Import/Export Requirements

(Added 3/21/2022)    Q:  Is an R2 Facility responsible for identifying and verifying the legality of all shipments to final disposition?

An R2 Facility is typically required to know, qualify and manage its entire downstream recycling chain.  However, if an R2 Facility is using an R2v3 Certified DSV there are certain circumstances where it can choose to stop its downstream tracking and other verifications at that certified downstream, recognizing that that those requirements and any further verifications are assessed through the DSV’s R2 Certification.

This ability to stop the verification at the first R2v3 Certified DSV can apply to the identification and tracking of the import and export requirements, if the R2 Facility chooses.  This means that the R2 Facility would be responsible for identifying and ensuring compliance with all legal requirements for any imports or exports of R2 Controlled Streams up to and including the R2v3 Certified DSV’s facility, but no further down the recycling chain.

Where the downstream recycling chain does not include any R2v3 Certified DSVs, then tracking of the import/export requirements and verification of compliance is required for each step throughout the entire chain until final disposition.

In addition, for any imports or exports that it initiates and manages directly, regardless of whether it is an R2 Controlled Stream or not, the R2 Facility is responsible for identifying, documenting and ensuring compliance with all legal requirements related to those shipments.

Q:   To what level of detail are the import/export requirements expected to be verified prior to each shipment under Appendix A (3)?

Core Requirement 4.(c) requires the identification and documentation of the legality of imports/export as part of the R2 Facility’s legal compliance plan. This includes determining if the items are regulated; whether the regulated items are hazardous; the proper names and/or codes used for shipping; packaging requirements; permissible quantities; required shipping forms; and any permits or authorizations required for the shipment.

Prior to any transboundary shipments, Appendix A (3) requires that the R2 Facility verifies the related requirements as outlined in the legal compliance plan to confirm compliance of the shipment with all applicable requirements.

(Added 3/21/2022)     Q:  What are some of the types of legal requirements related to import or export of electronics that an R2 Facility needs to consider?

There is a very wide range of legal requirements that can apply to imports and exports, so if ever unsure of the requirements or how they apply, you would be well advised to consult with somebody that has specialized knowledge of the import, export and in transit requirements for all of the applicable jurisdictions related to a shipment.

As an example of the diverse types of requirements that can apply, some electronic equipment, components and materials have very specific legal requirements related to those items, while other requirements can be based on things like the constituent materials of the items, or even the condition that devices or components are in.  Consequently, when assessing legal requirements, it is critical to look at the all potential requirements in detail and consider how they may apply for the specific items that your facility manages.

For instance, some items, such as untested electronics, used batteries or mercury containing items may be prohibited from any import or export at all.

In other cases, the import or export of things like circuit boards or leaded glass may be allowable but only under permit and with other pre-authorizations.  These shipments can even be subject to certain conditions such as restrictions on the quantities of items shipped or the number of shipments, limited timeframes for shipments and be applicable to specific receiving sites only.

Some important considerations when assessing import and export requirements include:

• • What condition is the equipment or materials in? Has it been tested and confirmed functional?  If so, do you have the records available to demonstrate functionality?
  • Does the equipment or material stream contain things like batteries, mercury or lead that may be regulated?
  • What is the intended use or disposition for the items – reuse; materials recovery; disposal?
  • Are there special packaging or labelling requirements?
  • Have any regulated items been properly identified with accurate shipping codes and descriptions?
  • Are all supporting transportation records completed and available, such as authorizations, packing lists, invoices, shipping manifests, etc.?

These few general examples alone demonstrate that there are many important aspects to consider when managing imports and exports.  By having a detailed understanding of the legal requirements and how they apply, an R2 Facility will be able to develop the necessary controls to effectively manage their shipments and ensure compliance of each.

Q.   If a facility exports to an OECD country, is that sufficient proof of legality as required in Core Requirement 4 (c)?

Not all OECD countries have the same laws and regulations, so that in itself does not constitute proof of legality.   Some of the other things you would need to consider include whether the items are regulated, whether they’re hazardous, and any conditions related to the shipment, such as what permits or authorizations are required, any declarations or shipping documents for the shipment, and the permissible types and quantities of items for each shipment.

As for proof of legality, a few examples could be:

• • A permit showing your downstream vendor is permitted to import the material you are sending
  • A copy of a law or regulation specifically stating the material may be imported
  • A link to the country’s website where it states import/export restrictions, AND specifically states that the electronic items/materials you are sending are allowed to be imported.

The Level 2 training video for CORE 4 Legal Requirements sheds additional light on this subject.