD) as defined in subparagraph (i) of this paragraph for purposes of recovery is subject to the requirements of this section as follows: subdivision (c) does not apply, provided however, notification that must be sent to EPA pursuant to 40 CFR section 262.83 must also be sent to the State pursuant to paragraph (c)(2) of this section; paragraphs (d)(1), (2), (3), (5), and (9) apply; subdivision (e) applies; subdivision (f) does not apply, provided however that the annual report that must be sent to EPA pursuant to 40 CFR section 262.87(a) must also be sent to the State pursuant to paragraph (f)(2); subdivision (j) applies; and subparagraphs (k)(1)(ii) through (v) apply.

(i) For the purposes of this Part, the designated OECD Member countries consist of Australia, Austria, Belgium, the Czech Republic, Denmark, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Luxembourg, the Netherlands, New Zealand, Norway, Poland, Portugal, the Republic of Korea, the Slovak Republic, Spain, Sweden, Switzerland, Turkey, the United Kingdom, and the United States.

(ii) For the purposes of this Part, Canada and Mexico are considered OECD member countries only for the purpose of transit.

(2) 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 this section.

Note:

For purposes of reference only: Federal regulations found at 40 CFR 262 subpart H also govern transfrontier shipments of hazardous waste for recovery within the OECD.

(i) [Reserved]

(j)Imports of hazardous waste.

(1) Any person who imports hazardous waste from a foreign country into the United States must comply with the requirements of this Part and the special requirements of this subdivision, except to the extent subdivision (h) of this section provides otherwise.

(2) When importing hazardous waste, a person must meet all the requirements of section 372.2(b) of this Part for the manifest except that:

(i) in place of the generator's name, address and EPA identification number, the name and address of the foreign generator and the importer's name, address and EPA identification number must be used; and

(ii) in place of the generator's signature on the certification statement, the U.S importer or the importer's agent must sign and date the certification and obtain the signature of the initial transporter.

(3) A person who imports hazardous waste may obtain the manifest form from any source that is registered with the EPA as a supplier of manifests (e.g., states, waste handlers, and/or commercial forms printers).

(4) In the international shipments block, the importer must check the import box and enter the point of entry (city and state) into the United States.

(5) The importer must provide the transporter with an additional copy of the manifest to be submitted by the receiving facility to the EPA in accordance with sections 373-2.5(b)(1)(i) (c) and 373-3.5(b)(1)(i)(c) of this Title.

(k)Special transporter requirements.

(1) A transporter transporting hazardous wastes out of the United States must:

(i) ensure that the manifest and a copy of the EPA acknowledgment of consent accompanies the hazardous waste;

(ii) indicate on the manifest the date the hazardous waste left the United States;

(iii) sign the manifest and retain one copy in accordance with section 372.3(b) of this Part;

(iv) return a signed copy of the manifest to the generator and the generation state as indicated on the instructions with the manifest;

(v) give a copy of the manifest to a U.S. Customs official at the point of departure from the United States; and

(vi) not accept such waste from a primary exporter or other person:

(a) if the transporter knows the shipment does not conform to the EPA acknowledgment of consent; and

(b) unless, in addition to a manifest signed in accordance with the provisions of section 372.2(b) of this Part, such waste is also accompanied by an EPA acknowledgment of consent which, except for shipment by rail, is attached to the manifest or shipping paper for exports by water (bulk shipment).

N.Y. Comp. Codes R. & Regs. Tit. 6 § 372.5

Amended New York State Register March 4, 2020/Volume XLII, Issue 09, eff. 4/18/2020