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The Recordkeeping Requirement for Primary Exporters of Hazardous Waste, Hazardous Secondary Materials, and Universal Waste

The Recordkeeping Requirement for Primary Exporters of Hazardous Waste, Hazardous Secondary Materials, and Universal Waste

The primary exporter of certain wastes or materials outside of the US for disposal or recycling will require compliance with the applicable regulations in order to maintain a record of compliance.  Exported wastes/materials subject to these regulations are:

  • Hazardous wastes
  • Hazardous secondary materials
  • Universal waste

Each has similar recordkeeping requirements that will be explained in this article.

export of hazardous waste recordkeeping

Maintain a copy of the reports and notifications required for the export of hazardous waste.

Exports of Hazardous Waste:

40 CFR 262, Subpart E contains the regulations applicable to exporters of hazardous waste.  §262.57 indicates what records the primary exporter must keep to demonstrate compliance:

  • Notification of Intent to Export – maintain a copy of each for at least three years from the date the waste was accepted by the initial transporter.
  • EPA Acknowledgement of Consent – maintain a copy of each for at least three years from the date the hazardous waste was accepted by the initial transporter.
  • Confirmation of delivery – maintain a copy of each (obtained from the receiving facility or consignee) for at least three years from the date the hazardous waste was accepted by the initial transporter.
  • Annual Report – maintain a copy of each for at least three years from the due date of the report (March 1st).

The periods of retention for records related to the export of hazardous waste are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Administrator.

Hazardous Secondary Materials:

40 CFR 261.4(a)(25) contains an exclusion from regulation as a solid waste for a hazardous secondary material exported to a foreign country for reclamation.  This exclusion has reporting and notification requirements similar to those of §262.57 with some variations and are outlined below:

  • Initial Notification of Claim of Exclusion @ 40 CFR 260.42 as referenced at §261.4(a)(25)(xii) – There is not a requirement to maintain a copy of this notification as a record.
  • Biennial (due March 1st of every even-numbered year) Status Report of Exclusion @ 40 CFR 260.42 as referenced at §261.4(a)(25)(xii) – There is not a requirement to maintain a copy of this report as a record.
  • Annual Report (due March 1st) of Hazardous Secondary Material Generator Activity @ 40 CFR 261.4(a)(25)(xi) – There is not a requirement to maintain a copy of this Report as a record.
  • Notification of Intent to Export – maintain a copy of each for at least three years from the date of receipt of the Acknowledgement of Consent [§261.4(a)(25)(x)].
  • EPA Acknowledgement of Consent – maintain a copy of each for at least three years from the date of receipt of the Acknowledgement of Consent [§261.4(a)(25)(x)].
 Universal Waste:

The requirements for the export of universal waste to a foreign destination by either a Small Quantity Handler (§273.20) or Large Quantity Handler (§273.40) are exactly the same.  There is a slight difference in records to be kept depending on whether or not the universal waste is sent to an OECD member country identified at §262.58(a)(1) or a non-OECD member country.

If the universal waste is exported to a non-OECD member country, then the recordkeeping requirements are the same as those for a primary exporter of hazardous waste found at §262.57 and identified above.

If the universal waste is exported to an OECD member country, then the recordkeeping requirements of §262.87 are applicable.  These are very similar to those of §262.57 with some variations and are identified below:

  • Notification of Intent to Export –  maintain a copy of each for at least three years from the date the waste was accepted by the initial transporter.
  • Written consents obtained from the competent authorities of countries concerned – maintain a copy of each for at least three years from the date the waste was accepted by the initial transporter.
  • Annual Report (due March 1st)- maintain a copy of each for at least three years from the due date of the report (March 1st).
  • Exception Report – maintain a copy of each for at least three years from the date the waste was accepted by the initial transporter or received by the recovery facility, whichever is applicable.
  • Confirmation of delivery (i.e., movement document) sent by the recovery facility to the exporter – maintain a copy of each for at least three years from the date the waste was accepted by the initial transporter or received by the recovery facility, whichever is applicable.
  • Certificate of recovery sent by the recovery facility to the exporter – maintain a copy for at least three years from the date that the recovery facility completed processing the waste shipment.

The periods of retention for records related to the export of universal waste are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Administrator.

What is meant by “…date the (hazardous) waste was accepted by the initial transporter”?

ANSWER:  This refers to the date the shipping paper (eg. Uniform Hazardous Waste Manifest or bill of lading) was signed by the initial transporter accepting the hazardous waste or universal waste for transportation.  eg.

HazMat Employee and RCRA Training

USEPA initial and annual training for hazardous waste personnel

Transporter 1 in section 17 of the Manifest; this may not be the same date of the Generator/Offeror Certification in section 15.

Please note that just because the regulations do not explicitly require a copy of some documents to be kept as a record, it may still be a good idea given that it may be the only way to demonstrate compliance.  Also, state regulations may differ on what records are required.

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Contact me if you have any questions about the export of hazardous waste, universal waste, or hazardous secondary materials, or if require initial or annual training for your Facility Personnel pursuant to 40 CFR 265.16.

Daniels Training Services

815.821.1550/Info@DanielsTraining.com/www.DanielsTraining.com