NR 662.083 NoteNote: Financial guarantees so required are intended to provide for alternate recycling, disposal or other means of sound management of the wastes in cases where arrangements for the shipment and the recovery operations cannot be carried out as foreseen. The United States does not require such financial guarantees at this time; however, some OECD member countries and other foreign countries do. It is the responsibility of the exporter to ascertain and comply with such requirements. In some cases, persons or facilities located in those OECD member countries or other foreign countries may refuse to enter into the necessary contracts absent specific references or certifications to financial guarantees.
NR 662.083(6)(h)(h) Contracts or equivalent arrangements shall contain provisions requiring each contracting party to comply with all applicable requirements of this subchapter. NR 662.083(6)(i)(i) Upon request by EPA, U.S. exporters, importers, or recovery facilities shall submit to EPA copies of contracts, chain of contracts, or equivalent arrangements, such as when movement occurs between parties controlled by the same corporate or legal entity. NR 662.083(7)(7) Annual reports. The exporter shall file an annual report with EPA no later than March 1 of each year summarizing the types, quantities, frequency, and ultimate destination of all such hazardous waste exported during the previous calendar year. Prior to one year after the AES filing compliance date, the exporter shall mail or hand-deliver annual reports to EPA using one of the addresses specified in s. NR 662.082 (5), or submit to EPA using the allowable methods specified in sub. (2) (a) if the exporter has electronically filed EPA information in AES, or its successor system, under sub. (1) (f) 1. a. for all shipments made the previous calendar year. Subsequently, the exporter shall submit annual reports to EPA using the allowable methods specified in sub. (2) (a). The annual report shall include all of the following: NR 662.083(7)(a)(a) The EPA identification number, name, and mailing and site address of the exporter filing the report. NR 662.083(7)(c)(c) The name and site address of each foreign receiving facility. NR 662.083(7)(d)(d) By foreign receiving facility, for each hazardous waste exported: NR 662.083(7)(d)5.5. The name and EPA ID number, where applicable, for each transporter used over the calendar year covered by the report. NR 662.083(7)(d)6.6. The consent number under which the hazardous waste was shipped, and for each consent number, the total amount of the hazardous waste and the number of shipments exported during the calendar year covered by the report. NR 662.083(7)(e)(e) In even-numbered years, for each hazardous waste exported, except for hazardous waste produced by exporters of greater than 100 kilograms but less than 1,000 kilograms in a calendar month, and except for hazardous waste for which information was already provided according to s. NR 662.041: NR 662.083(7)(e)1.1. A description of the efforts undertaken during the year to reduce the volume and toxicity of the waste generated. NR 662.083(7)(e)2.2. A description of the changes in volume and toxicity of the waste actually achieved during the year in comparison to previous years to the extent such information is available for years prior to 1984. NR 662.083(7)(f)(f) A certification signed by the 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 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 662.083(8)(a)(a) The exporter shall file an exception report with EPA in lieu of the requirements specified in s. NR 662.042, if applicable, if any of the following occurs: NR 662.083(8)(a)1.1. The exporter has not received a copy of the RCRA hazardous waste manifest, if applicable, signed by the transporter identifying the point of departure of the hazardous waste from the United States, within 45 days from the date it was accepted by the initial transporter, in which case the exporter shall file the exception report within the next 30 days. NR 662.083(8)(a)2.2. The exporter has not received a written confirmation of receipt from the foreign receiving facility in accordance with sub. (4) within 90 days from the date the waste was accepted by the initial transporter in which case the exporter shall file the exception report within the next 30 days. NR 662.083(8)(a)3.3. The foreign receiving facility notifies the exporter, or the country of import notifies EPA, of the need to return the shipment to the U.S. or arrange alternate management, in which case the exporter shall file the exception report within 30 days of notification, or one day prior to the date the return shipment commences, whichever is sooner. NR 662.083(8)(b)(b) Prior to the electronic import-export reporting compliance date, exception reports shall be mailed or hand delivered to EPA using the addresses listed in s. NR 662.082 (5). Subsequently, exception reports shall be submitted to EPA using the allowable methods listed in sub. (2) (a). NR 662.083(9)(a)(a) The exporter shall keep the following records and provide them to EPA or the department upon request: NR 662.083(9)(a)1.1. A copy of each notification of intent to export and each EPA AOC for a period of at least 3 years from the date the hazardous waste was accepted by the initial transporter. NR 662.083(9)(a)2.2. A copy of each annual report for a period of at least 3 years from the due date of the report. NR 662.083(9)(a)3.3. A copy of any exception reports and a copy of each confirmation of receipt, or movement document, sent by the foreign receiving facility to the exporter for at least 3 years from the date the hazardous waste was accepted by the initial transporter. NR 662.083(9)(a)4.4. A copy of each confirmation of recovery or disposal sent by the foreign receiving facility to the exporter for at least 3 years from the date that the foreign receiving facility completed interim or final processing of the hazardous waste shipment. NR 662.083(9)(a)5.5. A copy of each contract or equivalent arrangement established under s. NR 662.083 (6) for at least 3 years from the expiration date of the contract or equivalent arrangement. NR 662.083(9)(b)(b) An exporter may satisfy these recordkeeping requirements by retaining electronically submitted documents in the exporter’s account on EPA’s waste import export tracking system, or its successor system, provided that copies are readily available for viewing and production if requested by EPA or any authorized state inspector. No exporter may be held liable for the inability to produce such documents for inspection under this section if the exporter can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA’s waste import export tracking system, or its successor system for which the exporter bears no responsibility. NR 662.083(9)(c)(c) 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 EPA administrator. NR 662.083 HistoryHistory: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction in (1) (intro.), (2) (c) to (e), (g), (6) (f) 1. made under s. 35.17, Stats., Register August 2020 No. 776; correction in (9) (a) 5. made under s. 13.92 (4) (b) 7., Stats., Register April 2021 No. 784. NR 662.084(1)(a)(a) With the exception of par. (e), an importer of a shipment covered under a consent from EPA to the country of export issued before December 31, 2016 is subject to that approval and the requirements that existed at the time of that approval until such time the approval period expires. Otherwise, any other person who imports hazardous waste from a foreign country into the United States shall comply with the requirements of this chapter and the special requirements of this subchapter. NR 662.084(1)(b)(b) In cases where the country of export does not require the foreign exporter to submit a notification and obtain consent to the export prior to shipment, the importer shall submit a notification to EPA in accordance with sub. (2). NR 662.084(1)(c)(c) The importer shall comply with the contract requirements specified in sub. (6). NR 662.084(1)(d)(d) The importer shall ensure compliance with the movement documents requirements specified in sub. (4). NR 662.084(1)(e)(e) The importer shall ensure compliance with the manifest instructions for import shipments specified in sub. (3). NR 662.084(2)(2) Notifications. In cases where the competent authority of the country of export does not regulate the waste as hazardous waste and, thus, does not require the foreign exporter to submit to it a notification proposing export and obtain consent from EPA and the competent authorities for the countries of transit, but EPA does regulate the waste as hazardous waste: NR 662.084(2)(a)(a) The importer is required to provide notification in English to EPA of the proposed transboundary movement of hazardous waste at least 60 days before the first shipment is expected to depart the country of export. Notifications submitted prior to the electronic import-export reporting compliance date shall be mailed or hand delivered to EPA at the addresses specified in s. NR 662.082 (5). Notifications submitted on or after the electronic import-export reporting compliance date shall be submitted electronically using EPA’s waste import export tracking system, or its successor system. The notification may cover up to one year of shipments of one or more hazardous wastes being sent from the same foreign exporter, and shall include all of the following information: NR 662.084(2)(a)1.1. Foreign exporter name, address, telephone number, fax number, and email address. NR 662.084(2)(a)2.2. Receiving facility name, EPA ID number, address, telephone number, fax number, email address, technologies employed, and the applicable recovery or disposal operations as defined in s. NR 662.081. NR 662.084(2)(a)3.3. If not the owner or operator of the receiving facility, then the importer name, EPA ID number, address, telephone number, fax number, and email address. NR 662.084(2)(a)4.4. Intended transporters and/or their agents, with address, telephone number, fax number, and email address. NR 662.084(2)(a)5.5. “U.S.” as the country of import, “USA01” as the relevant competent authority code, and the intended U.S. ports of entry. NR 662.084(2)(a)6.6. The ISO standard 3166 country name 2-digit code, OECD/Basel competent authority code, and the ports of entry and exit for each country of transit. NR 662.084(2)(a)7.7. The ISO standard 3166 country name 2-digit code, OECD/Basel competent authority code, and port of exit for the country of export. NR 662.084(2)(a)8.8. Statement of whether the notification covers a single shipment or multiple shipments. NR 662.084(2)(a)11.11. Descriptions of each hazardous waste, including whether each hazardous waste is regulated universal waste under ch. NR 673, spent lead-acid batteries being exported for recovery of lead under subch. G of ch. NR 666, or industrial ethyl alcohol being exported for reclamation under s. NR 661.0006 (1) (c) 1.; estimated total quantity of each hazardous waste; the applicable RCRA hazardous waste codes for each hazardous waste; the applicable OECD waste code from the lists incorporated by reference in 40 CFR 260.11; and the United Nations and U.S. department of transportation ID number for each hazardous waste. NR 662.084(2)(a)13.13. Certification/Declaration signed by the importer that states: I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally enforceable written contractual obligations have been entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement. Name:
Signature:
Date:
NR 662.084 NoteNote: The United States does not currently require financial assurance for these waste shipments.
NR 662.084(2)(b)(b) Notifications listing interim recycling operations or interim disposal operations. If the receiving facility listed in par. (a) will engage in any of the interim recovery operations R12 or R13 or interim disposal operations D13 through D15, the notification submitted according to par. (a) shall also include the final recovery or disposal facility name, address, telephone number, fax number, email address, technologies employed, and which of the applicable recovery or disposal operations R1 through R11 and D1 through D12, will be employed at the final recovery or disposal facility. The recovery and disposal operations in this paragraph are defined in s. NR 662.081. NR 662.084(2)(c)(c) When the foreign exporter wishes to change any of the conditions specified on the original notification, including increasing the estimate of the total quantity of hazardous waste specified in the original notification or adding transporters, the importer shall submit a renotification of the changes to EPA using the allowable methods specified in par. (a). Any shipment using the requested changes cannot take place until EPA and the countries of transit consent to the changes and the importer receives an EPA AOC letter documenting the consents to the changes. NR 662.084(2)(d)(d) A notification is complete when EPA determines the notification satisfies the requirements under par. (a) 1. to 13. NR 662.084(2)(e)(e) Where EPA and the countries of transit consent to the proposed transboundary movements of the hazardous wastes, EPA will forward an EPA AOC letter to the importer documenting the countries’ consents and EPA’s consent. When any of the countries of transit or EPA objects to the proposed transboundary movements of the hazardous waste or withdraws a prior consent, EPA will notify the importer. NR 662.084(2)(f)(f) Export of hazardous wastes that were originally imported into the United States for recycling or disposal operations is prohibited unless an exporter in the United States complies with the export requirements specified in s. NR 662.083 (2) (g). NR 662.084(3)(3) RCRA manifest instructions for import shipments. NR 662.084(3)(a)(a) When importing hazardous waste, the importer shall meet all of the requirements under s. NR 662.020 for the manifest except that: NR 662.084(3)(a)1.1. 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 shall be used. NR 662.084(3)(a)2.2. In place of the generator’s signature on the certification statement, the importer or the importer’s agent shall sign and date the certification and obtain the signature of the initial transporter. NR 662.084(3)(b)(b) The importer may obtain the manifest form from any source that is registered with the EPA as a supplier of manifests. NR 662.084(3)(c)(c) In the International Shipments block, the importer shall check the import box and enter the point of entry, city and state, into the United States. NR 662.084(3)(e)(e) In lieu of the requirements under s. NR 662.020 (4), where a shipment cannot be delivered for any reason to the receiving facility, the importer shall instruct the transporter in writing via fax, email or mail to do all of the following: NR 662.084(3)(e)1.1. Return the hazardous waste to the foreign exporter or designate another facility within the United States. NR 662.084(4)(4) Movement document requirements for import shipments. NR 662.084(4)(a)(a) The importer shall ensure that a movement document meeting the conditions under par. (b) accompanies each transboundary movement of hazardous wastes from the initiation of the shipment in the country of export until it reaches the receiving facility, including cases in which the hazardous waste is stored or sorted by the importer prior to shipment to the receiving facility, except as follows: NR 662.084(4)(a)1.1. For shipments of hazardous waste within the United States by water, bulk shipments only, the importer shall forward the movement document to the last water, bulk shipment, transporter to handle the hazardous waste in the United States if imported by water. NR 662.084(4)(a)2.2. For rail shipments of hazardous waste within the United States that start from the company originating the export shipment, the importer shall forward the movement document to the next non-rail transporter, if any, or the last rail transporter to handle the hazardous waste in the United States if imported by rail. NR 662.084(4)(b)2.2. The shipment number and the total number of shipments under the AOC number. NR 662.084(4)(b)3.3. Foreign exporter name, address, telephone number, fax number, and email address. NR 662.084(4)(b)4.4. Receiving facility name, EPA ID number, address, telephone number, fax number, email address, technologies employed, and the applicable recovery or disposal operations as defined in s. NR 662.081. NR 662.084(4)(b)5.5. If not the owner or operator of the receiving facility, then the importer name, EPA ID number, address, telephone number, fax number, and email address. NR 662.084(4)(b)6.6. Descriptions of each hazardous waste, quantity of each hazardous waste in the shipment, applicable RCRA hazardous waste codes for each hazardous waste, the applicable OECD waste code for each hazardous waste from the lists incorporated by reference in 40 CFR 260.11, and the United Nations and U.S. Department of Transportation ID number for each hazardous waste. NR 662.084(4)(b)8.8. If not the foreign exporter, then the name, address, telephone number, fax number, and email of the foreign company originating the shipment. NR 662.084(4)(b)9.9. Company name, EPA ID number, address, telephone number, fax number, and email address of all transporters.
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