NR 662.020 HistoryHistory: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction in (1) (b) made under s. 35.17, Stats., Register August 2020 No. 776; correction in (1) (b) made under ss. 13.92 (4) (b) 7. and 35.17, Stats., Register April 2021 No. 784. NR 662.021NR 662.021 Manifest tracking numbers, manifest printing, and obtaining manifests. NR 662.021(1)(a)(a) A registrant may not print, or have printed, the manifest for use or distribution unless it has received approval from the EPA Director of the Office of Resource Conservation and Recovery to do so under subs. (3) and (5). NR 662.021 NoteNote: This section is based on 40 CFR 262.21 and is administered and enforced by EPA. Wisconsin has adopted these requirements into its rules for the convenience of the regulated community. NR 662.021(1)(b)(b) The approved registrant is responsible for ensuring that the organizations identified in its application are in compliance with the procedures of its approved application and the requirements of this section. The registrant is responsible for assigning manifest tracking numbers to its manifests. NR 662.021(2)(2) A registrant shall submit an initial application to the EPA Director of the Office of Resource Conservation and Recovery that contains all of the following information: NR 662.021(2)(c)(c) Brief description of registrant’s government or business activity. NR 662.021(2)(e)(e) Description of the scope of the operations that the registrant plans to undertake in printing, distributing, and using its manifests, including all of the following: NR 662.021(2)(e)1.1. A description of the printing operation. The description should include an explanation of whether the registrant intends to print its manifests in-house or through a separate and unaffiliated printing company. If the registrant intends to use a separate printing company to print the manifest on its behalf, the application shall identify this printing company and discuss how the registrant will oversee the company. If this includes the use of intermediaries, such as prime and subcontractor relationships, the role of each must be discussed. The application shall provide the name and mailing address of each company. It also shall provide the name and telephone number of the contact person at each company. NR 662.021(2)(e)2.2. A description of how the registrant will ensure that its organization and unaffiliated companies, if any, comply with the requirements of this section. The application shall discuss how the registrant will ensure that a unique manifest tracking number will be pre-printed on each manifest. The application shall describe the internal control procedures to be followed by the registrant and unaffiliated companies to ensure that numbers are tightly controlled and remain unique. In particular, the application shall describe how the registrant will assign manifest tracking numbers to its manifests. If computer systems or other infrastructure will be used to maintain, track, or assign numbers, these should be indicated. The application shall also indicate how the printer will pre-print a unique number on each form, such as crash or press numbering. The application also shall explain the other quality procedures to be followed by each establishment and printing company to ensure that all required print specifications are consistently achieved and that printing violations are identified and corrected at the earliest practicable time. NR 662.021(2)(e)3.3. An indication of whether the registrant intends to use the manifests for its own business operations or to distribute the manifests to a separate company or to the general public for purchase. NR 662.021(2)(f)(f) A brief description of the qualifications of the company that will print the manifest. The registrant may use readily available information to do so, such as corporate brochures, product samples, customer references, or documentation of ISO certification, so long as such information pertains to the establishments or company being proposed to print the manifest. NR 662.021(2)(g)(g) Proposed unique three-letter manifest tracking number suffix. If the registrant is approved to print the manifest, the registrant shall use this suffix to pre-print a unique manifest tracking number on each manifest. NR 662.021(2)(h)(h) A signed certification by a duly authorized employee of the registrant that the organizations and companies in its application will comply with the procedures of its approved application and the requirements of this section and that it will notify the EPA Director of the Office of Resource Conservation and Recovery of any duplicated manifest tracking numbers on manifests that have been used or distributed to other parties as soon as this becomes known. NR 662.021(3)(3) EPA will review the application submitted under sub. (2) and either approve it or request additional information or modification before approving it. NR 662.021(4)(a)(a) Upon EPA approval of the application under sub. (3), EPA will provide the registrant an electronic file of the manifest, continuation sheet, and manifest instructions and ask the registrant to submit 3 fully assembled manifests and continuation sheet samples, except as noted in par. (c). The registrant’s samples shall meet all of the specifications in sub. (6) and be printed by the company that will print the manifest as identified in the application approved under sub. (3). NR 662.021(4)(b)(b) The registrant shall submit a description of the manifest samples as follows: NR 662.021(4)(b)1.1. Paper type including the manufacturer and grade of the manifest paper. NR 662.021(4)(b)3.3. Ink color of the manifest’s instructions. If screening of the ink was used, the registrant shall indicate the extent of the screening. NR 662.021(4)(c)(c) The registrant need not submit samples of the continuation sheet if it will print its continuation sheet using the same paper type, paper weight of each copy, ink color of the instructions, and binding method as its manifest form samples. NR 662.021(5)(5) EPA will evaluate the forms and either approve the registrant to print them as proposed or request additional information or modification to them before approval. EPA will notify the registrant of its decision by mail. The registrant cannot use or distribute its forms until EPA approves them. An approved registrant shall print the manifest and continuation sheet according to its application approved under sub. (3) and the manifest specifications in sub. (6). It also shall print the forms according to the paper type, paper weight, ink color of the manifest instructions and binding method of its approved forms. NR 662.021(6)(6) Paper manifests and continuation sheets shall be printed according to the following specifications: NR 662.021(6)(a)(a) The manifest and continuation sheet shall be printed with the exact format and appearance as EPA Forms 8700-22 and 8700-22A, respectively. However, information required to complete the manifest may be pre-printed on the manifest form. NR 662.021(6)(b)(b) A unique manifest tracking number assigned in accordance with a numbering system approved by EPA shall be pre-printed in item 4 of the manifest. The tracking number shall consist of a unique three-letter suffix following 9 digits. NR 662.021(6)(c)(c) The manifest and continuation sheet shall be printed on 8 1⁄2 x 11-inch white paper, excluding common stubs, such as top- or side-bound stubs. The paper shall be durable enough to withstand normal use. NR 662.021(6)(d)(d) The manifest and continuation sheet shall be printed in black ink that can be legibly photocopied, scanned, or faxed, except that the marginal words indicating copy distribution shall be printed with a distinct ink color or with another method, such as white text against black background in text box, or, black text against grey background in text box, that clearly distinguishes the copy distribution notations from the other text and data entries on the form. NR 662.021(7)(a)(a) A generator may use manifests printed by any source so long as the source of the printed form has received approval from EPA to print the manifest under subs. (3) and (5). A registered source may be any of the following: NR 662.021(7)(a)3.3. Hazardous waste generator, transporter or a treatment, storage, or disposal facility. NR 662.021(7)(a)4.4. Hazardous waste broker or other preparer who prepares or arranges shipments of hazardous waste for transportation. NR 662.021(7)(b)(b) A generator shall determine whether the generator state or the consignment state for a shipment regulates any additional wastes, beyond those regulated federally, as hazardous wastes under these states’ authorized programs. Generators also shall determine whether the consignment state or generator state requires the generator to submit any copies of the manifest to these states. In cases where the generator must supply copies to either the generator’s state or the consignment state, the generator is responsible for supplying legible photocopies of the manifest to these states. NR 662.021(8)(a)(a) If an approved registrant would like to update any of the information provided in its application approved under sub. (3), such as to update a company phone number or name of contact person, the registrant shall revise the application and submit it to the EPA Director of the Office of Resource Conservation and Recovery, along with an indication or explanation of the update, as soon as practicable after the change occurs. EPA either will approve or deny the revision. If EPA denies the revision, it will explain the reasons for the denial, and it will contact the registrant and request further modification before approval. NR 662.021(8)(b)(b) If the registrant would like a new tracking number suffix, the registrant shall submit a proposed suffix to the EPA Director of the Office of Resource Conservation and Recovery, along with the reason for requesting it. EPA will either approve the suffix or deny the suffix and provide an explanation why it is not acceptable. NR 662.021(8)(c)(c) If a registrant would like to change the paper type, paper weight, ink color of the manifest instructions, or binding method of its manifest or continuation sheet subsequent to approval under sub. (5), then the registrant shall submit 3 samples of the revised form for EPA review and approval. If the approved registrant would like to use a new printer, the registrant shall submit 3 manifest samples printed by the new printer, along with a brief description of the printer’s qualifications to print the manifest. EPA will evaluate the manifests and either approve the registrant to print the forms as proposed or request additional information or modification to them before approval. EPA will notify the registrant of its decision by mail. The registrant cannot use or distribute its revised forms until EPA approves them. NR 662.021(9)(9) If, subsequent to its approval under sub. (5), a registrant typesets its manifest or continuation sheet instead of using the electronic file of the forms provided by EPA, it shall submit 3 samples of the manifest or continuation sheet to the registry for approval. EPA will evaluate the manifests or continuation sheets and either approve the registrant to print them as proposed or request additional information or modification to them before approval. EPA will notify the registrant of its decision by mail. The registrant cannot use or distribute its typeset forms until EPA approves them. NR 662.021(10)(10) EPA may exempt a registrant from the requirement to submit form samples under sub. (4) or (8) (c) if EPA is persuaded that a separate review of the registrant’s forms would serve little purpose in informing an approval decision, such as a registrant certifies that it will print the manifest using the same paper type, paper weight, ink color of the instructions and binding method of the form samples approved for some other registrant. A registrant may request an exemption from EPA by indicating why an exemption is warranted. NR 662.021(11)(11) An approved registrant shall notify EPA by phone or email as soon as it becomes aware that it has duplicated tracking numbers on any manifests that have been used or distributed to other parties. NR 662.021(12)(12) If, subsequent to approval of a registrant under sub. (5), EPA becomes aware that the approved paper type, paper weight, ink color of the instructions, or binding method of the registrant’s form is unsatisfactory, EPA will contact the registrant and require modifications to the form. NR 662.021(13)(a)(a) EPA may suspend and, if necessary, revoke printing privileges if EPA finds that the registrant: NR 662.021(13)(a)1.1. Has used or distributed forms that deviate from its approved form samples in regard to paper weight, paper type, ink color of the instructions, or binding method. NR 662.021(13)(a)2.2. Exhibits a continuing pattern of behavior in using or distributing manifests that contain duplicate manifest tracking numbers. NR 662.021(13)(b)(b) EPA will send a warning letter to the registrant that specifies the date by which it must come into compliance with the requirements. If the registrant does not come in compliance by the specified date, EPA will send a second letter notifying the registrant that EPA has suspended or revoked its printing privileges. An approved registrant shall provide information on its printing activities to EPA if requested. NR 662.021 HistoryHistory: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction in (1) (a), (4) (a), (10) made under s. 35.17, Stats., Register August 2020 No. 776. NR 662.022NR 662.022 Number of copies. The manifest consists of at least the number of copies that will provide the generator, each transporter, and the owner or operator of the designated facility with one copy each for their records and another copy to be returned to the generator. NR 662.022 HistoryHistory: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20. NR 662.023(1)(b)(b) Obtain the handwritten signature of the initial transporter and date of acceptance on the manifest. NR 662.023(2)(2) The generator shall give the transporter the remaining copies of the manifest. NR 662.023(3)(3) For shipments of hazardous waste within the United States solely by water, bulk shipments only, the generator shall send 3 copies of the manifest dated and signed in accordance with this section to the owner or operator of 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. NR 662.023(4)(4) For rail shipments of hazardous waste within the United States which originate at the site of generation, the generator shall send at least 3 copies of the manifest dated and signed in accordance with this section to any of the following: NR 662.023(4)(c)(c) The last rail transporter to handle the waste in the United States if exported by rail. NR 662.023(5)(5) For shipments of hazardous waste to a designated facility in an authorized State that has not yet obtained authorization to regulate that particular waste as hazardous, the generator shall 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. NR 662.023 NoteNote: See s. NR 663.20 (5) and (6) for special provisions for bulk shipment by rail or water. NR 662.023(6)(6) For rejected shipments of hazardous waste or container residues contained in non-empty containers that are returned to the generator by the designated facility, following the procedures under s. NR 664.0072 (6) or 665.0072 (6), the generator shall do all of the following: NR 662.023(6)(a)1.1. Item 20 of the new manifest if a new manifest is used for the returned shipment. NR 662.023(6)(a)2.2. Item 18c of the original manifest if the original manifest is used for the returned shipment. NR 662.023(6)(c)(c) Within 30 days of delivery of the rejected shipment or container residues contained in non-empty containers, send a copy of the manifest to the designated facility that returned the shipment to the generator. NR 662.023(6)(d)(d) Retain at the generator’s site a copy of each manifest for at least 3 years from the date of delivery. NR 662.023 HistoryHistory: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20. NR 662.024NR 662.024 Use of the electronic manifest. NR 662.024(1)(1) Legal equivalence to paper manifests. Electronic manifests that are obtained, completed, and transmitted in accordance with s. NR 662.020 (1) (c), and used in accordance with this section in lieu of EPA Forms 8700-22 and 8700-22A are the legal equivalent of paper manifest forms bearing handwritten signatures, and satisfy for all purposes any requirement in these regulations to obtain, complete, sign, provide, use, or retain a manifest. NR 662.024(1)(a)(a) Any requirement in these regulations to sign a manifest or manifest certification by hand, or to obtain a handwritten signature, is satisfied by signing with or obtaining a valid and enforceable electronic signature within the meaning specified in 40 CFR 262.25 and s. NR 662.025. NR 662.024(1)(b)(b) Any requirement in these regulations to give, provide, send, forward, or return to another person a copy of the manifest is satisfied when an electronic manifest is transmitted to the other person by submission to the system. NR 662.024(1)(c)(c) Any requirement in these regulations for a generator to keep or retain a copy of each manifest is satisfied by retention of a signed electronic manifest in the generator’s account on the national e-manifest system, provided that the copies are readily available for viewing and production if requested by the department. NR 662.024(1)(d)(d) A generator is not in violation of s. NR 662.040 (1) for the inability to produce an electronic manifest for inspection under this section if the generator can demonstrate that the inability to produce the electronic manifest is due exclusively to a technical difficulty with the electronic manifest system for which the generator bears no responsibility. NR 662.024(2)(2) Participation in the electronic manifest system. A generator may participate in the electronic manifest system either by accessing the electronic manifest system from its own electronic equipment, or by accessing the electronic manifest system from portable equipment brought to the generator’s site by the transporter who accepts the hazardous waste shipment from the generator for off-site transportation. NR 662.024(3)(3) Restriction on use of electronic manifests. A generator may use an electronic manifest for the tracking of waste shipments involving any RCRA hazardous waste only if it is known at the time the manifest is originated that all waste handlers named on the manifest participate in the use of the electronic manifest, except that: NR 662.024(3)(a)(a) A generator may sign by hand and retain a paper copy of the manifest signed by hand by the initial transporter, in lieu of executing the generator copy electronically, thereby enabling the transporter and subsequent waste handlers to execute the remainder of the manifest copies electronically. NR 662.024(4)(4) Requirement for one printed copy. To the extent the hazardous materials regulation on shipping papers for carriage by public highway requires shippers of hazardous materials to supply a paper document for compliance with 49 CFR 177.817, a generator originating an electronic manifest shall also provide the initial transporter with one printed copy of the electronic manifest. NR 662.024(5)(5) Special procedures when electronic manifest is unavailable. If a generator has prepared an electronic manifest for a hazardous waste shipment, but the electronic manifest system becomes unavailable for any reason prior to the time that the initial transporter has signed electronically to acknowledge the receipt of the hazardous waste from the generator, then the generator must obtain and complete a paper manifest and if necessary, a continuation sheet, EPA Forms 8700-22 and 8700-22A, in accordance with the manifest instructions, and use these paper forms from this point forward in accordance with the requirements specified in s. NR 662.023. NR 662.024(6)(6) Special procedures for electronic signature methods undergoing tests. If a generator has prepared an electronic manifest for a hazardous waste shipment, and signs this manifest electronically using an electronic signature method that is undergoing pilot or demonstration tests aimed at demonstrating the practicality or legal dependability of the signature method, then the generator shall also sign with an ink signature the generator/offeror certification on the printed copy of the manifest provided under sub. (4).
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