Chapter NR 662

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) (b) The movement document shall include all of the following:

NR 662.084(4)(b)1. 1. The corresponding AOC number and waste number for the listed waste.

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)7. 7. Date movement commenced.

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.

NR 662.084(4)(b)10. 10. Identification, including license, registered name or registration number, of means of transport, including types of packaging.

NR 662.084(4)(b)11. 11. Any special precautions to be taken by transporter.

NR 662.084(4)(b)12. 12. Certification/declaration signed and dated by the foreign exporter that the information in the movement document is complete and correct.

NR 662.084(4)(b)13. 13. Appropriate signatures for each custody transfer.

NR 662.084(4)(b)14. 14. Each person that has physical custody of the waste from the time the movement commences until it arrives at the receiving facility shall sign the movement document.

NR 662.084(4)(b)15. 15. The receiving facility shall send a copy of the signed movement document to confirm receipt within 3 working days of shipment delivery to the foreign exporter, to the competent authorities of the countries of export and transit, and for shipments received on or after the electronic import-export reporting compliance date, to EPA electronically using EPA’s waste import export tracking system, or its successor system.

NR 662.084(5) (5) Duty to return or export hazardous wastes. When a transboundary movement of hazardous wastes cannot be completed in accordance with the terms of the contract or the consent, the provisions under sub. (6) (d) apply. If alternative arrangements cannot be made to recover the hazardous waste in an environmentally sound manner in the United States, the hazardous waste shall be returned to the country of export or exported to a third country. The provisions under sub. (2) (f) apply to any hazardous waste shipment to be exported to a third country. If the return shipment will cross any transit country, the return shipment may only occur after EPA provides notification to and obtains consent from the competent authority of the country of transit, and provides a copy of that consent to the importer.

NR 662.084(6) (6) Import contract requirements.

NR 662.084(6)(a) (a) Imports of hazardous waste shall occur under the terms of a valid written contract, chain of contracts, or equivalent arrangements, such as when the movement occurs between parties controlled by the same corporate or legal entity. Such contracts or equivalent arrangements shall be executed by the foreign exporter, importer, and the owner or operator of the receiving facility, and shall specify responsibilities for each. Contracts or equivalent arrangements are valid for the purposes of this section only if persons assuming obligations under the contracts or equivalent arrangements have appropriate legal status to conduct the operations specified in the contract or equivalent arrangements.

NR 662.084(6)(b) (b) Contracts or equivalent arrangements shall specify the name and EPA ID number, where available, of all of the following:

NR 662.084(6)(b)1. 1. The foreign company from where each import shipment of hazardous waste is initiated.

NR 662.084(6)(b)2. 2. Each person who will have physical custody of the hazardous wastes.

NR 662.084(6)(b)3. 3. Each person who will have legal control of the hazardous wastes.

NR 662.084(6)(b)4. 4. The receiving facility.

NR 662.084(6)(c) (c) Contracts or equivalent arrangements shall specify the use of a movement document in accordance with sub. (4).

NR 662.084(6)(d) (d) Contracts or equivalent arrangements shall specify which party to the contract will assume responsibility for alternate management of the hazardous wastes if their disposition cannot be carried out as described in the notification of intent to export submitted by either the foreign exporter or the importer. In such cases, contracts shall specify all of the following:

NR 662.084(6)(d)1. 1. The transporter or receiving facility having actual possession or physical control over the hazardous wastes will immediately inform the foreign exporter and importer, and the competent authority where the shipment is located of the need to arrange alternate management or return.

NR 662.084(6)(d)2. 2. The person specified in the contract will assume responsibility for the adequate management of the hazardous wastes in compliance with applicable laws and regulations including, if necessary, arranging the return of the hazardous wastes and, as the case may be, shall provide the notification for re-export required in s. NR 662.083 (b) (7).

NR 662.084(6)(e) (e) Contracts shall specify that the importer or the receiving facility that performed interim recycling operations R12, R13, or RC16, or interim disposal operations D13 through D15 or DC15 to DC17, as appropriate, will provide the notification required in s. NR 662.083 (2) (g) prior to the re-export of hazardous wastes. The recovery and disposal operations in this paragraph are defined in s. NR 662.081.

NR 662.084(6)(f) (f) Contracts or equivalent arrangements shall include provisions for financial guarantees, if required by the competent authorities of any countries concerned, in accordance with applicable national or international law requirements.

NR 662.084 Note Note: 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 or other foreign countries do. It is the responsibility of the importer to ascertain and comply with such requirements. In some cases, persons or facilities located in those countries may refuse to enter into the necessary contracts absent specific references or certifications to financial guarantees.

NR 662.084(6)(g) (g) Contracts or equivalent arrangements shall contain provisions requiring each contracting party to comply with all applicable requirements of this subchapter.

NR 662.084(6)(h) (h) Upon request by EPA, importers or disposal or recovery facilities shall submit to EPA copies of contracts, chain of contracts, or equivalent arrangements, such as when the movement occurs between parties controlled by the same corporate or legal entity.

NR 662.084(7) (7) Confirmation of recovery or disposal. The receiving facility shall do all of the following:

NR 662.084(7)(a) (a) Send copies of the signed and dated confirmation of recovery or disposal, as soon as possible, but no later than 30 days after completing recovery or disposal on the waste in the shipment and no later than one calendar year following receipt of the waste, to the foreign exporter, to the competent authority of the country of export, and for shipments recycled or disposed of on or after the electronic import-export reporting compliance date, to EPA electronically using EPA’s waste import export tracking system or its successor system.

NR 662.084(7)(b) (b) If the receiving facility performed any of recovery operations R12, R13, or RC16, or disposal operations D13 through D15, or DC17, the receiving facility shall promptly send copies of the confirmation of recovery or disposal that it receives from the final recovery or disposal facility within one year of shipment delivery to the final recovery or disposal facility that performed one of recovery operations R1 through R11, or RC14 to RC15, or one of disposal operations D1 through D12, or DC15 to DC16, to the competent authority of the country of export, and for confirmations received on or after the electronic import-export reporting compliance date, to EPA electronically using EPA’s waste import export tracking system, or its successor system. The recovery and disposal operations in this paragraph are defined in s. NR 662.081.

NR 662.084(8) (8) Recordkeeping.

NR 662.084(8)(a) (a) The importer shall keep all of the following records and provide them to EPA or the department upon request:

NR 662.084(8)(a)1. 1. A copy of each notification that the importer sends to EPA under sub. (2) (a) and each EPA AOC it receives in response for a period of at least 3 years from the date the hazardous waste was accepted by the initial foreign transporter.

NR 662.084(8)(a)2. 2. A copy of each contract or equivalent arrangement established under sub. (6) for at least 3 years from the expiration date of the contract or equivalent arrangement.

NR 662.084(8)(b) (b) The receiving facility shall keep all of the following records:

NR 662.084(8)(b)1. 1. A copy of each confirmation of receipt, or movement document, that the receiving facility sends to the foreign exporter for at least 3 years from the date it received the hazardous waste.

NR 662.084(8)(b)2. 2. A copy of each confirmation of recovery or disposal that the receiving facility sends to the foreign exporter for at least 3 years from the date that it completed processing the waste shipment.

NR 662.084(8)(b)3. 3. For the receiving facility that performed any of recovery operations R12, R13, or RC16, or disposal operations D13 through D15, or DC17, a copy of each confirmation of recovery or disposal that the final recovery or disposal facility sent to it for at least 3 years from the date that the final recovery or disposal facility completed processing the waste shipment. The recovery and disposal operations in this paragraph are defined in s. NR 662.081.

NR 662.084(8)(b)4. 4. A copy of each contract or equivalent arrangement established under sub. (6) for at least 3 years from the expiration date of the contract or equivalent arrangement.

NR 662.084(8)(c) (c) Importers and receiving facilities may satisfy these recordkeeping requirements by retaining electronically submitted documents in the importer’s or receiving facility’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 importer or receiving facility may be held liable for the inability to produce such documents for inspection under this section if the importer or receiving facility 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 importer or receiving facility bears no responsibility.

NR 662.084(8)(d) (d) 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 662.084 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20; correction in (2) (a) 9., (b), (c), (3) (d), (6) (c) made under s. 35.17, Stats., Register August 2020 No. 776.

subch. K of ch. NR 662 Subchapter K — Alternative Requirements for Hazardous Waste Determination and Accumulation of Unwanted Material for Laboratories Owned by Eligible Academic Entities

NR 662.200 NR 662.200 Definitions: The following definitions apply to this subchapter:

NR 662.200(1) (1) “College or university” means a private or public, post-secondary, degree-granting, academic institution that is accredited by an accrediting agency listed annually by the U.S. department of education.

NR 662.200(2) (2) “Eligible academic entity” means a college or university, or a non-profit research institute that is owned by or has a formal written affiliation agreement with a college or university, or a teaching hospital that is owned by or has a formal written affiliation agreement with a college or university.

NR 662.200(3) (3) “Formal written affiliation agreement” for a non-profit research institute means a written document that establishes a relationship between institutions for the purposes of research or education and is signed by authorized representatives, as defined in s. NR 660.10 (6), from each institution. A relationship on a project-by-project or grant-by-grant basis is not considered a formal written affiliation agreement. A formal written affiliation agreement for a teaching hospital means a master affiliation agreement and program letter of agreement, as defined by the Accreditation Council for Graduate Medical Education, with an accredited medical program or medical school.

NR 662.200(4) (4) “Laboratory” means an area owned by an eligible academic entity where relatively small quantities of chemicals and other substances are used on a non-production basis for teaching or research, or diagnostic purposes at a teaching hospital, and are stored and used in containers that are easily manipulated by one person. Photo laboratories, art studios, and field laboratories are considered laboratories. Areas such as chemical stockrooms and preparatory laboratories that provide a support function to teaching or research laboratories, or diagnostic laboratories at teaching hospitals, are also considered laboratories.

NR 662.200(5) (5) “Laboratory clean-out” means an evaluation of the inventory of chemicals and other materials in a laboratory that are no longer needed or that have expired and the subsequent removal of those chemicals or other unwanted materials from the laboratory. A clean-out may occur for several reasons. It may be on a routine basis, at the end of a semester or academic year, or as a result of a renovation, relocation, or change in laboratory supervisor or occupant.

NR 662.200 Note Note: A regularly scheduled removal of unwanted material as required under s. NR 662.208 does not qualify as a laboratory clean-out.

NR 662.200(6) (6) “Laboratory worker” means a person who handles chemicals or unwanted material in a laboratory and may include faculty, staff, post-doctoral fellows, interns, researchers, technicians, supervisors or managers, and principal investigators. A person does not need to be paid or otherwise compensated for his or her work in the laboratory to be considered a laboratory worker. Undergraduate and graduate students in a supervised classroom setting are not laboratory workers.

NR 662.200(7) (7) “Non-profit research institute” means an organization that conducts research as its primary function and files as a non-profit organization under the tax code of 26 USC 501 (c) (3).

NR 662.200(8) (8) “Reactive acutely hazardous unwanted material” means an unwanted material that is one of the acutely hazardous commercial chemical products listed in s. NR 661.0033 (5) for reactivity.

NR 662.200(9) (9) “Teaching hospital” means a hospital that trains students to become physicians, nurses or other health or laboratory personnel.

NR 662.200(10) (10) “Trained professional” means a person who has completed the applicable RCRA training requirements under s. NR 662.017 for large quantity generators, or is knowledgeable about normal operations and emergencies in accordance with s. NR 662.016 for small quantity generators and very small quantity generators. A trained professional may be an employee of the eligible academic entity or may be a contractor or vendor who meets the requisite training requirements.

NR 662.200(11) (11) “Unwanted material” means any chemical, mixtures of chemicals, products of experiments or other material from a laboratory that is no longer needed, wanted or usable in the laboratory and that is destined for hazardous waste determination by a trained professional. Unwanted materials include reactive acutely hazardous unwanted materials and materials that may eventually be determined not to be solid waste under s. NR 661.0002, or a hazardous waste under s. NR 661.0003. If an eligible academic entity elects to use another equally effective term in lieu of “unwanted material,” as allowed under s. NR 662.206 (1) (a) 1., the equally effective term has the same meaning and is subject to the same requirements as “unwanted material” under this subchapter.

NR 662.200(12) (12) “Working container” means a container that is 2 gallons or less, that is in use at a laboratory bench, hood, or other work station, to collect unwanted material from a laboratory experiment or procedure.

NR 662.200 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20.

NR 662.201 NR 662.201 Applicability of this subchapter.

NR 662.201(1) (1) Large quantity generators and small quantity generators. This subchapter provides alternative requirements to the requirements specified in ss. NR 662.011 and 662.015 for the hazardous waste determination and accumulation of hazardous waste in laboratories owned by eligible academic entities that choose to be subject to this subchapter, provided that they complete the notification requirements under s. NR 662.203.

NR 662.201(2) (2) Very small quantity generators. This subchapter provides alternative requirements to the conditional exemption specified in s. NR 662.014 for the accumulation of hazardous waste in laboratories owned by eligible academic entities that choose to be subject to this subchapter, provided that they complete the notification requirements under s. NR 662.203.

NR 662.201 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20.

NR 662.202 NR 662.202 This subchapter is optional.

NR 662.202(1) (1) Large quantity generators and small quantity generators. An eligible academic entity has the option of complying with this subchapter with respect to its laboratories, as an alternative to complying with the requirements under ss. NR 662.011 and 662.015.

NR 662.202(2) (2) Very small quantity generators. An eligible academic entity has the option of complying with this subchapter with respect to laboratories, as an alternative to complying with the conditional exemption under s. NR 662.014.

NR 662.202 History History: CR 19-082: cr. Register August 2020 No. 776, eff. 9-1-20.

NR 662.203 NR 662.203 How an eligible academic entity indicates it will be subject to the requirements of this subchapter.

NR 662.203(1) (1) An eligible academic entity shall notify the department in writing, using the RCRA Subtitle C site identification form EPA form 8700-12, that it is electing to be subject to the requirements of this subchapter for all the laboratories owned by the eligible academic entity under the same EPA identification number. An eligible academic entity that is a very small quantity generator and does not have an EPA identification number shall notify the department that it is electing to be subject to the requirements of this subchapter for all the laboratories owned by the eligible academic entity that are on-site, as defined in s. NR 660.10 (85). An eligible academic entity shall submit a separate site identification form for each EPA identification number, or site, for very small quantity generators, that is electing to be subject to the requirements of this subchapter, and shall submit the site identification form before it begins operating under this subchapter.

NR 662.203(2) (2) When submitting the site identification form, the eligible academic entity shall, at a minimum, complete all of the following fields on the form:

NR 662.203(2)(a) (a) Reason for submittal.

NR 662.203(2)(b) (b) Site EPA identification number, except for very small quantity generators.

NR 662.203(2)(c) (c) Site name.

NR 662.203(2)(d) (d) Site location information.

NR 662.203(2)(e) (e) Site land type.

NR 662.203(2)(f) (f) North American Industry Classification System or NAICS code for the site.

NR 662.203(2)(g) (g) Site mailing address.

NR 662.203(2)(h) (h) Site contact person.

NR 662.203(2)(i) (i) Operator and legal owner of the site.

NR 662.203(2)(j) (j) Type of regulated waste activity.