0795.16_ss_Attachment 2

ATTACHMENT 2
Chemical Imports and Exports
40 CFR 707, Subpart D

-1-

Code of Federal Regulations - 40 CFR part 707 (As of July 1, 2000)
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 707 - CHEMICAL IMPORTS AND EXPORTS
§ 707.20 Chemical substances import policy.
(a) Scope. (1) This statement addresses the policy of the Environmental Protection Agency
(EPA) on importation of chemical substances, mixtures, and articles under section 13 of the
Toxic Substances Control Act (TSCA; 15 U.S.C. 2601 et seq.). In particular, it addresses aspects
of the regulation promulgated by the United States Customs Service (Customs), Department of
the Treasury (19 CFR 12.118 through 12.127, and 127.28 [amended]) to implement section 13 of
TSCA, 15 U.S.C. 2612. Section 13 requires the Secretary of the Treasury to refuse entry into the
Customs territory of the United States of a chemical substance, mixture, or article if it does not
comply with rules in effect under TSCA, or if it is offered for entry in violation of TSCA or rules
or orders under TSCA.
(2) In addition to this statement of policy, EPA will continue, as necessary, to address problems
associated with imports in rulemaking and other actions under individual sections of TSCA, i.e.,
sections 4, 5, 6, 7, 8, and 12. Sections 5, 6, and 7 apply directly to imports subject to the section
13 requirements. Section 12 may apply to export of a shipment that is refused entry under section
13. Importers may have obligations under sections 4 and 8; section 4 and 8 requirements for
importers would not apply to individual chemical shipments and thus are not included under
section 13 requirements. Interested persons should refer to the records of these individual
rulemaking actions for specific information and guidance.
(b) Objectives. (1) TSCA is intended to be comprehensive, and assure protection of health and
the
environment from unreasonable risks associated with chemicals whether the chemicals are
imported or produced domestically. This intent is manifested by the inclusion of importation in
the Act's definition of the term "manufacture": "[M]anufacture means to import * * *,
produce, or manufacture" (15 U.S.C. 2602(7)). Thus, importers are responsible for insuring that
chemical importation complies with TSCA just as domestic manufacturers are responsible for
insuring that chemical manufacture complies with TSCA.
(2)(i) The section 13 rule requires importers to sign the following statement for each import of
chemical substances subject to TSCA: "I certify that all chemical substances in this shipment
comply with all applicable rules or orders under TSCA and that I am not offering a chemical
substance for entry in violation of TSCA or any applicable rule or order under TSCA." The
certification will document that, in accordance with TSCA, the importer has taken the necessary
steps to insure compliance.
-2-

(ii) The section 13 rule requires importers of chemicals not subject to TSCA (e.g., pesticides) to
certify that compliance with TSCA is not required. Importers must certify this by signing the
statement: "I certify that all chemicals in this shipment are not subject to TSCA." This is
appropriate when a chemical import is not clearly identified as a pesticide or other chemical not
subject to TSCA.
(3) The United States is involved in a major effort toward international harmonization in the
control of chemicals. At such time as international agreement is reached on this issue, EPA
would be prepared to modify its policy if necessary. EPA believes that its international
harmonization efforts in the control of chemicals will protect health and the environment while
fulfilling its obligations under the Trade Agreements Act of 1979.
(c) The section 13 rule -- (1) General certification. (i) The rule promulgated under section 13 of
TSCA by Customs, in consultation with EPA, implements the requirement of section 13 that
chemical substances, mixtures, or articles not in compliance with TSCA, or whose importation is
not in compliance with TSCA, shall be denied entry into the customs territory of the United
States. The rule requires that importers certify by a statement, on the entry document or invoice,
that any shipment of a chemical substance subject to TSCA, imported in bulk or as part of a
mixture, complies with TSCA, and that it is not offered for entry in violation of TSCA or any
rule or order under TSCA, or that the chemicals imported are not subject to TSCA.
(ii) The certification applies to TSCA sections 5, 6, and 7.
(iii) EPA expects that this certification will be based upon actual knowledge of the importer in
most cases. However, EPA realizes that sometimes importers may not have actual knowledge of
the chemical composition of imported mixtures. In these cases, the importer should attempt to
discover the chemical constituents of the shipment by contacting another party to the transaction
(e.g., his principal or the foreign manufacturer). This person may be able to identify the
components of the mixture, or at least state that the substances comply with TSCA. The greater
the effort an importer makes to learn the identities of the imported substances and their
compliance with TSCA, the smaller his chance of committing a violation by importing a
noncomplying shipment. If a shipment is ultimately determined to have violated TSCA, the good
faith efforts of the importer to verify compliance, as evidenced by documents contained in his
files, may obviate or mitigate the assessment of a civil penalty under section 16 of TSCA.
(2) EPA enforcement. (i) EPA and Customs will monitor chemical imports to determine if
shipments and their import comply with the certification requirements and the substantive
mandates of TSCA. Customs will refuse entry to any shipment until such time as the certification
is properly submitted. Customs will also detain a shipment if there are reasonable grounds to
believe that such shipment or its import violates TSCA or regulations or orders thereunder. A
violative shipment must either be brought into compliance, exported, destroyed, or voluntarily
abandoned within the time periods prescribed in 19 CFR 12.124 of the section 13 rule.
(ii) When EPA determines that a shipment should be detained, EPA will identify the reasons for
the detention and the necessary actions for an importer to bring the shipment into compliance
with TSCA. If EPA has given this information to Customs before the district director issues the
-3-

detention notice, the information will become part of the detention notice. The importer should
contact one of the following EPA regional offices for guidance as to the proper procedures to
correct any deficiencies in the shipment.
Region I - John F. Kennedy Federal Building, Boston, MA 02203 (617-223-0586)
Region II - 26 Federal Plaza, New York, NY 10278 (201-321-6669)
Region III - Curtis Building, 6th and Walnut Streets, Philadelphia, PA 19106 (215-597-7668)
Region IV - 345 Courtland Street, NE., Atlanta, GA 30365 (404-881-3864)
Region V - 77 West Jackson Boulevard, Chicago, IL 60604 (312-353-2291)
Region VI - 1201 Elm Street, Dallas, TX 75270 (214-767-2734)
Region VII - 324 East 11th Street, Kansas City, MO 64106 (816-374-3036)
Region VIII - 1860 Lincoln Street, Denver, CO 80295 (303-837-3926)
Region IX - 215 Fremont Street, San Francisco, CA 94105 (415-974-8119)
Region X - 1200 Sixth Avenue, Seattle, WA 98101 (206-442-2871)
(iii) If Customs detains or refuses entry of a shipment (other than for failure to make the general
certification) and the importer takes measures necessary to bring the shipment into conformity
with the requirements of TSCA, EPA officials will reassess the shipment to determine its current
compliance status. When a shipment is no longer in violation, EPA will notify the district
director and the importer. The district director will then release the shipment. This notice will
also serve as a determination to permit entry under 19 CFR 12.123(c) if a shipment is brought
into compliance before the 19 CFR 12.123(c) decision-making process has been completed. If
compliance is achieved after a 19 CFR 12.123(c) determination (adverse to the importer) has
been made, the EPA notice to the district director will serve as a reversal of the decision to refuse
entry.
(3) EPA assistance. Assistance in determining whether a chemical shipment is in compliance
with TSCA can be obtained from the Director, Environmental Assistance Division (7408), Office
of Pollution Prevention and Toxics, U.S. Environmental Protection Agency, Room E-543B, 1200
Pennsylvania Ave., NW., Washington, DC 20460, Telephone: (202) 554-1404, TDD: (202) 5440551.
[48 FR 55464, Dec. 13, 1983, as amended at 60 FR 34463, July 3, 1995; 62 FR 1834, Jan. 14,
1997]
§ 707.60 Applicability and compliance.
-4-

(a) Section 12(b) of the Toxic Substances Control Act requires any person who exports or
intends to export a chemical substance or mixture to notify the Environmental Protection Agency
of such exportation to a particular country if any of the following actions have been taken under
the Act with respect to that chemical substance or mixture:
(1) Data are required under section 4 or 5(b),
(2) An order has been issued under section 5,
(3) A rule has been proposed or promulgated under section 5 or 6, or
(4) An action is pending, or relief has been granted under section 5 or 7.
(b) No notice of export will be required for articles, except PCB articles, unless the Agency so
requires in the context of individual section 5, 6, or 7 actions.
(c) Any person who exports or intends to export polychlorinated biphenyls (PCBs) or PCB
articles, for any purpose other than disposal, shall notify EPA of such intent or exportation under
section 12(b). PCBs and PCB articles have the definitions published in § 761.3 of this title
respectively.
(d) Any person who would be prohibited by a section 5 or 6 regulation from exporting a
chemical substance or mixture, but who is granted an exemption by EPA to export that chemical
substance or mixture, shall notify EPA under section 12(b) of such intent to export or
exportation.
(e) Failure to comply with section 12(b) as set forth in these rules will be considered a violation
of section 15(3) of the Toxic Substances Control Act, and will subject the exporter to the penalty,
enforcement, and seizure provisions of sections 16 and 17 of the Toxic Substances Control Act.
§ 707.63 Definitions.
The definitions set forth in the Toxic Substances Control Act, section 3, apply for this part. In
addition, the following abbreviations and definitions are provided for purposes of this rule:
(a) EPA means the Environmental Protection Agency.
(b) Exporter means the person who, as the principal party in interest in the export transaction, has
the power and responsibility for determining and controlling the sending of the chemical
substance or mixture to a destination out of the customs territory of the United States.
(c) Regulated chemical means any chemical substance or mixture for which export notice is
required under § 707.60.
(d) TSCA means the Toxic Substances Control Act.
§ 707.65 Submission to agency.
-5-

(a) Exporters must notify EPA of their export or intended export of each regulated chemical in
accordance with the following:
(1) The notice must be in writing;
(2)(i) The notice must be for the first export or intended export to a particular country in a
calendar year when data are required under section 5(b), an order has been issued under section
5, a rule has been proposed or promulgated under section 5 or 6, or an action is pending or relief
has been granted under section 5 or 7.
(ii) The notice must be for the first export or intended export to a particular country when data
are required under section 4.
(3) The notice must be postmarked within seven days of forming the intent to export or on the
date of export, whichever is earlier. A notice of intent to export must be based on a definite
contractual obligation, or an equivalent intra-company agreement, to export the regulated
chemical.
(b) If the EPA action that prompts the notice is a proposed rule, the requirement to submit export
notices to EPA shall begin thirty days after publication of the action in the Federal Register.
(c) Notices shall be marked "Section 12(b) Notice" and sent to the Document Control Office
(7407), Office of Pollution Prevention and Toxics, U.S. Environmental Protection Agency,
Room G-099, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
[45 FR 82850, Dec. 16, 1980, as amended at 53 FR 12522, Apr. 15, 1988; 58 FR 40242, July 27,
1993; 60 FR 34463, July 3, 1995]
§ 707.67 Contents of notice.
The notice to EPA shall include:
(a) The name of the regulated chemical as it appears in the section 4, 5, 6, or 7 action. If a
category is regulated, the name of the individual regulated chemical within that category, as well
as the category, must be given. The name shall be that which appears in Volume I of the EPA
Chemical Substance Inventory, or its supplements, if the chemical appears there.
(b) The name and address of the exporter.
(c) The country (countries) of import.
(d) The date(s) of export or intended export.
(e) The section (4, 5, 6, or 7) of TSCA under which EPA has taken action.
§ 707.70 EPA notice to foreign governments.
-6-

(a)(1) Notice by EPA to the importing country shall be sent no later than 5 working days after
receipt by the TSCA Document Processing Center of the first annual notification for each
regulated chemical when data are required under section 5(b), an order has been issued under
section 5, a rule has been proposed or promulgated under section 5 or 6, or an action is pending
or relief has been granted under section 5 or 7.
(2) Notice by EPA to the importing country shall be sent no later than 5 working days after
receipt by the TSCA Document Processing Center of the first notification for each regulated
chemical when data are required under section 4.
(b) Notices shall:
(1) Identify the regulated chemical.
(2) Summarize the regulatory action taken, or indicate the availability of data under section 4 or
5(b) of TSCA.
(3) Identify an EPA official to contact for further information.
(4) Include a copy of the pertinent Federal Register notice.
(c) Notices shall be sent to the country's ambassador in Washington, DC, or other official
designated by the foreign government, and to the United States Department of State.
[45 FR 82850, Dec. 16, 1980, as amended at 58 FR 40242, July 27, 1993]
§ 707.72 Termination of reporting requirements.
(a) The reporting requirements of subpart D of this part are terminated for certain specific
chemical substances and mixtures as set forth in this paragraph.
(1) When data required under part 766 of this chapter have been submitted to EPA for a specific
chemical substance produced by a specific process, and the data show no positive test result as
defined in § 766.3 of this chapter, reporting is no longer required by persons who export or
intend to export that substance produced by that process.
(2) [Reserved]
(b) [Reserved]
[52 FR 21437, June 5, 1987]
§ 707.75 Confidentiality.
(a) A person may assert a claim of confidentiality for any information which is submitted to EPA
in a notice.
-7-

(b) Any claim of confidentiality must accompany the information at the time it is submitted to
EPA. In the notice, the submitter must clearly identify the information that is claimed
confidential by marking the specific information on each page with a label such as "confidential
business information", "proprietary", or "trade secret".
(c) Notwithstanding any claim of confidentiality, information outlined in § 707.70 will be
included in the EPA notice to the foreign government. With this exception, EPA will disclose
information that is covered by a claim of confidentiality asserted in accordance with this section
only to the extent permitted by, and in accordance with, the procedures set forth in TSCA and
part 2 of this chapter.
(d) If a person does not assert a claim of confidentiality for information at the time a notice is
submitted to EPA, the Agency may make the information public, including placement in a public
file, without further notice to the person.

-8-