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.