Chapter NR 661

NR 661.0039(1)(e)1.h. h. The name of any transit country through which the CRTs will be sent and a description of the approximate length of time the CRTs will remain in each country and the nature of their handling while there.

NR 661.0039(1)(e)2. 2. Notifications shall be submitted electronically using EPA’s waste import export tracking system, or its successor system.

NR 661.0039(1)(e)3. 3. Upon request by EPA, the exporter shall furnish to EPA any additional information a receiving country requests in order to respond to a notification.

NR 661.0039(1)(e)4. 4. EPA will provide a complete notification to the receiving country and any transit countries. A notification is complete when EPA receives a notification that EPA determines satisfies the requirements specified in subd. 1.

NR 661.0039(1)(e)5. 5. The export of CRTs is prohibited unless all of the following occur:

NR 661.0039(1)(e)5.a. a. The receiving country consents to the intended export. When the receiving country consents in writing to the receipt of the CRTs, EPA will forward an acknowledgment of consent to export CRTs to the exporter. When the receiving country objects to receipt of the CRTs or withdraws a prior consent, EPA will notify the exporter in writing. EPA will also notify the exporter of any responses from transit countries.

NR 661.0039(1)(e)5.b. b. On or after the automated export system, or AES, filing compliance date of December 31, 2017, the exporter or a U.S. authorized agent shall do all of the following:

1) Submit electronic export information, or EEI, for each shipment to the AES or its successor system, under the international trade data system, or ITDS, platform, in accordance with 15 CFR 30.4 (b).

2) Include all of the following items in the EEI, along with all of the other information required under 15 CFR 30.6:

a) EPA license code.

b) Commodity classification code per 15 CFR 30.6 (a) (12).

c) EPA consent number.

d) Country of ultimate destination per 15 CFR 30.6 (a) (5).

e) Date of export per 15 CFR 30.6 (a) (2).

f) Quantity of waste in shipment and units for reported quantity, if required reporting units established by value for the reported commodity classification number are in units of weight or volume, per 15 CFR 30.6 (a) (15); or EPA net quantity reported in units of kilograms, if required reporting units established by value for the reported commodity classification number are not in units of weight or volume.

NR 661.0039(1)(e)6. 6. When the conditions specified on the original notification change, the exporter shall provide EPA with a written renotification of the change using the allowable methods listed in subd. 2., except for changes to the telephone number specified in subd. 1. a. and decreases in the quantity indicated pursuant to subd. 1. c. The shipment cannot take place until consent of the receiving country to the changes has been obtained, except for changes to information about points of entry and departure and transit countries pursuant to subd. 1. d. to h., and the exporter of CRTs receives from EPA a copy of the acknowledgment of consent to export CRTs reflecting the receiving country’s consent to the changes.

NR 661.0039(1)(e)7. 7. A copy of the acknowledgment of consent to export CRTs shall accompany the shipment of CRTs. The shipment shall conform to the terms of the acknowledgment of consent.

NR 661.0039(1)(e)8. 8. If a shipment of CRTs cannot be delivered for any reason to the recycler or the alternate recycler, the exporter of CRTs shall renotify EPA of a change in the conditions of the original notification to allow shipment to a new recycler in accordance with subd. 6. and obtain another acknowledgment of consent to export CRTs.

NR 661.0039(1)(e)9. 9. An exporter shall keep copies of notifications and acknowledgments of consent to export CRTs for a period of 3 years following receipt of the acknowledgments of consent. An exporter may satisfy this recordkeeping requirement by retaining electronically submitted notifications or electronically generated acknowledgements in the CRT exporter’s account on EPA’s waste import export tracking system, or its successor system, provided that the copies are readily available for viewing and production if requested by any EPA or an authorized state inspector. No CRT exporter may be held liable for the inability to produce a notification or acknowledgments of consent for inspection under this section if the CRT exporter can demonstrate that the inability to produce such copies are due exclusively to technical difficulty with EPA’s waste import export tracking system, or its successor system, for which the CRT exporter bears no responsibility.

NR 661.0039(1)(e)10. 10. A CRT exporter shall file with EPA no later than March 1 of each year, an annual report summarizing the quantities, in kilograms, frequency of shipment, and ultimate destination of where the recycling occurs of all used CRTs exported during the previous calendar year. The annual report shall also include all of the following:

NR 661.0039(1)(e)10.a. a. The name, EPA identification number, if applicable, and mailing and site address of the exporter.

NR 661.0039(1)(e)10.b. b. The calendar year covered by the report.

NR 661.0039(1)(e)10.c. c. A certification signed by the CRT exporter that 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 this 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.”

NR 661.0039(1)(e)11. 11. Prior to December 31, 2018, one year after the AES filing compliance date, annual reports shall be sent to the following mailing address: Office of Land and Emergency Management, Office of Resource Conservation and Recovery, Materials Recovery and Waste Management Division, International Branch (Mail Code 2255A) Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460. Hand-delivered annual reports on used CRTs exported during 2016 shall be sent to: Office of Land and Emergency Management, Office of Resource Conservation and Recovery, Materials Recovery and Waste Management Division, International Branch (Mail Code 2255A), Environmental Protection Agency, William Jefferson Clinton South Building, Room 6144, 1200 Pennsylvania Ave. NW, Washington, DC 20004. Subsequently, annual reports shall be submitted to the office listed using the allowable methods specified in subd. 2. An exporter shall keep copies of each annual report for a period of at least 3 years from the due date of the report. An exporter may satisfy this recordkeeping requirement by retaining electronically submitted annual reports in the CRT exporter’s account on EPA’s waste import export tracking system, or its successor system, provided that a copy is readily available for viewing and production if requested by any EPA or authorized state inspector. No CRT exporter may be held liable for the inability to produce an annual report for inspection under this section if the CRT exporter can demonstrate that the inability to produce the annual report is due exclusively to technical difficulty with EPA’s waste import export tracking system, or its successor system, for which the CRT exporter bears no responsibility.

NR 661.0039 Note Note: The requirements of par. (e) are based on 40 CFR 261.39 (a) (5) (v) and are administered by EPA and not the department because the exercise of foreign relations and international commerce powers is reserved to the federal government under the U.S. Constitution. Wisconsin has adopted these requirements into its rules for the convenience of the regulated community and for completeness. The enforcement of the 40 CFR 261.39 (a) (5) (v) requirements remains EPA’s responsibility even though Wisconsin has adopted these requirements into its rules. Wisconsin provides EPA with information on whether Wisconsin facilities designated to receive hazardous waste imports are authorized to manage specific wastes and in ensuring facility compliance with all applicable environmental laws and rules.

NR 661.0039(2) (2) Requirements for used CRT processing. Used, broken CRTs undergoing CRT processing as defined in s. NR 660.10 are not solid wastes if they meet all of the following requirements:

NR 661.0039(2)(a) (a) Storage. Used, broken CRTs undergoing processing are subject to the requirement of sub. (1) (d).

NR 661.0039(2)(b) (b) Processing.

NR 661.0039(2)(b)1. 1. All activities specified in the definition of CRT processing in s. NR 660.10 (19j) (b) and (c) shall be performed within a building with a roof, floor, and walls.

NR 661.0039(2)(b)2. 2. No activities may be performed that use temperatures high enough to volatilize lead from CRTs.

NR 661.0039(3) (3) Processed crt glass sent to crt glass making or lead smelting. Glass from used CRTs that is destined for recycling at a CRT glass manufacturer or a lead smelter after processing is not a solid waste unless it is speculatively accumulated as defined in s. NR 661.0001 (3) (h).

NR 661.0039(4) (4) Use constituting disposal. Glass from used CRTs that is used in a manner constituting disposal shall comply with the requirements under subch. C of ch. NR 666, instead of the requirements of this section.

NR 661.0039 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction in (2) (a), (b) 1. made under s. 35.17, Stats., Register August 2020 No. 776.

NR 661.0040 NR 661.0040 Conditional exclusion for used, intact cathode ray tubes exported for recycling. Used, intact CRTs exported for recycling are not solid wastes if they meet the notice and consent conditions specified in s. NR 661.0039 (1) (e), and if they are not speculatively accumulated as defined in s. NR 661.0001 (3) (h).

NR 661.0040 Note Note: The requirements under s. NR 661.0040 are based on 40 CFR 261.40 and are administered by EPA and not the department because the exercise of foreign relations and international commerce powers is reserved to the federal government under the U.S. Constitution. Wisconsin has adopted these requirements into its rules for the convenience of the regulated community and for completeness. The enforcement of the 40 CFR 261.40 requirements remains EPA’s responsibility even though Wisconsin has adopted these requirements into its rules. Wisconsin provides EPA with information on whether Wisconsin facilities designated to receive hazardous waste imports are authorized to manage specific wastes and in ensuring facility compliance with all applicable environmental laws and rules.

NR 661.0040 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20.

NR 661.0041 NR 661.0041 Notification and recordkeeping for used, intact cathode ray tubes, CRTs, exported for reuse.

NR 661.0041(1) (1) CRT exporters who export used, intact CRTs for reuse shall send a notification to EPA. This notification may cover export activities extending over a 12-month or lesser period and shall meet all of the following requirements:

NR 661.0041(1)(a) (a) The notification shall be in writing, signed by the exporter, and include all of the following information:

NR 661.0041(1)(a)1. 1. Name, mailing address, telephone number, and EPA ID number, if applicable, of the exporter of the used, intact CRTs.

NR 661.0041(1)(a)2. 2. The estimated frequency or rate at which the used, intact CRTs are to be exported for reuse and the period of time over which they are to be exported.

NR 661.0041(1)(a)3. 3. The estimated total quantity of used, intact CRTs specified in kilograms.

NR 661.0041(1)(a)4. 4. All points of entry to and departure from each transit country through which the used, intact CRTs will pass, a description of the approximate length of time the used, intact CRTs will remain in each country, and the nature of their handling while there.

NR 661.0041(1)(a)5. 5. A description of the means by which each shipment of the used, intact CRTs will be transported. For example, mode of transportation vehicle such as air, highway, rail, water, and types of containers such as drums, boxes, tanks.

NR 661.0041(1)(a)6. 6. The name and address of the ultimate destination facility or facilities where the used, intact CRTs will be reused, refurbished, distributed, or sold for reuse and the estimated quantity of used, intact CRTs to be sent to each facility, as well as the name of any alternate destination facility or facilities.

NR 661.0041(1)(a)7. 7. A description of the manner in which the used, intact CRTs will be reused, including reuse after refurbishment, in the foreign country that will be receiving the used, intact CRTs.

NR 661.0041(1)(a)8. 8. A certification signed by the CRT exporter that states: “I certify under penalty of law that the CRTs described in this notice are intact and fully functioning or capable of being functional after refurbishment and that the used CRTs will be reused or refurbished and reused. 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.”

NR 661.0041(1)(b) (b) A notification submitted by mail shall be sent to the following mailing address: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division, Mail Code 2254A, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460. Hand-delivered notifications shall be sent to: Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division, Mail Code 2254A, Environmental Protection Agency, William Jefferson Clinton Building, Room 6144, 1200 Pennsylvania Ave. NW., Washington, DC 20004. In both cases, the following shall be prominently displayed on the front of the envelope: “Attention: Notification of Intent to Export CRTs.”

NR 661.0041(2) (2) An exporter of used, intact CRTs sent for reuse shall keep copies of normal business records, such as contracts, demonstrating that each shipment of exported used, intact CRTs will be reused. This documentation shall be retained for a period of at least 3 years from the date the CRTs were exported. If the documents are written in a language other than English, the exporters of used, intact CRTs sent for reuse shall provide both the original, non-English version of the normal business records as well as a third-party translation of the normal business records into English within 30 days upon request by EPA.

NR 661.0041 Note Note: The requirements under s. NR 661.0041 are based on 40 CFR 261.41 and are administered by EPA and not the department because the exercise of foreign relations and international commerce powers is reserved to the federal government under the U.S. Constitution. Wisconsin has adopted these requirements into its rules for the convenience of the regulated community and for completeness. The enforcement of the 40 CFR 261.41 requirements remains EPA’s responsibility even though Wisconsin has adopted these requirements into its rules. Wisconsin provides EPA with information on whether Wisconsin facilities designated to receive hazardous waste imports are authorized to manage specific wastes and in ensuring facility compliance with all applicable environmental laws and rules.

NR 661.0041 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20.

subch. H of ch. NR 661 Subchapter H — Financial Requirements for Management of Excluded Hazardous Secondary Material

NR 661.0140 NR 661.0140 Applicability.

NR 661.0140(1) (1) Except as provided otherwise in this section, the requirements of this subchapter apply to owners or operators of reclamation and intermediate facilities managing hazardous secondary material excluded under s. NR 661.0004 (1) (x).

NR 661.0140(2) (2) States and the federal government are exempt from the financial assurance requirements of this subchapter.

NR 661.0140 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20.

NR 661.0141 NR 661.0141 Definitions. The terms defined in s. NR 665.0141 (4), (6), (7), and (8), have the same meaning in this subchapter as specified in s. NR 665.0141.

NR 661.0141 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction made under s. 35.17, Stats., Register August 2020 No. 776.

NR 661.0142 NR 661.0142 Cost estimate.

NR 661.0142(1) (1) The owner or operator shall have a detailed written estimate, in current dollars, of the cost of disposing of any hazardous secondary material as listed or characteristic hazardous waste, and the potential cost of closing the facility as a treatment, storage, and disposal facility. The estimate shall include all of the following:

NR 661.0142(1)(a) (a) The estimate shall equal the cost of conducting those activities at the point when the extent and manner of the facility’s operation would make these activities the most expensive.

NR 661.0142(1)(b) (b) The cost estimate shall be based on the costs to the owner or operator of hiring a third party to conduct these activities. A third party is a party who is neither a parent corporation as defined in s. NR 665.0141 (5) nor a subsidiary of the owner or operator. The owner or operator may use costs for on-site disposal in accordance with applicable requirements if the owner or operator can demonstrate that on-site disposal capacity will exist at all times over the life of the facility.

NR 661.0142(1)(c) (c) The cost estimate may not incorporate any salvage value that may be realized with the sale of hazardous secondary material, or hazardous or non-hazardous wastes if applicable under s. NR 665.0113 (4), facility structures or equipment, land, or other assets associated with the facility.

NR 661.0142(1)(d) (d) The owner or operator may not incorporate a zero cost for hazardous secondary material, or hazardous or non-hazardous wastes if applicable under s. NR 665.0113 (4) that might have economic value.

NR 661.0142(2) (2) During the active life of the facility, the owner or operator shall adjust the cost estimate for inflation within 60 days prior to the anniversary date of the establishment of the financial instrument or instrument used to comply with s. NR 661.0143. For owners and operators using the financial test or corporate guarantee, the cost estimate shall be updated for inflation within 30 days after the close of the firm’s fiscal year and before submission of updated information to the department as specified in s. NR 661.0143 (5) (c). The adjustment may be made by recalculating the cost estimate in current dollars, or by using an inflation factor derived from the most recent Implicit Price Deflator for Gross National Product published by the U.S. department of commerce in its Survey of Current Business, as specified in pars. (a) and (b). The inflation factor is the result of dividing the latest published annual deflator by the deflator for the previous year. Adjustments shall be made as follows:

NR 661.0142(2)(a) (a) The first adjustment is made by multiplying the cost estimate by the inflation factor. The result is the adjusted cost estimate.

NR 661.0142(2)(b) (b) Subsequent adjustments are made by multiplying the latest adjusted cost estimate by the latest inflation factor.

NR 661.0142(3) (3) During the active life of the facility, the owner or operator shall revise the cost estimate no later than 30 days after a change in a facility’s operating plan or design that would increase the costs of conducting the activities described in sub. (1) or no later than 60 days after an unexpected event that increases the cost of conducting the activities described in sub. (1). The revised cost estimate shall be adjusted for inflation as specified in sub. (2).

NR 661.0142(4) (4) The owner or operator shall keep the following at the facility during the operating life of the facility: The latest cost estimate prepared in accordance with subs. (1) and (3) and, when this estimate has been adjusted in accordance with sub. (2), the latest adjusted cost estimate.

NR 661.0142 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction in (1) (c), (d) made under s. 13.92 (4) (b) 7., Stats., Register April 2021 No. 778.

NR 661.0143 NR 661.0143 Financial assurance condition. As specified in s. NR 661.0004 (1) (x) 6. f. an owner or operator of a reclamation or intermediate facility shall have financial assurance as a condition of the exclusion as required under s. NR 661.0004 (1) (x). The facility shall choose from the options specified in subs. (1) to (5).

NR 661.0143(1) (1) Trust fund.

NR 661.0143(1)(a) (a) An owner or operator may satisfy the requirements of this section by establishing a trust fund that conforms to the requirements of this subsection and submitting an originally signed duplicate of the trust agreement to the department. The trustee shall be an entity that has the authority to act as a trustee and whose trust operations are regulated and examined by a federal or state agency.

NR 661.0143(1)(b) (b) The wording of the trust agreement shall be identical to the wording specified in s. NR 661.0151 (1) (a), and the trust agreement shall be accompanied by a formal certification of acknowledgment as specified in s. NR 661.0151 (1) (b). Schedule A of the trust agreement shall be updated within 60 days after a change in the amount of the current cost estimate covered by the agreement.

NR 661.0143(1)(c) (c) The trust fund shall be funded for the full amount of the current cost estimate before it may be relied upon to satisfy the requirements of this section.

NR 661.0143(1)(d) (d) Whenever the current cost estimate changes, the owner or operator shall compare the new estimate with the trustee’s most recent annual valuation of the trust fund. If the value of the fund is less than the amount of the new estimate, the owner or operator, within 60 days after the change in the cost estimate, shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current cost estimate, or obtain other financial assurance as specified in this section to cover the difference.

NR 661.0143(1)(e) (e) If the value of the trust fund is greater than the total amount of the current cost estimate, the owner or operator may submit a written request to the department for release of the amount in excess of the current cost estimate.

NR 661.0143(1)(f) (f) If an owner or operator substitutes other financial assurance as specified in this section for all or part of the trust fund, the owner or operator may submit a written request to the department for release of the amount in excess of the current cost estimate covered by the trust fund.

NR 661.0143(1)(g) (g) Within 60 days after receiving a request from the owner or operator for release of funds as specified in pars. (e) or (f), the department will instruct the trustee to release to the owner or operator such funds as the department specifies in writing. If the owner or operator begins final closure under subch. G of ch. NR 664 or subch. G of ch. NR 665, an owner or operator may request reimbursements for partial or final closure expenditures by submitting itemized bills to the department. The owner or operator may request reimbursements for partial closure only if sufficient funds are remaining in the trust fund to cover the maximum costs of closing the facility over its remaining operating life. No later than 60 days after receiving bills for partial or final closure activities, the department will instruct the trustee to make reimbursements in those amounts as the department specifies in writing, if the department determines that the partial or final closure expenditures are in accordance with the approved closure plan, or otherwise justified. If the department has reason to believe that the maximum cost of closure over the remaining life of the facility will be significantly greater than the value of the trust fund, the department may withhold reimbursements of such amounts as the department deems prudent until the department determines, in accordance with s. NR 665.0143 (9), that the owner or operator is no longer required to maintain financial assurance for final closure of the facility. If the department does not instruct the trustee to make such reimbursements, the department will provide to the owner or operator a detailed written statement of reasons.

NR 661.0143(1)(h) (h) The department will agree to termination of the trust when one of the following apply:

NR 661.0143(1)(h)1. 1. An owner or operator substitutes alternate financial assurance as specified in this section.

NR 661.0143(1)(h)2. 2. The department releases the owner or operator from the requirements of this section in accordance with sub. (9).

NR 661.0143(2) (2) Surety bond guaranteeing payment into a trust fund.

NR 661.0143(2)(a) (a) An owner or operator may satisfy the requirements of this section by obtaining a surety bond that conforms to the requirements of this subsection and submitting the bond to the department. The surety company issuing the bond shall, at a minimum, be among those listed as acceptable sureties on federal bonds in Circular 570 of the U.S. department of the treasury.

NR 661.0143(2)(b) (b) The wording of the surety bond shall be identical to the wording specified in s. NR 661.0151 (2).

NR 661.0143(2)(c) (c) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder will be deposited by the surety directly into the standby trust fund in accordance with instructions from the department. This standby trust fund shall meet the requirements specified in sub. (1), except for all of the following:

NR 661.0143(2)(c)1. 1. An originally signed duplicate of the trust agreement shall be submitted to the department with the surety bond.

NR 661.0143(2)(c)2. 2. Until the standby trust fund is funded pursuant to the requirements of this section, none of the following are required:

NR 661.0143(2)(c)2.a. a. Payments into the trust fund as specified in sub. (1).