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Part 372: Hazardous Waste Manifest System and Related Standards For Generators, Transporters and Facilities

(Statutory Authority: Environmental Conservation Law Section 27-0900 et seq)

[Effective September 5, 2006]

Contents:

Sec.

§372.1 - General

(a) Purpose and Scope. The purpose of these regulations is to establish standards for generators and transporters of hazardous waste and standards for generators, transporters, and treatment, storage or disposal facilities relating to the use of the manifest system and its record keeping requirements. The manifest document shall accompany all shipments of hazardous waste while in transit unless specifically exempted under this Part. The manifest document will serve as a multi-purpose instrument to be used as a tracking, auditing and enforcement device.

(b) Applicability.

(1) The requirements of this Part apply to all generators, transporters and facilities in New York State. However, transporters who pick up and discharge hazardous waste outside of New York State and who transport wastes through the State are only subject to the following requirements of section 372.3 of this Part: subdivisions (a)(3), (5)-(7), (b) and (d)(1) and (2).

(2) Paragraphs 371.1(f)(3) and (4) of this Title must be used to determine the applicability of provisions of this Part that are dependent on calculations of the quantity of hazardous waste generated per month.

(3) With regard to explosives or munitions:

(i) Persons responding to an explosives or munitions emergency in accordance with clause 373-1.1(d)(1)(xiii)('d') and subclause 373-1.1(d)(1)(xiii)('a')('4') of this Title are not required to comply with the standards of this Part.

(ii) The regulations in this Part do not apply to transportation during an explosives or munitions emergency response, conducted in accordance with clause 373-1.1(d)(1)(xiii)('d') and subclause 373-1.1(d)(1)(xiii)('a')('4') of this Title.

(iii) Subdivision 374-1.13(d) of this Title identifies how the requirements of this Part apply to military munitions classified as a solid waste under subdivision 374-1.13(c) of this Title.

(c) Severability. If any provision or application of this Part is held invalid to any person or circumstances, the remainder of this Part and the application of such provisions other than those to which it is held invalid, shall not be affected.

(d) Definitions. Unless otherwise specified terms used in this Part are defined in Part 370 of this Title.

(e) Exemptions.

(1) Reserved. (See 371.1(f) for Special requirements for hazardous waste generated by conditionally exempt small quantity generators.)

(2) Reserved. (See 371.1(g) for Requirements for recyclable materials.)

(3) Exemption for farmers. A farmer disposing of waste pesticides which are hazardous wastes, including containers and inner liners, from his or her own use is exempted from any requirements of this Part for those wastes provided that the following steps are taken:

(i) the container or inner liner has been triple- rinsed using a solvent capable of removing the pesticide. The triple rinse procedure defined in section 325.1(b) of this Title shall be used.

(ii) in the case of a container with an inner liner, the inner liner that prevented contact of the pesticide with the container has been removed.

(iii) the pesticide residues are disposed of on his or her own farm in a manner consistent with Section 325.4(d) of this Title or in a manner consistent with the disposal instructions on the pesticide label, whichever is more restrictive.

(iv) the hazardous wastes are transported by the farmer to a household hazardous waste collection facility authorized under Subpart 373-4 of this Title, and the farmer is a conditionally exempt small quantity generator as defined in subparagraph 371.1(f)(1) of this Title.

(4) Exemption for publicly owned treatment works (POTWs). Any POTW qualifying for an exemption under Part 373 of this Title must comply with only those provisions of section 372.4 indicated in subparagraph 373-1.1(d)(2)(iii). A POTW that generates sludges which are determined to be hazardous waste is subject to the generator requirements of section 372.2 of this Part.

(5) Samples collected for testing are exempt from all requirements of this Part as provided in section 371.1(e)(4) of this Title.

(6) Residues of hazardous waste in empty containers. Residues of Hazardous Waste in empty containers as specified in section 371.1(h) of this Title are exempt from all requirements of this Part.

(7) Hazardous wastes which are exempt from certain regulation.

(i) A hazardous waste which is generated in a product or raw material storage tank, a product or raw material transport vehicle or vessel, a product or raw material pipeline, or in a manufacturing process unit or an associated non-waste-treatment manufacturing unit, is not subject to regulation under this Part until it exits the unit in which it was generated, unless the unit is a surface impoundment, or unless the hazardous waste remains in the unit more than 90 days after the unit ceases to be operated for manufacturing, or for storage of transportation of product or raw materials.

(8) Exemption for service stations. Used engine lubricating oil retention facilities accepting waste oil pursuant to ECL 23-2307 are exempt from this Part for that oil.

(9) Exemption for Public Utilities

(i) Hazardous waste generated by a public utility and transported by vehicle owned or operated by that utility is exempt from regulation under this Part if the following conditions are met:

('a') the waste is hazardous solely because it contains polychlorinated biphenyls (PCB's); and

('b') the waste is brought for storage, to a collection facility owned by the same utility, prior to treatment or disposal.

(ii) A public utility-owned collection facility which receives hazardous waste as described, and in the manner described in subparagraph (i) of this paragraph, shall be considered the generator of such waste and shall be subject to all of the requirements of this Part which are applicable to a generator of hazardous waste.

(f) Enforcement. Any person who violates any provision of this Part or who fails to perform any duty imposed under this Part is liable for civil, administrative, and criminal penalties set forth in Article 71, Title 27 of the ECL. Such person is also subject to any penalties, sanctions or orders pursuant to any provision of Article 71 of the ECL otherwise applicable.

(g) Safeguarding Trade Secrets. Trade secrets are protected in accordance with the requirements in Part 616.7 of this Title and as provided for in section 370.1(b) of this Title.

(h) Other regulations. Compliance with this Part does not relieve any person from the obligation of complying with any other applicable Part of this Title, including Parts 373 and 364.

§372.2 - Standards Applicable to Generators of Hazardous Waste

The following requirements are applicable to generators of hazardous waste unless specifically exempted or modified elsewhere in this Part.

(a) General Requirements.

(1) Within ninety days after promulgation or revision of Part 371 of this Title any person generating wastes not previously regulated as hazardous waste must file with the commissioner a notification stating the location and general description of the activity responsible for the generation of the waste and the hazardous wastes handled by such person. No hazardous waste subject to the regulations in this Title may be transported, treated, stored or disposed of unless the Department has been notified of these activities as required in this section or as required under Part 373 of this Title before the effective date of this Part.

(2) Hazardous waste determination. A person who generates a solid waste must determine if that waste is a hazardous waste using the following method:

(i) first determine if the waste is excluded from regulation under section 371.1(e), exclusions, of this Title;

(ii) then determine if the waste is listed as a hazardous waste in section 371.4 of this Title;

(NOTE: Even if the waste is listed, the generator still has an opportunity under section 370.3(c) of this Title to demonstrate that the waste from this particular facility or operation is not a hazardous waste.)

(iii) for purposes of compliance with Part 376 of this Title, or if the waste is not listed as a hazardous waste in section 371.4 of this Title, the generator must then determine whether the waste is identified in section 371.3 of this Title by either:

('a') testing the waste according to the methods set forth in Appendix 19, 20 or 21, infra, or according to an equivalent method approved under section 370.3(b) of this Title; or

('b') applying knowledge of the hazard characteristic of the waste in light of the materials or the processes used.

(iv) If the waste is determined to be hazardous, the generator must refer to Parts 370 through 374 and 376 of this Title, for possible exclusions or restrictions pertaining to management of the specific waste.

(3) EPA identification numbers.

(i) A generator must not treat, store, dispose of, transport or offer for transportation, hazardous waste without having received an EPA identification number as defined in section 370.2(b) of this Title.

(ii) A generator must not offer hazardous waste to transporters or to treatment, storage, or disposal facilities that have not received an EPA identification number.

(4) Packaging. Before transporting hazardous waste or offering hazardous waste for transportation offsite, a generator must package the waste in accordance with the applicable U.S. Department of Transportation regulations on packaging set forth in 49 CFR Parts 173, 178, and 179 (see section 370.1(e) of this Title).

(5) Labeling. Before transporting or offering hazardous waste for transportation off-site, a generator must label each package in accordance with the applicable U.S. Department of Transportation regulations (49 CFR 172) (see section 370.1(e) of this Title).

(6) Marking.

(i) Before transporting or offering hazardous waste for transportation off-site, a generator must mark each package of hazardous waste in accordance with the applicable U.S. Department of Transportation regulations (49 CFR 172) (see section 370.1(e) of this Title).

(ii) Before transporting hazardous waste or offering hazardous waste for transportation off-site, a generator must mark each container of 119 gallons or less used in such transportation with the following words and information in accordance with the requirements of 49 CFR 172.304, as incorporated by reference (see subdivision 370.1(e) of this Title):

HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If found, contact the nearest police or public safety authority or the U.S. Environmental Protection Agency.

Generator's Name and Address _______________________________

Generator's EPA Identification Number _______________________________

Manifest Tracking Number ______________________

(iii) The marking required in this paragraph -

('a') must be durable, in English and printed on or affixed to the surface of a package or on a label, tag, or sign;

('b') must be displayed on a background of sharply contrasting color;

('c') must be unobscured by labels or attachments; and

('d') must be located away from any other marking (such as advertising) that could substantially reduce its effectiveness.

(7) Placarding. Before transporting hazardous waste or offering hazardous waste for transportation offsite, a generator must placard or offer the initial transporter the appropriate placards according to U.S. Department of Transportation regulations for hazardous materials (49 CFR part 172, subpart F) (see subdivision 370.1(e) of this Title).

(8) Accumulation Time.

(i) ('a') A generator may accumulate up to 55 gallons of hazardous waste or one quart of acutely hazardous waste listed in section 371.4(b), (c) and (d)(5) of this Title in containers at or near any point of generation where wastes initially accumulate, which is under the control of the operator of the process generating the waste, without a permit or interim status and without complying with subparagraph (ii) of this paragraph provided the generator:

('1') complies with section 373-3.9(b)-(d) of this Title; and

('2') marks the containers with the words "Hazardous Waste" and with other words that identify the contents of the containers.

('b') A generator who accumulates: either hazardous waste or acutely hazardous waste listed in section 371.4(b), (c) and (d)(5) in excess of the amounts listed in clause ('a') of this subparagraph at or near any point of generation, with respect to that amount of excess waste, must comply within three days, with subparagraph (ii) of this paragraph or other applicable provisions of this Title. During the three day period, the generator must continue to comply with subparagraph (i) of this paragraph. The generator must mark the container holding the excess accumulation of hazardous waste with the date the excess amount began accumulating.

(ii) Except as provided in subparagraphs (iii), (iv), and (v) of this paragraph, a generator may accumulate hazardous waste on-site of generation for a period of 90 days or less under the provisions of subparagraphs 373-1.1(d)(1)(iii), (iv), (xix) and (xx) of this Title. The date upon which each period of accumulation begins must be clearly marked and visible for inspection on all containers, tanks, or storage areas.

(Note: A similar exemption is provided in subparagraph 373-1.1(d)(1)(xiv) which may exempt a facility from permitting and interim status standards.)

(iii) A generator who generates more than 100 kilograms but less than 1,000 kilograms of hazardous waste in a calendar month may accumulate non-acute hazardous waste on-site for 180 days or less without being subject to the permitting provisions of Part 373 of this Title, provided that:

('a') the quantity of waste accumulated on-site never exceeds 6,000 kilograms;

('b') the generator complies with the requirements of section 373-3.9 of this Title except for sections 373-3.9(f) and (h);

('c') the generator complies with the requirements of section 373-3.10(l) of this Title;

('d') the generator complies with the requirements of subclauses 373-1.1(d)(1)(iii)('c')('2') - ('3'), the requirements of section 373-3.3, the requirements of subparagraph 376.1(g)(1)(v) of this Title; and

('e') the generator complies with the following requirements:

('1') at all times there must be at least one employee either on the premises or on call (i.e., available to respond to an emergency by reaching the facility within a short period of time) with the responsibility for coordinating all emergency response measures specified in subclause ('4') of this clause. This employee is the emergency coordinator.

('2') The generator must post the following information next to the telephone:

('i') the name and telephone number of the emergency coordinator;

('ii') location of fire extinguishers and spill control material, and if present, fire alarm; and

('iii') the telephone number of the fire department, unless the facility has a direct alarm.

('3') the generator must ensure that all employees are thoroughly familiar with proper waste handling and emergency procedures, relevant to their responsibilities during normal facility operations and emergencies;

('4') the emergency coordinator or a designee must respond to any emergencies that arise. The applicable responses are as follows:

('i') in the event of a fire, call the fire department or attempt to extinguish it using a fire extinguisher;

('ii') in the event of a spill, contain the flow of hazardous waste to the extent possible, and as soon as is practicable, clean up the hazardous waste and any contaminated materials or soil;

('iii') in the event of a fire, explosion, or other release which could threaten human health outside the facility or when the generator has knowledge that a spill has reached surface water, the generator must immediately notify the National Response Center (using their 24-hour toll free number 800-424-8802) and the Department (518-457-7362). The report must include the following information:

('A') the name, address and U.S. EPA identification number of the generator;

('B') date, time and type of incident (e.g., spill or fire);

('C') quantity and type of hazardous waste involved in the incident;

('D') extent of injuries, if any; and

('E') estimated quantity and disposition of recovered materials, if any.

('f') Small quantity generators storing liquid hazardous wastes over sole source aquifers may also be subject to 373-1.1(d)(1)(iv)('g') of this Title.

(iv) a generator who generates more than 100 kilograms but less than 1,000 kilograms of hazardous waste in a calendar month and who must transport this waste, or offer the waste for transportation, over a distance of 200 miles or more for off-site treatment, storage or disposal may accumulate non-acute hazardous waste on-site for 270 days or less without being subject to the permitting procedures of Part 373, provided that the generator complies with the requirements of subparagraph (iii) of this paragraph.

(v) A generator who generates greater than 100 kilograms but less than 1,000 kilograms of hazardous waste in a calendar month and who accumulates hazardous waste in quantities exceeding 6,000 kilograms or accumulates hazardous waste for more than 180 days (or for more than 270 days if they must transport their waste, or offer their waste for transportation, over a distance of 200 miles or more) is an operator of a storage facility and is subject to the requirements of Part 373 of this Title unless the generator has been granted an extension to these time limits. An extension may be granted by the department if hazardous wastes must remain on-site for longer periods due to unforeseen, temporary, and uncontrollable circumstances. An extension of up to 30 days may be granted at the discretion of the department on a case-by-case basis.

(vi) A generator who generates 1,000 kilograms or greater of hazardous waste per calendar month who also generates wastewater treatment sludges from electroplating operations that meet the listing description for the RCRA hazardous waste code F006, may accumulate F006 waste on-site for more than 90 days, but not more than 180 days without a permit or without having interim status provided that:

('a') The generator has implemented pollution prevention practices that reduce the amount of any hazardous substances, pollutants or contaminants entering F006 or otherwise released to the environment prior to its recycling;

('b') The F006 waste is legitimately recycled through metals recovery;

('c') No more than 20,000 kilograms of F006 waste is accumulated on-site at any one time; and

('d') The F006 waste is managed in accordance with the following:

('1') The F006 waste is placed:

('i') In containers and the generator complies with the applicable requirements of sections 373-3.9, 373-3.27, 373-3.28, and 373-3.29 of this Title; and/or

('ii') In tanks and the generator complies with the applicable requirements of sections 373-3.10, 373-3.27, 373-3.28, and 373-3.29 of this Title, except paragraph 373-3.10(h)(3) and subdivision 373-3.10(k) of this Title; and/or

('iii') In containment buildings and the generator complies with section 373-3.30 of this Title, and has placed its professional engineer certification that the building complies with the design standards specified in subdivision 373-3.30(b) of this Title in the facility's operating record prior to operation of the unit. The owner or operator must maintain the following records at the facility:

('A') A written description of procedures to ensure that the F006 waste remains in the unit for no more than 180 days, a written description of the waste generation and management practices for the facility showing that they are consistent with the 180-day limit, and documentation that the generator is complying with the procedures; or

('B') Documentation that the unit is emptied at least once every 180 days.

('2') In addition, such a generator is exempt from all the requirements in sections 373-3.7 and 373-3.8 of this Title, except for subdivisions 373-3.7(b) and 373-3.7(e) of this Title;

('3') The date upon which each period of accumulation begins is clearly marked and visible for inspection on each container;

('4') While being accumulated on-site, each container and tank is labeled or marked clearly with the words, ''Hazardous Waste''; and

('5') The generator complies with the requirements for owners or operators in sections 373-3.3 and 373-3.4, subdivision 373-3.2(g), and subparagraph 376.1(g)(1)(v) of this Title.

(vii) A generator who generates 1,000 kilograms or greater of hazardous waste per calendar month who also generates wastewater treatment sludges from electroplating operations that meet the listing description for the RCRA hazardous waste code F006, and who must transport this waste, or offer this waste for transportation, over a distance of 200 miles or more for off-site metals recovery, may accumulate F006 waste on-site for more than 90 days, but not more than 270 days without a permit or without having interim status if the generator complies with the requirements of clauses (vi)('a') through (vi)('d') of this paragraph.

(viii) A generator accumulating F006 in accordance with subparagraphs (vi) and (vii) of this paragraph who accumulates F006 waste on-site for more than 180 days (or for more than 270 days if the generator must transport this waste, or offer this waste for transportation, over a distance of 200 miles or more), or who accumulates more than 20,000 kilograms of F006 waste on-site is an operator of a storage facility and is subject to the requirements of Subparts 373-2 and 373-3 of this Title and the permit requirements of Subpart 373-1 of this Title unless the generator has been granted an extension to the 180-day (or 270-day if applicable) period or an exception to the 20,000 kilogram accumulation limit. Such extensions and exceptions may be granted by the Department if F006 waste must remain on-site for longer than 180 days (or 270 days if applicable) or if more than 20,000 kilograms of F006 waste must remain on-site due to unforeseen, temporary, and uncontrollable circumstances. An extension of up to 30 days or an exception to the accumulation limit may be granted at the discretion of the Department on a case-by- case basis.

(ix) A generator who sends a shipment of hazardous waste to a designated facility with the understanding that the designated facility can accept and manage the waste and later receives that shipment back as a rejected load or residue in accordance with the manifest discrepancy provisions of subparagraph 373-2.5(b)(1)(vi) or 373-3.5(b)(1)(vi) of this Title may accumulate the returned waste on-site in accordance with subparagraph (ii) of this paragraph or subparagraphs (iii), (iv) and (v) of this paragraph, depending on the amount of hazardous waste generated, stored or accumulated on-site in that calendar month. Upon receipt of the returned shipment, the generator must:

('a') sign for receipt of the shipment by:

('1') signing Item 18(c) of the manifest, if the transporter returned the shipment using the original manifest; or

('2') signing Item 20 of the manifest, if the transporter returned the shipment using a new manifest; and

('b') retain one copy of the manifest form and mail one copy of the manifest form to the generator/offeror State and mail one copy of the manifest form to the destination State (if different from the generator/offeror State), making legible photocopies as necessary, postmarked within ten (10) calendar days of shipment date. Mail the Department copy to: New York State Department of Environmental Conservation, Division of Solid & Hazardous Materials, Manifest Section, 625 Broadway, Albany, New York 12233-7252. Manifest copies do not need to be distributed to states other than New York, if those states do not require such a copy be submitted to them.

(b) Manifest Requirements.

(1) A generator who transports, or offers for transport a hazardous waste for offsite treatment, storage, or disposal, or a treatment, storage, and disposal facility who offers for transport a rejected hazardous waste load, must prepare a manifest on EPA Form 8700-22, and if necessary, EPA Form 8700-22A, according to the manifest instructions included in Appendix 30 of this Title.

(i) For shipments of hazardous waste to a designated facility in an authorized state which has not yet obtained authorization to regulate that particular waste as hazardous, the generator must assure that the designated facility agrees to sign and return the manifest to the generator, and that any out-of-state transporter signs and forwards the manifest to the designated facility.

(2) Prior to shipment of hazardous waste off the site at which such waste was generated, the generator must:

(i) designate on the manifest one facility which is authorized to handle the waste described on the manifest. A generator may also designate on the manifest one alternate facility which is authorized to handle the waste in the event an emergency prevents delivery of the waste to the primary designated facility. The generator must confirm by written communication from the designated treatment, storage or disposal facility and alternate treatment, storage or disposal facility that it is authorized to handle the particular hazardous waste described on the manifest.

(ii) for each hazardous waste listed in Item 9 of the manifest, confirm with the designated facility what the ultimate disposal method will be for that waste. If the receiving TSD facility is not providing a hazardous waste management code in item 19 that reflects the ultimate disposal method for the hazardous waste, the generator must provide a State waste code in Item 13 of the manifest to designate the ultimate disposal method of the hazardous waste using one of following state codes:

L = Landfill

B = Incineration, heat recovery, burning

T = Chemical, physical, or biological treatment

R = Material recovery of more than 75 percent of the total material

If the receiving TSD facility uses hazardous waste report management method code for "storage, bulking, and/or transfer off-site - no treatment/recovery, fuel blending, or disposal at this site" in Item 19 of the manifest form, and the generator has failed to provide the ultimate disposal method in Item 13, the ultimate disposal method is deemed landfill (L).

(iii) confirm by written communication from the designated transporter(s) that they are authorized to deliver the manifested waste to the designated treatment, storage or disposal facility.

(iv) instruct the transporter that, if an emergency arises which prevents delivery to the designated facility or the alternate facility, the transporter must contact the generator for further directions concerning the disposition of the waste. The generator will then either designate another facility or instruct the transporter to return the waste.

(3) The generator must:

(i) sign the manifest certification by hand; and

(ii) obtain the handwritten signature of the initial transporter and date of acceptance on the manifest; and

(iii) retain one copy of the manifest in accordance with subparagraph 372.2(c)(1)(i) of this section, and mail one copy of the manifest form to the generator State and mail one copy of the manifest form to the destination State (if different from the generator State), making legible photocopies as necessary, postmarked within ten (10) calendar days of shipment date. Mail the Department copy to: New York State Department of Environmental Conservation, Division of Solid & Hazardous Materials, Manifest Section, 625 Broadway, Albany, New York 12233-7252. Generators do not need to distribute manifest copies to states other than New York, if those states do not require such a copy be submitted to them. The generator must give the transporter the remaining copies of the manifest.

(4) Special conditions. In the following situations, generator manifest requirements are modified as follows:

(i) generators who offer hazardous waste for shipment to a destination outside the United States must comply with the generator requirements of section 372.5 of this Part.

(ii) generators who offer hazardous waste for shipment to a destination outside New York State must comply with the generator requirements of section 372.6 of this Part.

(iii) generators who employ one or more rail or water (bulk) transporters to ship their hazardous waste must comply with the generator requirements of section 372.7 of this Part.

(5) No generator may:

(i) offer a shipment of hazardous waste for transport off-site without an accompanying manifest;

(ii) offer a shipment of hazardous waste to a transporter unless:

('a') such transporter has a valid permit, issued under Part 364 of this Title, which authorizes the transporter to transport the particular waste(s) offered for shipment to the designated facility; or

('b') the transporter is otherwise exempt from the requirements of Part 364 of this Title.

(iii) offer for shipment or ship a hazardous waste to other than an authorized facility.

(6) Use of a New York State or EPA hazardous waste code on a manifest constitutes a determination by the generator that the solid waste is a hazardous waste in New York.

(7) The requirements of this section (Manifest Requirements) do not apply to hazardous waste produced by generators of greater than 100 kilograms but less than 1,000 kilograms per calendar month where:

(i) the waste is reclaimed under a contractual agreement pursuant to which:

('a') the type of waste and frequency of shipments are specified in the agreement;

('b') the vehicle used to transport the waste to the recycling facility and to deliver regenerated material back to the generator is owned and operated by the reclaimer;

('c') the reclaimer complies with any applicable Part 364 waste hauler permit requirements; and

(ii) the generator records the following information for each shipment:

('a') the hazardous waste code and quantity of waste shipped; and

('b') the date the waste is shipped; and

(iii) the generator maintains a copy of the reclamation agreement on file for a period of at least three years after termination or expiration of the agreement.

(8) The requirements of this section and 372.2(a)(6)(ii) do not apply to the transport of hazardous wastes on a public or private right-of-way within or along the border of contiguous property under the control of the same person, even if such contiguous property is divided by a public or private right-of-way. The generator or transporter must comply with the requirements for transporters set forth in subdivision 372.3(d) of this Part in the event of a discharge of hazardous waste on a public or private right-of-way.

(9) Manifest tracking numbers, manifest printing, and obtaining manifests.

40 CFR Section 262.21, Manifest tracking numbers, manifest printing, and obtaining manifests, as published in the 70 FR 10775 et seq. - "Federal Register," March 4, 2005, is incorporated by reference as if fully set forth herein (see paragraph 370.1(e)(3) of this Title).

(10) Waste minimization certification. A generator who initiates a shipment of hazardous waste must certify to one of the following statements in Item 15 of the uniform hazardous waste manifest:

(i) "I am a large quantity generator. I have a program in place to reduce the volume and toxicity of waste generated to the degree I have determined to be economically practicable and I have selected the practicable method of treatment, storage, or disposal currently available to me which minimizes the present and future threat to human health and the environment;" This statement can also be found at 40 CFR 262.27(a), as incorporated by reference (see subdivision 370.1(e) of this Title), or

(ii) "I am a small quantity generator. I have made a good faith effort to minimize my waste generation and select the best waste management method that is available to me and that I can afford." This statement can also be found at 40 CFR 262.27(b), as incorporated by reference (see subdivision 370.1(e) of this Title).

(c) Reporting and record keeping requirements.

(1) Record keeping.

(i) A generator must keep a copy of each complete manifest document as a record for at least three years from the date the waste was accepted by the initial transporter.

(ii) A generator must keep a copy of each Annual Report (paragraph (2) of this subdivision) and Exception Report (paragraph (3)) for a period of at least three years from the due date of the report.

(iii) A generator must keep records of any test results, waste analyses, or other determinations made in accordance with paragraph (a)(2) of this section for at least three years from the date that the waste was last sent to on-site or off-site treatment, storage or disposal.

(iv) All records required under this subdivision must be furnished to the Department upon request, postmarked within five business days of receipt of a written request. A generator must make such records available at all reasonable times for inspection by any officer, employee, or representative of the Department who is duly designated by the commissioner.

(v) The record keeping periods referred to in this section are extended automatically beyond the three-year period during the course of any unresolved enforcement action regarding the regulated activity, or as requested by the commissioner.

(2) Annual reporting.

(i) A generator who ships any hazardous waste off-site to a treatment, storage or disposal facility located within the United States must submit Annual Reports on forms specified by the commissioner. This report must be submitted to the Department no later than March 1 for the preceding calendar year, and must include the following information:

('a') The EPA identification number, name, and address of the generator;

('b') The calendar year covered by the report;

('c') The EPA identification number, name, and address for each off-site treatment, storage, or disposal facility in the United States to which waste was shipped during the year;

('d') The name and EPA identification number of each transporter used during the reporting year for shipments to a treatment, storage or disposal facility within the United States;

('e') A description, EPA hazardous waste number(s) (from section 371.3 and/or 371.4 of this Title), DOT hazardous class, and quantity of each hazardous waste shipped off-site for shipments to a treatment, storage or disposal facility within the United States. This information must be listed by EPA identification number of each such offsite facility to which waste was shipped;

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

('g') 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;

('h') The certification signed by the generator or authorized representative.

(ii) Any generator who treats or disposes of hazardous waste on-site must submit an Annual Report covering those wastes in accordance with the provisions of section 373-2.5(e) of this Title. Reporting for exports of hazardous waste is not required on the Annual Report Form. A separate Annual Report requirement is set forth in section 372.5(f) of this Part.

(iii) A generator who generates in a calendar month less than 1000 kg of non-acute hazardous waste or 1 kg acute hazardous waste, is exempt from filing an Annual Report, provided that the generator complies with all other applicable regulations. A generator who exceeds these generation limits must file an Annual Report for the entire year.

(3) Exception reporting. A generator who does not receive a copy of the manifest with the handwritten signature of the owner or operator of the designated facility within 35 days of the date of shipment must immediately contact the transporter and/or disposal facility to determine the status of the shipment. If within 45 days of the date of shipment the generator has not received a signed copy of the manifest, an exception report must be submitted to the Department and, in the case of interstate shipments, submitted to the state in which the shipment was to be received, and any states in which the shipment may have been delivered. In the case of states which do not have EPA approved hazardous waste programs, notification must be sent to EPA. The exception report must include:

(i) a legible copy of the manifest for which the generator does not have confirmation of delivery; and

(ii) a cover letter signed by the generator or the generator's authorized representative explaining the efforts taken to locate the hazardous waste and the results of those efforts.

(4) Additional reporting. The commissioner may require generators to furnish additional reports concerning the quantities and disposition of wastes, if necessary.

(d) Project XL for Public Utilities in New York State

(1) The following definitions apply to this subdivision:

(i) A "Utility" is any company that operates wholesale and/or retail oil and gas pipelines, or any company that provides electric power or telephone service and is regulated by New York State's Public Service Commission, or the New York Power Authority.

(ii) A "right-of-way" is a fixed, integrated network of aboveground or underground conveyances, including land structures, fixed equipment, and other appurtenances, controlled or owned by a Utility, and used for the purpose of conveying its products or services to customers.

(iii) A "remote location" is a location in New York State within a Utility's right-of-way network that is not permanently staffed.

(iv) A "Utility's central collection facility" (UCCF) is a Utility-owned facility within the Utility's right-of-way network to which hazardous waste, generated by the Utility at remote locations within the same right-of-way network, is brought.

(2) A UCCF designated pursuant to paragraph (5) of this subdivision may consolidate hazardous waste (with the exception of mixed waste) generated by that Utility at its remote locations (and at that UCCF) for up to 90 days without a permit or without having interim status, provided that:

(i) The Utility complies with all applicable requirements for generators in this Part (except subparagraphs 372.2(a)(8)(iii), (iv) and (v) of this Part) for hazardous waste generated at its remote locations and at the UCCF, including the manifest and pretransport requirements for all shipments greater than 100 kilograms sent from a remote location to a UCCF.

(ii) The Utility transports the hazardous waste from the remote location to a UCCF immediately after collection of all hazardous waste at the remote location is complete or when the staff collecting the hazardous waste leave the remote location, whichever comes first.

(iii) The Utility complies with all applicable requirements for transporters in this Part and Part 364 of this Title for each shipment of hazardous waste greater than 100 kilograms which is sent from remote location to the UCCF, and all applicable United States Department of Transportation requirements.

(iv) ('a') The utility complies with paragraphs 372.2(a)(1) through (7) and subparagraphs 372.2(a)(8)(i) and (ii) of this Part, regardless of the total quantity generated or consolidated at the UCCF per calendar month.

('b') The Utility complies with subdivision 373-2.9(i) of this Title; and

('c') Secondary containment is provided for liquid hazardous waste consolidated in containers if required, pursuant to subparagraphs 373-1.1(d)(1)(iii) or (iv) of this Title.

(v) The Utility submits an annual report in accordance with paragraph 372.2(c)(2) including all hazardous waste shipped from remote locations to the UCCF. This UCCF annual report may be submitted in lieu of submitting an annual report for each remote location. However, for hazardous waste generated at a particular remote location that exceeds 1000 kg per calendar month and that is not sent to the UCCF, the Utility must submit a separate annual report.

(vi) Waste generated at a remote location that is not sent to a UCCF is managed according to the requirements of Parts 370 through 374 and 376 of this Title.

(vii) The Utility maintains records at the UCCF in accordance with all the recordkeeping requirements set forth in subdivision 372.2(c) of this section, and maintains records on any PCB test results for hazardous wastes brought to the facility from remote locations.

(viii) The UCCF obtains an EPA identification number.

(ix) The UCCF receives hazardous waste only from a remote location.

(x) The Utility reinvests at least one third of the direct savings described in paragraph (8) of this subdivision in one or more environmentally beneficial projects, such as remediation or pollution prevention, that are over and above existing legal requirements and that have not been initiated prior to the Utility's receipt of approval to consolidate hazardous waste pursuant to this subdivision.

(3) Utilities seeking to have UCCFs designated under paragraph (5) of this subdivision must comply with the following requirements:

(i) Any New York State Utility seeking approval to consolidate hazardous waste under this subdivision must notify local governments and communities of the Utility's intent to designate specific UCCFs.

(ii) In carrying out subparagraph (3)(i) of this paragraph, the Utility must solicit public comment. In soliciting public comment, the Utility must use the notice method set forth in clause ('a') of this subparagraph, as well as at least two of the methods set forth in clauses ('b')-('g') of this subparagraph. Each Utility must also notify by mail all parties who commented on the proposed federal or state rule for this XL project.

('a') a public notice in a newspaper of general circulation within the area in which each proposed UCCF is located;

('b') a radio announcement in each affected community during peak listening hours;

('c') mailings to all citizens within a five (5) mile radius of proposed UCCF;

('d') well publicized community meetings;

('e') presentations to the local community board;

('f') placement of copies of this subdivision and the Final Project Agreement that explains the regulatory relief outlined in this subdivision in the local library nearest the proposed UCCF, and inclusion of the name and address of the library in the newspaper notice; and

('g') placement of copies of this subdivision and the Final Project Agreement that explains the regulatory relief outlined in this subdivision on the Utility's web site, and inclusion of the web site's address in the newspaper notice.

(iii) All outreach efforts made under subparagraph (3)(ii) of this subdivision shall be prepared in English (and any other language spoken by a large number of persons in the community of concern) and at a minimum shall include the following information:

('a') A brief description of the XL project, the intended new use of the facility, and a request for comments on the proposed UCCF.

('b') The name, if any, and address of the proposed UCCF and its current status under the New York State's hazardous waste regulatory program.

('c') The intended duration of use of the UCCF under the requirements of this subdivision.

('d') Names, addresses, and telephone numbers of contact persons, representing the Utility, to whom questions or comments may be directed.

('e') Notification of when the comment period of no less than 30 days will close.

(iv) Prior to the solicitation of public comment pursuant to subparagraph (3)(ii) of this subdivision, the Utility must submit copies of each notice, announcement or mailing directly to local governments and to the Department and USEPA.

(v) At the close of the comment period, the Utility shall prepare a Responsiveness Package containing a summary of public outreach efforts, all comments and questions received as a result of its outreach efforts, and the Utility's written responses to all comments and questions. The Utility shall provide copies of its Responsiveness Package to any citizens that participated in the public notice process, local governments and the Department and USEPA.

(4) Upon completion of the public notice procedures described in paragraph (3) of this subdivision, the Utility must provide written notice to the Department and USEPA of its intent to participate. The Notice of Intent must contain the following information:

(i) The name of the Utility, corporate address, and corporate mailing address, if different.

(ii) The name, mailing address, and telephone number of a corporate-level contact person to whom communications and inquiries may be directed. This contact person may be changed by written notification to the Department and USEPA.

(iii) A list of the names, addresses, and EPA identification numbers of all Utility-owned facilities in New York State that are proposed UCCFs and the names and telephone numbers of a designated contact person at each facility.

(iv) A summary of public outreach efforts undertaken pursuant to paragraph (3) of this subdivision.

(v) A commitment that one third of the direct cost savings outlined in paragraph (8) of this subdivision due to project participation will be reinvested in one or more environmentally beneficial projects which are over and above existing legal requirements and which have not been initiated prior to the Utility's receipt of approval to consolidate hazardous waste pursuant to this subdivision.

(vi) An acknowledgment that the signatory is personally familiar with the terms and conditions of this subdivision and has the authority to obligate and does obligate the Utility to comply with all such terms and conditions. The Utility shall comply with the signatory requirements set forth in clause 373-1.4(a)(5)(i)('a') of this Title.

(5) The procedures for designating UCCFs are as follows:

(i) Subject to subparagraphs (5)(ii)-(v) of this paragraph, the Utility and specified UCCF shall receive approval to comply with the requirements set forth in paragraph (2) of this subdivision upon the receipt of written acknowledgment from the Department that the Notice of Intent described in paragraph (4) of this subdivision has been received and found to be complete and in compliance with all the requirements set forth in paragraph (4) of this subdivision. This acknowledgment will state whether the UCCF has been designated under this subdivision and any additional limitations which have been placed on the UCCF.

(ii) Based on information provided and comments received during the public notice and comment period, the Department shall prepare a response to the comments received. The response to comments shall be attached to the acknowledgment described in subparagraph (5)(i) of this paragraph. Both the acknowledgment and the response to comments shall be sent to all persons who commented on the designation of the UCCF(s) that are the subject of the acknowledgment.

(iii) Based on information provided and comments received during or after the public notice and comment period, designated UCCFs may be rejected for the proposed use, or, if the Department determines that acceptance for the proposed use under the conditions of paragraph (2) of this subdivision may not fully protect human health and the environment based on the Utility's compliance history or other appropriate factors, the acknowledgment may impose conditions in addition to those in paragraph (2) of this subdivision.

(iv) If the Department determines that a site-specific informational public meeting is warranted prior to determining the acceptability of a designated UCCF, the acknowledgment will so state.

(v) Subsequent to any public meeting, the Department may reject or prohibit UCCFs from participating in this project based on information provided or comments received during or after the public notice process or based on a determination that acceptance for the proposed use under the conditions of paragraph (2) of this subdivision may not fully protect human health and the environment based on the Utility's compliance history or other appropriate factors.

(6) At any time, a Utility may add or remove UCCF designations by complying with the following requirements:

(i) A Utility must notify the Department and USEPA of its intent to designate additional UCCFs. Such a notification shall be submitted to both agencies and processed by the Department in the manner indicated in paragraphs (4) and (5) of this subdivision.

(ii) To have one or more additional UCCFs designated, the Utility must comply with paragraph (3) of this subdivision.

(iii) A Utility can discontinue use of a facility as a UCCF by notifying the Department and USEPA in writing.

(7) Each Utility that receives approval to consolidate hazardous waste pursuant to this subdivision shall submit an Annual Progress Report with the following information for the preceding year:

(i) The number of remote locations statewide for which hazardous waste was handled in accordance with paragraph (2) of this subdivision.

(ii) The total tonnage of each type of hazardous waste handled by each UCCF.

(iii) The number of remote locations statewide from which l,000 kilograms or more of hazardous waste were collected per calendar month.

(iv) The number of remote locations statewide from which between l00 and l,000 kilograms of hazardous waste were collected per calendar month.

(v) An estimate of the monetary value, on a Utility-wide basis, of the direct savings realized by participation in this project. Direct savings at a minimum include those outlined in paragraph (8) of this subdivision.

(vi) Descriptions of the environmental compliance, remediation, or pollution prevention projects or activities into which the savings, described in paragraph (8) of this subdivision, have been reinvested, with an estimate of the savings reinvested in each. Any such projects must consist of activities that are over and above existing legal requirements and that have not been initiated prior to the Utility's receipt of approval to consolidate hazardous waste pursuant to this subdivision.

(vii) The addresses and EPA identification numbers for all facilities that served as UCCFs for hazardous waste from remote locations.

(8) Utilities that receive approval to consolidate hazardous waste pursuant to this subdivision must assess the direct savings realized as a result. Cost estimates shall include direct savings based on relief from any regulatory requirements, which the facility expects to be relieved from due to compliance with the provisions of this subdivision, including but not limited to, the following:

(i) database management for each remote location as an individual generator;

(ii) Annual Report preparation costs; and/or

(iii) Cost savings realized from consolidation of waste for economical shipment (including no longer shipping waste directly to a TSD from remote locations).

(9) If any UCCF or Utility that receives approval under this subdivision fails to comply with any of the requirements of this subdivision, the Department may terminate or suspend the UCCF's or Utility's participation. The Department will provide a UCCF or Utility with 15 days written notice of its intent to terminate or suspend participation. During this period, the UCCF will have the opportunity to come back into compliance or provide a written explanation as to why it was not in compliance with the terms of this subdivision and how it will come back into compliance. If the Department then issues a written notice terminating or suspending participation, the Utility must take immediate action to come into compliance with all otherwise applicable state and federal requirements. USEPA or the Department may also take enforcement action against a Utility for non-compliance with the provisions of this subdivision.

(10) This subdivision will expire on May 24, 2011.

§372.3 - Standards Applicable to Transporters

The following standards are applicable to transporters of hazardous waste unless specifically exempted or modified in this section.

(a) General requirements.

(1) Transporters of hazardous waste must comply with all provisions of 6 NYCRR Part 364 of this Title, "Waste Transporter Permits" and be permitted under the provisions of that regulation to transport hazardous waste in New York State.

(2) Within ninety days after promulgation or revision of Part 371 of this Title, any person transporting wastes not previously regulated as hazardous waste shall file with the commissioner a notification stating the location and a general description of the transportation activity and the hazardous waste handled by such person. No hazardous waste subject to the regulation in this Title may be transported, treated, stored or disposed unless notification has been given as herein required.

(3) A transporter must not transport hazardous wastes without having received an EPA identification number as defined in section 370.2(b) of this Title.

(4) Permits. Any transporter of hazardous waste must comply with the permit requirement of Part 364 of this Title unless otherwise exempt (section 364.1(e) of this Title.)

(5) A transporter of hazardous wastes must comply with requirements applicable to generators, as set forth in this Part, if the transporter:

(i) Transports hazardous waste into the United States from abroad; or

(ii) Mixes hazardous wastes of different DOT shipping descriptions by placing them into a single container.

(6) Transporters as temporary storage facilities. Transporters may store hazardous waste, incidental to transport, for up to ten days as provided for in section 373-1.1(d)(1)(xv) of this Title.

(7) Transporters are permitted to transfer hazardous waste, incidental to transport, provided that:

(i) Reserved.

(ii) transfer of hazardous waste from one transporter to another is indicated on the Manifest as Second Transporter.

(iii) if consolidation of loads takes place by moving containers from one transport vehicle to another or containers are removed from transport vehicles prior to being reloaded, the transfer or storage area must be designed to meet secondary containment requirements in accordance with subdivision 373-2.9 (f) of this Title.

(8) A transporter of hazardous waste, except "State-only waste", subject to the manifesting requirements of this Part, or subject to the waste management standards of Subpart 374-3 of this Title, that is being imported from or exported to any of the countries listed in subparagraph 372.5(h)(1)(i) of this Part for purposes of recovery is subject to this section and to all other relevant requirements of subdivision 372.5(h) of this Part.

(b) Manifest requirements.

(1) Before transporting the hazardous waste, the transporter of such waste must sign and date the manifest acknowledging acceptance of the hazardous waste from the generator. The transporter must return a signed copy to the generator before leaving the generator's property, and assure that copies of the manifest are available for additional transporters, if necessary.

(2) The transporter must ensure that the manifest accompanies the hazardous waste. The manifest must be kept in the transportation vehicle in an easily accessible place when the shipment is in transit. In the case of exports, the transporter must ensure that a copy of the EPA Acknowledgement of Consent also accompanies the hazardous waste.

(3) Reserved.

(4) (i) The transporter must deliver the entire quantity of hazardous waste which the transporter accepted from a generator or a transporter to:

('a') the designated facility listed on the manifest; or

('b') the alternate designated facility if the hazardous waste cannot be delivered to the designated facility because an emergency prevents delivery; or

('c') to the next designated transporter, as specified on the manifest; or

('d') the place outside the United States designated by the generator.

(ii) If the hazardous waste cannot be delivered in accordance with subparagraph (i) of this paragraph because of an emergency condition other than rejection of the waste by the designated facility, then the transporter must contact the generator for further directions and must revise the manifest according to the generator's instructions.

(iii) If hazardous waste is rejected by the designated facility while the transporter is on the facility's premises, then the transporter must obtain the following:

('a') For a partial load rejection or for regulated quantities of container residues, a copy of the original manifest that includes the facility's date and signature, and the Manifest Tracking Number of the new manifest that will accompany the shipment, and a description of the partial rejection or container residue in the discrepancy block of the original manifest. The transporter must retain a copy of this manifest in accordance with subdivision 372.3(c) of this section, and give the remaining copies of the original manifest to the rejecting designated facility. If the transporter is forwarding the rejected part of the shipment or a regulated container residue to an alternate facility or returning it to the generator, the transporter must obtain a new manifest to accompany the shipment, and the new manifest must include all the information required in clauses 373-2.5(b)(1)(v)('a') through ('f') or (vi)('a') through ('f'), or 373-3.5(b)(1)(v)('a') through ('f') or (vi)('a') through ('f') of this Title.

('b') For a full load rejection that will be taken back by the transporter, a copy of the original manifest that includes the rejecting facility's signature and date attesting to the rejection, the description of the rejection in the discrepancy block of the manifest, and the name, address, phone number, and Identification Number for the alternate facility or generator to whom the shipment must be delivered. The transporter must retain a copy of the manifest in accordance with subdivision 372.3(c) of this section, and give a copy of the manifest containing this information to the rejecting designated facility. If the original manifest is not used, then the transporter must obtain a new manifest for the shipment and comply with clauses 373-2.5(b)(1)(v)('a') through ('f') or 373-3.5(b)(1)(v)('a') through ('f') of this Title.

(5) A transporter who delivers a hazardous waste to another transporter or to the designated facility must:

(i) obtain the date of delivery and the handwritten signature of the subsequent transporter or of the owner or operator of the designated facility on the manifest; and

(ii) reserved;

(iii) retain the appropriate copy of the manifest in accordance with subdivision 372.3(c) of this section; and

(iv) give the remaining copies of the manifest to the accepting transporter or designated facility.

(6) Prohibitions. No transporter may:

(i)('a') accept hazardous waste from a generator unless the transporter is also provided with a manifest signed in accordance with the requirements of paragraph 372.2(b)(3) of this Part.

('b') In the case of exports of hazardous waste subject to the requirements of subdivision 372.5(h) of this Part, a transporter must meet the requirements of subdivision 372.5(h) of this Part. In the case of exports other than those subject to subdivision 372.5(h) of this Part, a transporter may not accept such waste from a primary exporter or other person:

('1') if the transporter knows the shipment does not conform to the EPA Acknowledgement of Consent; and

('2') unless, in addition to a manifest signed by the generator in accordance with the provisions of subdivision 372.2(b) of this Part, the transporter is also provided with an EPA Acknowledgement of Consent which, except for shipment by rail, is attached to the manifest (or shipping paper for exports by water (bulk shipment));

(ii) accept a hazardous waste shipment that significantly differs in terms of quantity from that listed on the manifest;

(iii) deliver a shipment of hazardous waste to any person other than as prescribed in this subdivision; or

(iv) transport any shipment of hazardous waste without complying with the financial security requirements of paragraph 372.3(d)(3) of this section.

(7) Special conditions. In the following situations transporter manifest requirements are modified:

(i) transporters who transport hazardous waste out of the United States must:

('a') Sign and date the manifest in the International Shipments block to indicate the date that the shipment left the United States;

('b') Retain one copy in accordance with paragraph 372.3(c)(3) of this Part;

('c') Return a signed copy of the manifest to the generator; and

('d') Give a copy of the manifest to a U.S. Customs official at the point of departure from the United States.

(ii) rail and water (bulk) transporters must comply with the transporter requirements in section 372.7 of this Part.

(iii) a transporter transporting hazardous waste from a generator who generates greater than 100 kilograms but less than 1,000 kilograms of hazardous waste in a calendar month need not comply with the requirements of this section or those of subdivision (c) of this section, provided that:

('a') the waste is being transported pursuant to a reclamation agreement as provided for in section 372.2(b)(7) of this Part;

('b') the transporter records, on a log or shipping paper, the following information for each shipment;

('1') the name, address and U.S. EPA identification number of the generator of the waste;

('2') the quantity of waste accepted;

('3') all DOT-required shipping information;

('4') the date the waste is accepted;

('c') the transporter carries this record when transporting waste to the reclamation facility; and

('d') the transporter retains these records for a period of at least three years after termination or expiration of the agreement.

(c) Record keeping requirements.

(1) A transporter of hazardous waste must keep a copy of the manifest signed by the generator, the transporter, and the next designated transporter, or the owner or operator of the designated facility, for a period of three years from the date the hazardous waste was accepted by the initial transporter.

(2) For shipments delivered to the designated facility by rail or water (bulk), each rail or water (bulk shipment) transporter must retain a copy of a shipping paper containing all the information required in section 372.7 of this Part for a period of three years from the date the hazardous waste was accepted by the initial transporter.

(3) A transporter who transports hazardous waste out of the United States must keep a copy of the manifest, indicating that the hazardous waste left the United States, for a period of three years from the date the hazardous waste was accepted by the initial transporter.

(4) Reserved.

(5) The three-year period of retention referred to in this subdivision is extended automatically during the course of any unresolved enforcement action regarding the regulated activity, or as requested by the commissioner.

(d) Hazardous waste discharges.

(1) Immediate action.

(i) In the event of a discharge of hazardous waste during transportation, the transporter must take appropriate immediate action to protect human health and the environment (e.g., notify local authorities, dike the discharge areas).

(ii) If a discharge of hazardous waste occurs during transportation and an official (State or local government or a Federal Agency), acting within the scope of his/her official responsibilities, determines that immediate removal of the waste is necessary to protect human health or the environment, that official may authorize the removal of the waste by transporters who do not have EPA identification numbers and without the preparation of a manifest.

(iii) Any waste transporter who has discharged hazardous waste must:

('a') give notice, if required by 49 CFR 171.15 (see section 370.1(e) of this Title), to the National Response Center (800-424-8802 or 202-426-2675) and the Department (518-457-7362).

('b') report in writing, as required by 49 CFR 171.16 (see section 370.1(e) of this Title), to the Director, Office of Hazardous Materials Regulations, Materials Transportation Bureau, Department of Transportation, Washington, D.C. 20590.

('c') in the case of a water (bulk shipment) transporter, who has discharged hazardous waste, give the same notice as required by 33 CFR 153.203 (see section 370.1(e) of this Title) for oil and hazardous substances.

(2) Discharge clean up. A transporter must clean up any hazardous waste discharge that occurs during transportation, or take such action as may be required or approved by Federal, State, or local officials so that the hazardous waste discharge no longer presents a hazard to human health or the environment.

(3) Financial security requirements. The financial security requirement for transporters of hazardous waste are located in Part 364.5 of this Title.

§372.4 - Standards Applicable to Owners and Operators of Treatment, Storage or Disposal Facilities

(a) Reserved. (See Sections 373-2.5 and 373-3.5, as appropriate, for Standards Applicable to Owners and Operators of Treatment, Storage and Disposal Facilities formerly located in section 372.4.)

§372.5 - International Shipments and Imports

(a) Applicability. This section establishes requirements applicable to exports of hazardous waste. Except to the extent subdivision (h) of this section provides otherwise, a primary 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 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) 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).

(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 sixty (60) days before the initial shipment is intended to be shipped off site. This notification may cover export activities extending over a twelve (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 ID number of the primary exporter;

(ii) by consignee, 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 ID number (UN/NA) for each hazardous waste as identified in 49 CFR Part 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 consignee and any alternate consignee; 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 Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, 401 M Street SW, Washington, DC 20460 and to the Regulatory Development Section, NYSDEC, 625 Broadway, Albany, NY 12233. Hand-delivered notifications should be sent to: Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, Ariel Rios Bldg., 12th St. and Pennsylvania Ave., NW., Washington, DC, and mailed to the Regulatory Development 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') 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)).

(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 ID number of the designated permitted facility, the primary exporter must enter the name and site address of the consignee;

(2) In lieu of the name, site address and EPA ID number of a permitted alternate facility, the primary exporter may enter the name and site address of any alternate consignee;

(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 16 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 consignee to confirm in writing the delivery of the hazardous waste to that facility and to describe any significant discrepancies (as defined in clause 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 consignee, the primary exporter must:

(i) renotify EPA of a change in the conditions of the original notification to allow shipment to a new consignee in accordance with paragraph (c)(3) of this subdivision 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 372.5(k)(1)(v) of this Part.

(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 Administrator and the Department if:

(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 consignee 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 1 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 consignee;

(iv) by consignee, for each hazardous waste exported, a description of the hazardous waste, the EPA hazardous waste number(s) (from section 371.3 and/or 371.4 of this Title), DOT hazard class, the name and U.S. EPA ID 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)(2) 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 Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, 401 M St., SW., Washington, DC 20460 and to the Regulatory Development Section, NYSDEC, 625 Broadway, Albany, NY 12233. Hand-delivered reports should be sent to: Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, Ariel Rios Bldg., 12th St. and Pennsylvania Ave., NW., Washington, DC, and mailed to the Regulatory Development Section at the above address.

(g) Record keeping.

(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, to or from designated member countries of the Organization for Economic Cooperation and Development (OECD) as defined in subparagraph (1)(i) of this subdivision for purposes of recovery is subject to the requirements of section 372.5 of this Part as follows: subdivision 372.5(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 372.5(c)(2) of this section; paragraphs 372.5(d)(1), (2), (3), (5), and (9) apply; subdivision 372.5(e) applies; subdivision 372.5(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 372.5(f)(2); subdivision 372.5 (j) applies; and subparagraphs 372.5(k)(1)(ii) through (v) apply.

(i) For the purposes of this Part, the designated OECD countries consist of Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, 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 section 372.5 of this Part.

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.

(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.

(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 clauses 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).

§372.6 - Interstate Shipments

(a) Applicability.The provisions of this section apply to hazardous waste shipments either originating in or terminating in New York State. The provisions of this section govern when in conflict with the provisions of this Part. Any non-conflicting provisions of this Part continue to apply to any person subject to this section.

(b) Special generator requirements.

(1) A generator located in New York State who ships or offers for shipment wastes to a facility outside of New York State must manifest the waste in accordance with this Part if it is hazardous either under New York State law, under the law of the state in which the facility is located, or under EPA regulation if there is no applicable state law. The generator must ascertain that the designated facility is capable of disposing of the hazardous waste in accordance with the laws, rules and regulations of that state and/or EPA.

(2) An out-of-state generator who ships, or offers for shipment wastes destined for a facility in New York State must manifest the waste in accordance with this Part if the waste is hazardous under either New York State law or the law of the state in which it was generated. The generator must ascertain that the designated facility is capable of disposing of the hazardous waste in accordance with the laws, rules and regulations of New York State.

§372.7 - Shipments by Rail or Water (Bulk)

(a) Applicability. The provisions of this section shall apply to hazardous waste shipments transported in whole or in part by rail or water (bulk). The provisions of this section govern when in conflict with any other provisions of this Part. Any non-conflicting provisions of this Part continue to apply to any person subject to this section.

(b) Special generator requirements.

(1) For shipments of hazardous waste solely by water (bulk), the generator must mail the manifest, with all generator required information and certifications completed and with the certifications of the initial transporter, to the designated facility or the last water (bulk shipment) transporter to handle the waste in the United States if exported by water. Copies of the manifest are not required for each transporter.

(2) For rail shipments of hazardous waste which originate at the site of generation, the generator must send the manifest dated and signed in accordance with this section to:

(i) The next non-rail transporter, if any; or

(ii) The designated facility if transported solely by rail; or

(iii) The last rail transporter to handle the waste in the United States if exported by rail.

(3) For shipments of hazardous wastes involving a rail or water (bulk shipment) transporter who is not the initial transporter, the generator must complete the manifest and comply with all related requirements as set forth in section 372.2(b) of this Part.

(c) Special transporter requirements.

(1) For water (bulk shipment) transporters:

(i) For shipments of hazardous waste solely by water (bulk), the transporter:

('a') is not required to carry a manifest pursuant to subdivision 372.3(b);

('b') must carry shipping paper containing the following information;

('1') the generator's name, mailing address and telephone number;

('2') the name of the transporter;

('3') the name and address of the designated facility;

('4') the description of the waste(s) required by regulations of the U.S. Department of Transportation in 49 CFR 172.101, 172.202, and 172.203 (see section 370.1(e) of this Title); and

('5') the total quantity of each hazardous waste by units of weight or volume, and the type and number of containers as loaded into or onto the transport vehicle.

(Note: The certifications otherwise required on the manifest form are not required for the use of a shipping document pursuant to this section.)

('c') must obtain the date of delivery and handwritten signature of the owner or operator of the designated facility on the shipping document; and

('d') must retain a copy of the shipping document in accordance with section 372.3(c)(2) of this Part.

(ii) Reserved.

(iii) For shipment of hazardous waste involving a water (bulk) transporter as a transporter other than an initial transporter:

('a') the transporter delivering the shipment to the water (bulk) transporter must carry the manifest document from the site of generation to the delivery location and must obtain the date of delivery and signature of the rail or water (bulk) transporter on the manifest, and forward the appropriate copies of the manifest to the designated facility.

('b') the water (bulk) transporter must:

('1') carry a shipping document as set forth in subparagraph (i) of this paragraph in place of the manifest;

('2') deliver by water (bulk shipment) to the designated facility and obtain the date of delivery and handwritten signature of the owner or operator of the designated facility on the shipping document; and

('3') retain a copy of the shipping paper in accordance with section 372.3(c)(2) of this Part.

(2) For shipments involving rail transportation:

(i) When accepting hazardous waste from a non-rail transporter, the initial rail transporter must:

('a') Sign and date the manifest acknowledging acceptance of the hazardous waste;

('b') Return a signed copy of the manifest to the non-rail transporter;

('c') Forward the manifest to:

('1') The next non-rail transporter, if any; or,

('2') The designated facility, if the shipment is delivered to that facility by rail; or

('3') The last rail transporter designated to handle the waste in the United States;

('d') Retain one copy of the manifest and rail shipping paper in accordance with paragraph 372.3(c)(2) of this Part.

(ii) Rail transporters must ensure that a shipping paper containing all the information required by clause (1)(i)('b') of this subdivision accompanies the hazardous waste at all times.

Note: Intermediate rail transporters are not required to sign either the manifest or shipping paper.

(iii) When delivering hazardous waste to the designated facility, a rail transporter must:

('a') Obtain the date of delivery and handwritten signature of the owner or operator of the designated facility on the manifest or the shipping paper (if the manifest has not been received by the facility); and

('b') Retain a copy of the manifest or signed shipping paper in accordance with paragraph 372.3(c)(2) of this Part.

(iv) When delivering hazardous waste to a non-rail transporter a rail transporter must:

('a') Obtain the date of delivery and the handwritten signature of the next non-rail transporter on the manifest; and

('b') Retain a copy of the manifest in accordance with paragraph 372.3(c)(2) of this Part.

(v) Before accepting hazardous waste from a rail transporter, a non-rail transporter must sign and date the manifest and provide a copy to the rail transporter.

(3) In the case of exports an EPA Acknowledgement of Consent must accompany the hazardous waste at all times.

(d) Special treatment, storage or disposal facility requirements. Any facility receiving a shipment of hazardous waste that is not accompanied by a manifest because of any provision of this Section must:

(1) determine whether they have received a manifest document for the shipment prior to delivery;

(2) determine significant discrepancies as defined in clauses 373-2.5(b)(1)(i)('d') or 373-3.5(b)(1)(i)('d') of this Title, between the shipment and the manifest and/or the shipping document;

(3) upon receipt of the manifest, complete it with the required facility information and certification, and keep one copy of the manifest, as specified on the manifest forms, mail one copy of the manifest form to the generator and the generator State and mail one copy of the manifest form to the destination State (if different from the generator State), making legible photocopies as necessary, postmarked within thirty (30) calendar days of receipt of shipment. Mail the Department copy to: New York State Department of Environmental Conservation, Division of Solid & Hazardous Materials, Manifest Section, 625 Broadway, Albany, New York 12233-7252. Facilities do not need to distribute manifest copies to states other than New York, if those states do not require such a copy be submitted to them.

(4) if a manifest for the shipment is not received within 15 days from the receipt of the shipment, send a copy of the signed and dated copy of the shipping paper to the generator and submit an unmanifested waste report as set forth in paragraph 373-2.5(b)(3) of this Title to the Department; and

(5) comply with testing procedures set forth in section 372.4(b)(2) of this Part and submit a manifest discrepancy report where required.

§Appendix 26 - Environmental Conservation Law 23-2307

Appendix 26, (cf. Part 372) Environmental Conservation Law, Section 23-2307, is deleted and reserved.

§Appendix 30 - Instructions for the Uniform Hazardous Waste Manifest

General Information

Read all instructions before completing this form. This form has been designed for use on a 12-pitch (elite) typewriter; a firm point pen may also be used-press down hard.

New York State regulation requires generators and transporters of hazardous waste and owners or operators of hazardous waste treatment, storage and disposal facilities to complete a manifest (EPA form 8700-22), and, if necessary, the continuation sheet (EPA form 8700-22A) for both inter- and intrastate transportation of hazardous waste. Omissions, false coding or illegibility is considered a violation. All generators are responsible under New York State and Federal Law for the proper identification, labeling, manifesting and ultimate disposal of all hazardous waste they generate. The manifest system is designed to track hazardous waste from the point of generation until its final disposal (cradle to grave). In order to accomplish that goal, it is essential that all items on a manifest be properly completed.

Distribution

Distribution of each copy of the manifest is indicated on the bottom of the form. Additional copies of the form may be required. For example, the generator must make additional copies of the manifest, as necessary, to be submitted by the generator to the generator state and the disposer state. Extra copies of the manifest will be needed if more than one transporter is used. For exports, the transporter must deliver a copy of the manifest to the U.S. Customs when exporting the waste across U.S. borders and mail a copy to the generator. For imports, the TSD must mail a copy of the manifest to the USEPA. For rejected loads, the final receiving facility (generator or TSD), must make manifest copies to submit to the generator state and the disposer state, as necessary.

New York State regulations provide ten (10) calendar days for a generator and ten (10) calendar days for a TSDF to distribute manifest copies.

The disposer's state is the state in which the designated TSD facility is located. The generator's state is the state in which the installation generating the hazardous waste is located. TSD facility is a treatment, storage or disposal facility.

For submittal to the Department, mail manifest related documents to: New York State Department of Environmental Conservation, Division of Solid & Hazardous Materials, Manifest Section, 625 Broadway, Albany, New York 12233-7252.

Public Reporting Burden

The following statement must be included with each Uniform Hazardous Waste Manifest, either on the form, in the instructions to the form, or accompanying the form:

"Public reporting burden for this collection of information is estimated to average: 30 minutes for generators, 10 minutes for transporters, and 25 minutes for owners or operators of treatment, storage, and disposal facilities. This includes time for reviewing instructions, gathering data, completing, reviewing and transmitting the form. Any correspondence regarding the PRA burden statement for the manifest must be sent to the Director of the Collection Strategies Division in EPA's Office of Information Collection at the following address: U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW., Washington, DC 20460. Do not send the completed form to this address."

I. INSTRUCTIONS FOR GENERATORS

Item 1. Generator's USEPA Identification Number - Enter the generator's US EPA twelve digit identification number, or the State generator identification number if the generator site does not have an EPA identification number.

Item 2. Page 1 of _______ - Enter the total number of pages used to complete this Manifest (i.e., the first page (EPA form 8700-22) plus the number of Continuation Sheets (EPA form 8700-22A), if any).

Item 3. Emergency Response Phone Number - enter a phone number for which emergency response information can be obtained in the event of an incident during transportation. The emergency response phone number must:

1. Be the number of the generator or the number of an agency or organization who is capable of and accepts responsibility for providing detailed information about the shipment;

2. Reach a phone that is monitored 24 hours a day at all times the waste is in transportation (including transportation related storage); and

3. Reach someone who is either knowledgeable of the hazardous waste being shipped and has comprehensive emergency response and spill cleanup/incident mitigation information for the material being shipped or has immediate access to a person who has that knowledge and information about the shipment.

Note: Emergency Response phone number information should only be entered in Item 3 when there is one phone number that applies to all the waste materials described in Item 9b. If a situation (e.g., consolidated shipments) arises where more than one Emergency Response phone number applies to the various wastes listed on the manifest, the phone numbers associated with each specific material should be entered after its description in Item 9b.

Item 4. Manifest Tracking Number - This unique tracking number must be pre-printed on the manifest by the forms printer.

Item 5. Generator's Mailing Address, Phone Number and Site Address - Enter the name of the generator, the mailing address to which the completed manifest signed by the designated facility should be mailed, and the generator's telephone number. Note, the telephone number (including area code) should be the normal business number for the generator, or the number where the generator or his authorized agent may be reached to provide instructions in the event the designated and/or alternate (if any) facility rejects some or all of the shipment. Also enter the physical site address from which the shipment originates only if this address is different than the mailing address.

Item 6. Transporter 1 Company Name, and U.S. EPA ID Number - Enter the company name and U.S. EPA ID number of the first transporter who will transport the waste. Vehicle or driver information may not be entered here.

Item 7. Transporter 2 Company Name and U.S. EPA ID Number - If applicable, enter the company name and U.S. EPA ID number of the second transporter who will transport the waste. Vehicle or driver information may not be entered here. If more than two transporters are needed, use a Continuation Sheet(s) (EPA Form 8700 - 22A).

Item 8. Designated Facility Name, Site Address, and U.S. EPA ID Number - Enter the company name and site address of the facility designated to receive the waste listed on this manifest. Also enter the facility's phone number and the U.S. EPA twelve digit identification number of the facility.

Note: All US EPA ID numbers are a twelve digit code starting off with the letters corresponding to the state in which the facility or transporter is located.

Note: Only New York State authorized transporters and TSD facilities, as defined in subdivision 370.2(b), are allowed to transport or receive hazardous waste in New York State. The generator shall check for authorization.

Item 9. U.S. DOT Description (Including Proper Shipping Name, Hazard Class or Division, Identification Number, and Packing Group)

Item 9a. If the wastes identified in Item 9b consist of both hazardous and nonhazardous materials, then identify the hazardous materials by entering an "X" in this Item next to the corresponding hazardous material identified in Item 9b.

Item 9b. Enter the U.S. DOT Proper Shipping Name, Hazard Class or Division, Identification Number (UN/NA) and Packing Group for each waste as identified in 49 CFR 172. Include technical name(s) and reportable quantity references, if applicable. USDOT requires the word "waste" before or in the shipping name for all hazardous waste. See 49 CFR 171 thru 173 (see subdivision 370.1(e)). Contact USDOT office for description assistance.

NOTE: If additional space is needed for waste descriptions, enter these additional descriptions in Item 27 on the Continuation Sheet (EPA Form 8700-22A). Also, if more than one Emergency Response phone number applies to the various wastes described in either Item 9b or Item 27, enter applicable Emergency Response phone numbers immediately following the shipping descriptions for those Items.

Item 10. Containers (Number and Type)

Enter the number of containers for each waste and the appropriate abbreviation from Table I (below) for the type of container.

TABLE I. TYPES OF CONTAINERS

  • BA - Burlap, cloth, plastic, or paper bags
  • CF - Fiber or plastic boxes, cartons, cases
  • CM - Metal boxes, cartons, cases (including roll-offs)
  • CW - Wooden boxes, cartons, cases
  • CY - Cylinders
  • DF - Fiberboard or plastic drums, barrels, kegs
  • DM - Metal drums, barrels, kegs
  • DT - Dump trucks
  • DW - Wooden drums, barrels, kegs
  • HG - Hopper or gondola cars
  • TC - Tank cars
  • TP - Portable tanks
  • TT - Cargo tank (tank trucks)

Item 11. Total Quantity - Enter, in designated boxes, the total quantity of waste. Round partial units to the nearest whole unit. "Do not" enter decimals or fractions. To the extent practical, report quantities using appropriate units of measure that will allow you to report quantities with precision. Waste quantities entered should be based on actual measurements or reasonably accurate estimates of actual quantities shipped. Container capacities are not acceptable as estimates.

Item 12. Units of Measure (Weight/Volume) - Enter, in designated boxes, the appropriate abbreviation from Table II (below) for the unit of measure.

TABLE II. UNITS OF MEASURE

  • G - Gallons (liquids only)*
  • K - Kilograms (2.2 pounds)
  • L - Liters (liquids only)*
  • M - Metric tons (1,000 kilograms) (2,200 pounds)
  • N - Cubic meters*
  • P - Pounds
  • T - Tons (2,000 pounds)
  • Y - Cubic yards*

*Specific gravity - may be provided in Item 14. Special Handling Instructions and Additional Information to assure accurate conversion of volumetric units into weight. The value of 1.0 will be used for calculations if no other value is provided.

Note: Tons, Metric Tons, Cubic Meters, and Cubic Yards should only be reported in connection with very large bulk shipments, such as rail cars, tank trucks, or barges.

Item 13. Waste Codes - Enter up to six federal and state waste codes to describe each waste stream identified in Item 9b. State waste codes that are not redundant with federal codes must be entered here, in addition to the federal waste codes which are most representative of the properties of the waste. Examples of state waste codes include New York State "B" codes for PCB waste and the New York State handling code, described under "Item 13 - additional state requirement".

ITEM 13 - ADDITIONAL STATE REQUIREMENT

If the receiving TSD facility is not providing a hazardous waste management code in item 19 that reflects the ultimate disposal method for the hazardous waste, the generator must provide a State waste code to designate the ultimate disposal method of the waste using one of following State codes:

  • L = Landfill
  • B = Incineration, heat recovery, burning
  • T = Chemical, physical, or biological treatment
  • R = Material recovery of more than 75 percent of the total material.

If the receiving TSD facility uses hazardous waste report management method code for "storage, bulking, and/or transfer off-site - no treatment/recovery, fuel blending, or disposal at this site" in Item 19 of the manifest form, and the generator has failed to provide the ultimate disposal method in Item 13, the ultimate disposal method is deemed landfill (L).

Item 14. Special Handling Instructions and Additional Information.

1. Generators may enter any special handling or shipment-specific information necessary for the proper management or tracking of the materials under the generator's or other handler's business processes, such as waste profile numbers, container codes, bar codes, or response guide numbers. Generators also may use this space to enter additional descriptive information about their shipped materials, such as chemical names, constituent percentages, physical state, or specific gravity of wastes identified with volume units in Item 12.

2. This space may be used to record limited types of federally required information for which there is no specific space provided on the manifest, including any alternate facility designations; the manifest tracking number of the original manifest for rejected wastes and residues that are re-shipped under a second manifest; and the specification of PCB waste descriptions and PCB out-of-service dates required under 40 CFR 761.207.

Item 15. Generator's/Offeror's Certifications

1. The generator must read, sign, and date the waste minimization certification statement. The date is the date of receipt by transporter. In signing the waste minimization certification statement, those generators who have not been exempted by statute or regulation from the duty to make a waste minimization certification under section 3002(b) of RCRA are also certifying that they have complied with the waste minimization requirements. The Generator's Certification also contains the required attestation that the shipment has been properly prepared and is in proper condition for transportation (the shipper's certification). The content of the shipper's certification statement is as follows: "I hereby declare that the contents of this consignment are fully and accurately described above by proper shipping name, and are classified, packaged, marked, and labeled/placarded, and are in all respects in proper condition for transport by highway according to applicable international and national governmental regulations. If export shipment and I am the Primary Exporter, I certify that the contents of this consignment conform to the terms of the attached EPA Acknowledgment of Consent." When a party other than the generator prepares the shipment for transportation, this party may also sign the shipper's certification statement as the offeror of the shipment.

2. Generator or Offeror personnel may preprint the words "On behalf of" in the signature block or may hand write this statement in the signature block prior to signing the generator/offeror certification, to indicate that the individual signs as the employee or agent of the named principal.

NOTE: All of the above information except the handwritten signature required in Item 15 may be pre-printed.

II. INSTRUCTIONS FOR INTERNATIONAL SHIPMENT BLOCK

Item 16. International Shipments

For export shipments, the primary exporter must check the export box, and enter the point of exit (city and state) from the United States. For import shipments, the importer must check the import box and enter the point of entry (city and state) into the United States. For exports, the transporter must sign and date the manifest to indicate the day the shipment left the United States. Transporters of hazardous waste shipments must deliver a copy of the manifest to the U.S. Customs when exporting the waste across U.S. borders.

III. INSTRUCTIONS FOR TRANSPORTERS

Item 17. Transporter Acknowledgment of Receipt

Enter the name of the person accepting the waste on behalf of the first transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt. Only one signature per transportation company is required. Signatures are not required to track the movement of wastes in and out of transfer facilities, unless there is a change of custody between transporters. If applicable, enter the name of the person accepting the waste on behalf of the second transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt.

NOTE: Transporters carrying imports, who are acting as importers, may have responsibilities to enter information in the International Shipments Block. Transporters carrying exports may also have responsibilities to enter information in the International Shipments Block. See above instructions for Item 16.

IV. INSTRUCTIONS FOR OWNERS AND OPERATORS OF TREATMENT, STORAGE, AND DISPOSAL FACILITIES

Item 18 Discrepancy

Item 18a. Discrepancy Indication Space

1. The authorized representative of the designated (or alternate) facility's owner or operator must note in this space any discrepancies between the waste described on the Manifest and the waste actually received at the facility. Manifest discrepancies are: significant differences (as defined by clauses 373-2.5(b)(1)(i)('e') and 373-3.5(b)(1)(i)('e') of this Title) between the quantity or type of hazardous waste designated on the manifest or shipping paper, and the quantity and type of hazardous waste a facility actually receives; rejected wastes, which may be a full or partial shipment of hazardous waste that the facility cannot accept; or container residues, which are residues that exceed the quantity limits for "empty" containers set forth in paragraph 371.1(h)(2) of this Title.

2. For rejected loads and residues (subparagraph 373-2.5(b)(1)(iv), (v) or (vi), or 373-3.5(b)(1)(iv), (v) or (vi) of this Title), check the appropriate box if the shipment is a rejected load (i.e., rejected by the designated and/or alternate facility and is sent to an alternate facility or returned to the generator) or a regulated residue that cannot be removed from a container. Enter the reason for the rejection or the inability to remove the residue and a description of the waste. Also, reference the manifest tracking number for any additional manifests being used to track the rejected waste or residue shipment on the original manifest. Indicate the original manifest tracking number in Item 14, the Special Handling Block and Additional Information Block of the additional manifests.

3. Owners or operators of facilities located in unauthorized States (i.e., states in which the EPA administers the hazardous waste management program) who cannot resolve significant differences in quantity or type within 15 days of receiving the waste must submit to their Regional Administrator a letter with a copy of the Manifest at issue describing the discrepancy and attempts to reconcile it (40 CFR 264.72(c) and 265.72(c)).

4. Owners or operators of facilities located in authorized States (i.e., those States that have received authorization from the EPA to administer the hazardous waste management program, such as New York State) should contact their State agency for information on where to report discrepancies involving "significant differences" to state officials. For facilities located in New York State, upon discovering a discrepancy, the owner or operator of the facility must attempt to reconcile the discrepancy with the waste generator or transporter (e.g., with telephone conversations). If the discrepancy is not resolved within 15 days after receiving the waste, the owner or operators must immediately submit a letter to the generator state and the disposer state describing the discrepancy and attempts to reconcile it, and a copy of the manifest or shipping paper at issue.

Item 18b. Alternate Facility (or Generator) for Receipt of Full Load Rejections

Enter the name, address, phone number, and EPA Identification Number of the Alternate Facility which the rejecting TSDF has designated, after consulting with the generator, to receive a fully rejected waste shipment. In the event that a fully rejected shipment is being returned to the generator, the rejecting TSDF may enter the generator's site information in this space. This field is not to be used to forward partially rejected loads or residue waste shipments.

Item 18c. Alternate Facility (or Generator) Signature.

The authorized representative of the alternate facility (or the generator in the event of a returned shipment) must sign and date this field of the form to acknowledge receipt of the fully rejected wastes or residues identified by the initial TSDF.

Item 19. Hazardous Waste Report Management Method Codes

Enter the most appropriate Hazardous Waste Report Management Method code for each waste listed in Item 9. The Hazardous Waste Report Management Method code is to be entered by the first treatment, storage, or disposal facility (TSDF) that receives the waste and is the code that best describes the way in which the waste is to be managed when received by the TSDF.

Item 20. Designated Facility Owner or Operator Certification of Receipt (Except as Noted in Item 18a)

Enter the name of the person receiving the waste on behalf of the owner or operator of the facility. That person must acknowledge receipt or rejection of the waste described on the Manifest by signing and entering the date of receipt or rejection where indicated. Since the Facility Certification acknowledges receipt of the waste except as noted in the Discrepancy Space in Item 18a, the certification should be signed for both waste receipt and waste rejection, with the rejection being noted and described in the space provided in Item 18a. Fully rejected wastes may be forwarded or returned using Item 18b after consultation with the generator. Enter the name of the person accepting the waste on behalf of the owner or operator of the alternate facility or the original generator in Item 18b. That person must acknowledge receipt or rejection of the waste described on the Manifest by signing and entering the date they received or rejected the waste in Item 18c. Partially rejected wastes and residues must be re-shipped under a new manifest, to be initiated and signed by the rejecting TSDF as offeror of the shipment.

INSTRUCTIONS-CONTINUATION SHEET, U.S. EPA FORM 8700-22A

Read all instructions before completing this form. This form has been designed for use on a 12-pitch (elite) typewriter; a firm point pen may also be used-press down hard.

This form must be used as a continuation sheet to U.S. EPA Form 8700-22 if:

- More than two transporters are to be used to transport the waste; or

- More space is required for the U.S. DOT descriptions and related information in Item 9 of U.S. EPA Form 8700-22.

State regulations require generators and transporters of hazardous waste and owners or operators of hazardous waste treatment, storage, or disposal facilities to use the uniform hazardous waste manifest (EPA form 8700-22), and, if necessary, the continuation sheet (EPA form 8700-22A) for both interstate and intrastate transportation.

GENERATORS

Item 21. Generator's ID Number - Enter the generator's U.S. EPA twelve digit identification number or, the State generator identification number if the generator site does not have an EPA identification number.

Item 22. Page ___ - Enter the page number of this Continuation Sheet.

Item 23. Manifest Tracking Number - Enter the Manifest Tracking number from Item 4 of the Manifest form to which this continuation sheet is attached

Item 24. Generator's Name - Enter the generator's name as it appears in Item 5 on the first page of the Manifest.

Item 25. Transporter - Company Name - If additional transporters are used to transport the waste described on this Manifest, enter the company name of each additional transporter in the order in which they will transport the waste. Enter after the word "Transporter" the order of the transporter. For example, Transporter 3 Company Name. Also enter the U.S. EPA twelve digit identification number of the transporter described in Item 25.

Item 26. Transporter - Company Name - If additional transporters are used to transport the waste described on this Manifest, enter the company name of each additional transporter in the order in which they will transport the waste. Enter after the word "Transporter" the order of the transporter. For example, Transporter 4 Company Name. Each Continuation Sheet can record the names of two additional transporters. Also enter the U.S. EPA twelve digit identification number of the transporter named in Item 26.

Item 27. U.S. DOT Description Including Proper Shipping Name, Hazardous Class, and ID Number (UN/NA) - For each row enter a sequential number under Item 27b that corresponds to the order of waste codes from one continuation sheet to the next, to reflect the total number of wastes being shipped. Refer to instructions for Item 9 of the manifest for the information to be entered.

Item 28. Containers (No. And Type) - Refer to the instructions for Item 10 of the manifest for information to be entered.

Item 29. Total Quantity - Refer to the instructions for Item 11 of the manifest form

Item 30. Units of Measure (Weight/Volume) - Refer to the instructions for Item 12 of the manifest form.

Item 31. Waste Codes - Refer to the instructions for Item 13 of the manifest form.

Item 32. Special Handling Instructions and Additional Information - Refer to the instructions for Item 14 of the manifest form.

TRANSPORTERS

Item 33. Transporter - Acknowledgment of Receipt of Materials - Enter the same number of the Transporter as identified in Item 25. Enter also the name of the person accepting the waste on behalf of the Transporter (Company Name) identified in Item 25. That person must acknowledge acceptance of the waste described on the Manifest by signing and entering the date of receipt.

Item 34. Transporter - Acknowledgment of Receipt of Materials - Enter the same number of the Transporter as identified in Item 26. Enter also the name of the person accepting the waste on behalf of the Transporter (Company Name) identified in Item 26. That person must acknowledge acceptance of the waste described on the Manifest by signing and entering the date of receipt.

OWNER AND OPERATORS OF TREATMENT, STORAGE, OR DISPOSAL FACILITIES

Item 35. Discrepancy Indication Space - Refer to Item 18. This space may be used to more fully describe information on discrepancies identified in Item 18a of the manifest form.

Item 36. Hazardous Waste Report Management Method Codes - For each field here, enter the sequential number that corresponds to the waste materials described under Item 27, and enter the appropriate process code that describes how the materials will be processed when received. If additional continuation sheets are attached, continue numbering the waste materials and process code fields sequentially, and enter on each sheet the process codes corresponding to the waste materials identified on that sheet.