(1) Washington state law requires establishment of a convenient and environmentally sound product stewardship program for mercury-containing lights throughout Washington state by January 1, 2013. Every producer of mercury-containing lights sold in or into Washington state for sale at retail must participate in the product stewardship program. Such a system is essential to collect spent mercury lighting from covered entities which, when improperly disposed, releases mercury that threatens human health and the environment.

(2) This chapter implements Mercury-containing lights—Proper disposal, chapter 70.275 RCW.

(3) Washington state law established a statewide goal of recycling all end-of-life mercury-containing lights by 2020 through expanded public education, a uniform statewide requirement to recycle all mercury-containing lights, and the development of a comprehensive, safe, and convenient collection system that includes use of residential curbside collection programs, mail-back containers, increased support for household hazardous waste facilities, and a network of additional collection locations.

This chapter applies to:

(1) Any producer of mercury-containing lights sold in or into Washington state, as defined in this chapter.

(2) Any stewardship organization operating an approved product stewardship program for any producer or group of producers.

(3) Any covered entities as defined in this chapter.

(4) Collectors of mercury-containing lights including those participating in a product stewardship plan approved under this chapter.

(5) Transporters of mercury-containing lights participating in a product stewardship plan approved under this chapter.

(6) Processors of mercury-containing lights under a product stewardship plan approved under this chapter.

(7) Any retailer, electric utility, or other person that gives away, offers for sale at retail, or sells mercury-containing lights in or into Washington state at retail.

The definitions in this section apply throughout this chapter unless the context clearly requires otherwise.

"Accumulation point" means where mercury-containing lights from curbside or mail-back programs are accumulated for a product stewardship plan approved by the department.

"Brand" means a name, symbol, word, or mark that identifies a product, rather than its components, and attributes the product to the owner of the brand as the producer.

"Collector" means an entity that is licensed to do business in Washington state and that gathers mercury-containing lights from covered entities for the purpose of recycling under a product stewardship plan approved by the department and meets the collector requirements in WAC 173-910-520. Examples of collectors include, but are not limited to, drop off locations, household hazardous waste facilities, collection sites, curbside services, mail-back services, accumulation points, and collection events.

"Compliance audit report" means the report of a comprehensive third-party audit for each processing facility in the product stewardship program.

"Covered entities" means:

(a) A household generator or other person who purchases mercury-containing lights at retail and delivers no more than ten mercury-containing lights to registered collectors for a product stewardship program on any given day; and

(b) A household generator or other person who purchases mercury-containing lights at retail and uses a registered residential curbside collection program or a mail-back program for collection of mercury-containing lights and discards no more than fifteen mercury-containing lights into those programs on any given day.

"Department" means the department of ecology.

"Department's annual fee" means the sum total of five thousand dollars paid to the department for each producer participating in a mercury-containing lights product stewardship program to fund department administration, oversight, and enforcement costs.

"Distributor" is an agent who supplies goods to stores and other businesses that sell to consumers.

"Environmental handling charge" or "charge" means the charge approved by the department to be applied to each mercury-containing light to be sold at retail in or into Washington state. The environmental handling charge must cover all administrative and operational costs associated with the product stewardship program, including the fee for the department's administration and enforcement.

"Final disposition" means the point beyond which no further processing takes place and materials from mercury-containing lights have been transformed for direct use as a feedstock in producing new products, or disposed of or managed in facilities that meet all applicable federal, state, and local requirements.

"Hazardous substances" or "hazardous materials" means those substances or materials identified by rules adopted under chapter 70.105 RCW.

"Mail-back program" means the use of a prepaid postage container transported by the United States Postal Service or a common carrier, using sealable packaging and shipping materials that are designed to prevent the release of mercury into the environment by volatilization or any other means, to return mercury-containing lights for a product stewardship plan approved by the department.

"Mercury-containing lights" means lamps, bulbs, tubes, or other devices that contain mercury and provide functional illumination in homes, businesses, and outdoor stationary fixtures.

"Participate" means the obligation of each producer of mercury-containing lights sold in or into Washington to register with and participate in an approved product stewardship program.

"Person" means a sole proprietorship, partnership, corporation, nonprofit corporation or organization, limited liability company, firm, association, cooperative, or other legal entity located within or outside Washington state.

"Premium services" means collection of mercury-containing lights through systems that may include additional fees to cover the collection costs not paid by the product stewardship program, examples include curbside collection or mail-back services.

"Processing" means storage and handling of mercury-containing lights for materials recovery, recycling, or preparing for final disposition. Processing must occur at facilities that meet all applicable federal, state, and local requirements.

"Processor" means an entity engaged in disassembling or dismantling mercury-containing lights to recover materials for recycling or disposal.

"Producer" means a person that meets any one of the following conditions:

(a) Has or had legal ownership of the brand, brand name, or cobrand of a mercury-containing light sold in or into Washington state, unless the brand owner is a retailer whose mercury-containing light was supplied by another producer participating in a stewardship program under chapter 70.275 RCW;

(b) Imports or has imported mercury-containing lights branded by a producer that meets the requirements of (a) of this definition and where that producer has no physical presence in the United States;

(c) If (a) and (b) of this definition do not apply, makes or made a mercury-containing light that is offered for sale or sold in or into Washington state; or

(d) Offers for sale, sells or has sold at wholesale or retail a mercury-containing light and does not have legal ownership of the brand but chooses to fulfill the responsibilities of the producer for that product.

"Product stewardship" means a requirement for a producer of mercury-containing lights to manage and reduce adverse safety, health, and environmental impacts of the product throughout its life cycle, including financing and collecting, transporting, processing, recycling, and final disposition of mercury-containing lights.

"Product stewardship plan" or "plan" means a detailed plan describing the manner in which a product stewardship program will be implemented for collecting, transporting, processing, and recycling mercury-containing lights that is approved by the department and developed and implemented by a producer, group of producers, or a stewardship organization.

"Product stewardship program" or "program" means the methods, systems, and services financed in the manner provided for under RCW 70.275.050 and provided by producers of mercury-containing lights generated by covered entities that addresses product stewardship and includes arranging for the collection, transportation, processing, recycling, and final disposition of unwanted mercury-containing lights generated by covered entities, including orphan products.

"Recovery" means the collection and transportation of unwanted mercury-containing lights under this chapter.

"Recycling" means transforming or remanufacturing mercury-containing lights into usable or marketable materials for use other than landfill disposal or incineration. Recycling does not include energy recovery or energy generation by means of combusting unwanted products with or without other waste.

"Reporting period" means the period commencing January 1st and ending December 31st in the same calendar year.

"Residuals" means nonrecyclable materials left over from processing an unwanted product.

"Retailer" means a person that offers mercury-containing lights for sale at retail through any means including, but not limited to, remote offerings such as sales outlets, catalogs, or the internet, but does not include a sale that is a wholesale transaction with a distributor or a retailer.

"Reuse" means a change in ownership of a mercury-containing light or its components, parts, packaging, or shipping materials for use in the same manner and purpose for which it was originally purchased, or for use again, as in shipping materials, by the generator of the shipping materials. Reuse does not include dismantling of products for the purpose of recycling.

"Rural" means areas without commercial centers or areas with widely dispersed population.

"Service providers" means collectors, transporters, and processors participating in a stewardship program.

"Stakeholder" means a person that may have an interest in or be affected by a product stewardship program.

"Stewardship organization" or "organization" means a producer or group of producers that operate a product stewardship program, an organization designated by a producer or group of producers to act as the agent on behalf of each producer to operate a product stewardship program.

"Transboundary" means crossing a provincial, territorial, or national boundary or border.

"Transporter" means an entity that transports mercury-containing lights from collection sites, accumulation points, or collection services to processors or other locations for the purpose of recycling, but does not include any entity or person that hauls their own mercury-containing lights.

"Unwanted product" means a mercury-containing light no longer wanted by its owner or that has been abandoned, discarded, or is intended to be discarded by its owner.

"Wholesale" means buying and selling goods, generally in original packages, on a large scale in parcels, usually from a manufacturer to a retail, commercial, or industrial client.

(1) Every producer of mercury-containing lights sold in or into Washington state for retail sale in Washington state must participate in a product stewardship program for those products, operated by a stewardship organization and financed in the manner provided by WAC 173-910-310 (3) through (7). Every such producer must inform the department of the producer's participation in a product stewardship program by including the producer's name in a plan submitted to the department by a stewardship organization as required by WAC 173-910-410, 173-910-420, 173-910-430, and 173-910-440. Producers must satisfy these participation obligations individually or may do so jointly with other producers.

(2) No sooner than January 1, 2015:

(a) The mercury-containing light environmental handling charge must be added to the purchase price of all mercury-containing lights sold to Washington state retailers for sale at retail, and each Washington state retailer must add the charge to the purchase price of all mercury-containing lights sold at retail in Washington state, and the producer must remit the environmental handling charge to the stewardship organization in the manner provided for in the stewardship plan; or

(b) Each Washington state retailer must add the mercury-containing light environmental handling charge to the purchase price of all mercury-containing lights sold at retail in Washington state, where the retailer, by voluntary binding agreement with the producer, arranges to remit the environmental handling charge to the stewardship organization on behalf of the producer in the manner provided for in the stewardship plan. Producers may not require retailers to opt for this provision via contract, marketing practice, or any other means. The stewardship organization must allow retailers to retain a portion of the environmental handling charge as reimbursement for any costs associated with the collection and remittance of the charge.

(3) The stewardship organization must pay all administrative and operational costs associated with the plan in which they participate, except for the collection costs associated with curbside and mail-back collection programs. For curbside and mail-back programs, a stewardship organization must finance the costs of transporting and processing mercury-containing lights from the point of accumulation. For collection locations, including household hazardous waste facilities, charities, retailers, government recycling sites, or other suitable locations, a stewardship organization must finance the costs of collection, transportation, and processing of mercury-containing lights collected at the collection locations. The stewardship organization's administrative and operational costs are not required to include a collection location's cost of receiving, accumulating and storing, and packaging mercury-containing lights.

(4) The producer must satisfy the following requirements:

(a) Meet its financial obligations to the plan;

(b) Comply with producers' requirements as described in the plan;

(c) Participate in a fully implemented plan; and

(d) Take actions required to correct violations.

(1) There are three types of producer violations:

(a) Participation violation for not participating in an approved product stewardship plan.

(b) Implementation violation for not implementing an approved product stewardship plan.

(c) Plan/report violation for not submitting a product stewardship plan, plan update, or annual report.

(2) Department issued warning letters will:

(a) Be issued for any of the three producer violations, except that a penalty will be issued for a first implementation violation concurrent with a warning letter.

(b) Be sent to the producer by certified mail.

(c) Include a copy of the requirements to let the producer know what they must do to be in compliance with this chapter.

(d) Include the time period within which the producer must be in compliance in order to not incur a penalty.

(1) Participation penalties apply to producers not participating in an approved product stewardship plan.

(a) Producers selling mercury-containing lights in or into the state for sale at retail that are not participating in an approved product stewardship plan will receive a warning letter, or first violation notice, to participate in an approved plan within sixty days or incur penalties. The warning letter will include compliance requirements and notification that the requirements must be met within sixty days.

(b) Producers not participating in an approved product stewardship plan that continue to sell mercury-containing lights in or into the state for sale at retail sixty days after receiving the warning letter will receive a penalty, or second violation notice, of up to one thousand dollars for each violation; a violation is one day of noncompliance.

(c) Penalties will be reduced by fifty percent if the producer meets the compliance requirements within thirty days of the second violation notice.

(d) Producers that continue to not participate in an approved product stewardship plan will receive penalties of up to one thousand dollars per day of noncompliance starting from the date of the second violation notice. This penalty will be issued after each subsequent period of sixty days of noncompliance.

(2) Implementation penalties apply to producers that fail to implement their approved product stewardship plan.

(a) Producers not implementing an approved product stewardship plan will receive a penalty for the first violation of up to five thousand dollars, plus a warning letter to implement its approved plan within thirty days or incur additional penalties. The warning letter will include compliance requirements and notification that the requirements must be met within thirty days.

(b) Producers that fail to implement their product stewardship plan will receive a penalty, or second violation notice, of up to ten thousand dollars for the thirty days of noncompliance.

(c) Penalties will be reduced by fifty percent if the producer meets the compliance requirements within thirty days of the second violation notice.

(d) Producers that continue to fail to implement their product stewardship plan will receive penalties of up to ten thousand dollars for each subsequent thirty days of noncompliance.

(3) Plan/report penalties apply to producers that fail to submit a product stewardship plan, plan update, or change the plan when required, or fail to submit an annual report.

(a) Producers not submitting the plan, plan update, or annual report will receive a warning letter, or first violation notice, to submit the plan or report within sixty days or incur penalties. The warning letter will include compliance requirements and notification that the requirements must be met within sixty days.

(b) Producers that fail to submit the plan, plan update, or annual report will receive a penalty, or second violation notice, of up to ten thousand dollars for each violation; a violation is one day of noncompliance starting with the first day of notice of noncompliance.

(c) Penalties will be reduced by fifty percent if the producer meets the compliance requirements within thirty days of the second violation notice.

(d) Producers that continue to fail to submit the plan, plan update, or annual report will receive penalties of up to ten thousand dollars per day issued after each subsequent period of thirty days of noncompliance.

(4) The department will deposit all penalties collected under this section into the mercury-containing lights recycling account created under chapter 70.275 RCW.

(5) To correct a violation the producer must:

(a) Meet the compliance requirements in the warning or penalty letter from the department; and

(b) Pay any penalties due to the department.

(6) Penalties applied to the stewardship organization in WAC 173-910-340 for the same violation will not be applied to producers.

(7) Penalties may be appealed to the pollution control hearings board, pursuant to chapter 43.21B RCW.

(1) A stewardship organization will implement a department-approved plan.

(2) Stewardship organizations will: Estimate the total program cost for the coming year, including the department's annual fee for all participating producers;

(3) Each stewardship organization must recommend to the department an environmental handling charge to be added to the price of each mercury-containing light sold in or into the state of Washington for sale at retail. The environmental handling charge must be designed to provide revenue necessary and sufficient to cover all administrative and operational costs associated with the stewardship program described in the department-approved product stewardship plan for that organization, including the department's annual fee required by subsection (7) of this section, and a prudent reserve. The stewardship organization must consult with collectors, retailers, recyclers, and each of its participating producers in developing its recommended environmental handling charge. The environmental handling charge may, but is not required to, vary by the type of mercury-containing light. In developing its recommended environmental handling charge, the stewardship organization must take into consideration and report to the department:

(a) The anticipated number of mercury-containing lights that will be sold to covered entities in the state at retail during the relevant period;

(b) The number of unwanted mercury-containing lights delivered from covered entities expected to be recycled during the relevant period;

(c) The operational costs of the stewardship organization as described in WAC 173-910-310(11);

(d) The administrative costs of the stewardship organization including the department's annual fee, described in subsection (7) of this section; and

(e) The cost of other stewardship program elements including public outreach.

(4) The department will review, adjust if necessary, and approve the stewardship organization's recommended environmental handling charge within sixty days of submittal. In making its determination, the department shall review the product stewardship plan and may consult with the producers, the stewardship organization, retailers, collectors, recyclers, and other entities.

(5) No sooner than January 1, 2015:

(a) The mercury-containing light environmental handling charge must be added to the purchase price of all mercury-containing lights sold to Washington state retailers for sale at retail, and each Washington state retailer must add the charge to the purchase price of all mercury-containing lights sold at retail in Washington state, and the producer must remit the environmental handling charge to the stewardship organization in the manner provided for in the stewardship plan; or

(b) Each Washington state retailer must add the mercury-containing light environmental handling charge to the purchase price of all mercury-containing lights sold at retail in Washington state, where the retailer, by voluntary binding agreement with the producer, arranges to remit the environmental handling charge to the stewardship organization on behalf of the producer in the manner provided for in the stewardship plan. Producers may not require retailers to opt for this provision via contract, marketing practice, or any other means. The stewardship organization must allow retailers to retain a portion of the environmental handling charge as reimbursement for any costs associated with the collection and remittance of the charge.

(6) At any time, a stewardship organization may submit to the department a recommendation for an adjusted environmental handling charge for the department's review, adjustment, if necessary, and approval under subsection (3) of this section to ensure that there is sufficient revenue to fund the cost of the program, current deficits, or projected needed reserves for the next year. The department must review the stewardship organization's recommended environmental handling charge and must adjust or approve the recommended charge within thirty days of submittal if the department determines that the charge is reasonably designed to meet the criteria described in subsection (1) of this section.

(7) Beginning March 1, 2015, and each year thereafter, each stewardship organization must pay to the department an annual fee equivalent to five thousand dollars for each participating producer to cover the department's administrative and enforcement costs. The amount paid under this section will be deposited into the product stewardship programs account created in RCW 70.275.130.

(8) Stewardship organizations for a plan must begin implementation of the plan no later than January 1st of the calendar year following approval of the plan by the department.

(9) Stewardship organizations must implement the approved plan. Updates to the plan will follow the process outlined in WAC 173-910-460.

(10) Stewardship organizations, as agents of their participating producers, are required to:

(a) Annually register producers, collectors, transporters, and processing facilities participating in the stewardship plan and report this information to the department.

(i) Registration includes documentation that each producer, collector, transporter, and processing facility is meeting the requirements of this chapter.

(ii) Provide regular updates to the department for producers, collectors, transporters, and processing facilities participating in the plan.

(b) Submit a product stewardship plan and required plan updates to the department as required in WAC 173-910-440.

(c) Annually report to the department as required in WAC 173-910-430.

(d) Monitor the compliance of all parties participating in the stewardship plan and report compliance issues to the department.

(e) Finance all administrative and operational costs associated with their program, including collection, transport, and processing of mercury-containing lights and the department's annual fee for all participating producers.

(f) Finance the costs of transporting and processing mercury-containing lights from accumulation points for curbside and mail-back collection programs.

(11) A stewardship organization operating a product stewardship program must pay all administrative and operational costs associated with its program with revenues received from the environmental handling charge described in WAC 173-910-310(3). The stewardship organization's administrative and operational costs are not required to include a collection location's cost of receiving, accumulating and storing, and packaging mercury-containing lights. However, a stewardship organization may offer incentives or payments to collectors. The stewardship organization's administrative and operational costs do not include the collection costs associated with curbside and mail-back collection programs.

(12) Stewardship organizations must collaborate with state government, local governments, electric utilities, retailers, collectors, transporters, processing facilities, and citizens in the development and implementation of public education, outreach, and marketing efforts. Education and outreach efforts include, but are not limited to:

(a) Development of a program website and social media services;

(b) Product stewardship programs must promote the safe handling and recycling of mercury-containing lights to the public, including producing and offering point of sale educational materials, like posters and brochures, to retailers of mercury-containing lights and point of return educational materials to collection locations.

(c) Publishing media releases in print, radio, and television.

(13) All mercury-containing lights collected by a product stewardship program or other collection programs must be recycled.

(14) If the department determines a stewardship organization is out of compliance with the requirements of the plan, the department will document each violation and follow the procedures in WAC 173-910-330 and 173-910-340.

(15) Stewardship organizations submitting information to the department may request confidential treatment under RCW 43.21A.160.

(1) Stewardship organizations must work with the department, local government officials, retailers, electric utilities, and citizens to establish a convenient collection system for covered entities to deliver their mercury-containing lights into the program.

(a) Product stewardship programs must collect unwanted mercury-containing lights delivered from covered entities for recycling, processing, or final disposition, and not charge a fee when lights are dropped off or delivered into the program.

(b) The stewardship organization must arrange for collection service at locations described in subsection (2) of this section, which may include household hazardous waste facilities, charities, retailers, government recycling sites, or other suitable private locations. No such entity is required to provide collection services at their location. For curbside and mail-back programs, a stewardship organization must pay the costs of transporting mercury-containing lights from accumulation points and for processing mercury-containing lights collected by curbside and mail-back programs.

(c) For collection locations, including household hazardous waste facilities, charities, retailers, government recycling sites, or other suitable private locations, a stewardship organization must pay the costs of packaging and shipping materials as required under WAC 173-910-520(7), or must compensate collectors for the costs of those materials, and must pay the costs of transportation and processing of mercury-containing lights collected from the collection locations.

(2) Convenient collection service will:

(a) County: Provide collection services for mercury-containing lights for each county of the state;

(b) City: Provide additional collection services in each city or town with a population greater than ten thousand; and

(c) Rural: Consult with rural counties that do not have logical in-county collection sites to provide convenient alternative arrangements.

(3) This system may provide collection through:

(a) The nearest commercial centers, solid waste sites, retail businesses, household hazardous waste, or other facilities;

(b) Collection events;

(c) Curbside collection, a premium service;

(d) Mail-back service, a premium service; or

(e) A combination of these options.

(4) Stewardship organizations must register collectors and provide updated collector information to the department, including:

(a) Contact information, including site name, operator name, physical address, telephone number, and hours of operation;

(b) Identify prospective collection sites not approved to participate in the program. Provide copies to the department of all written correspondence related to prospective collection sites that were not approved. Notify the department, within five days of denial of a prospective collection site, including the reason for denial.

(5) Each collection site or service must accept up to ten mercury-containing lights on any given day from covered entities at no charge, except for premium services, when lights are dropped off or delivered. Only premium services, such as curbside collection, can accept up to fifteen mercury-containing lights on any given day from covered entities.

(6) Each collection site or service must:

(a) Comply with WAC 173-303-573 as small quantity handlers of universal waste for lamps;

(b) Collect and store mercury-containing lights in a structurally sound container that, when sealed, is designed to prevent the escape of mercury into the environment by volatilization or any other means;

(c) Have a spill and release response plan that describes the materials, equipment, and procedures that will be used to respond to any mercury release from a mercury-containing light; and

(d) Have a worker safety plan that describes the handling of the mercury-containing lights at the collection location and the measures that will be taken to protect worker health and safety.

(7) All mercury-containing lights collected by a product stewardship program must be recycled.

(1) There are two types of stewardship organization violations:

(a) Implementation violation for not implementing an approved product stewardship plan.

(b) Plan/report violation for not submitting a product stewardship plan, plan update or annual report.

(2) Department issued warning letters will:

(a) Be issued for either of the two stewardship organization violations, except that a penalty may be issued for a first implementation violation concurrent with a warning letter.

(b) Be sent to the stewardship organization by certified mail.

(c) Include a copy of the requirements to let the stewardship organization know what they must do to be in compliance with this chapter.

(d) Include the time period within which the stewardship organization must be in compliance in order to not incur a penalty.

(1) Stewardship organizations that fail to implement their program or submit a plan, updated plan, or annual report, or that fail to comply with a warning letter, will receive penalties in the amounts provided in WAC 173-910-230 multiplied by the number of producers participating in the stewardship organization.

(2) The department will deposit all penalties collected under this section into the mercury-containing lights recycling account created under chapter 70.275 RCW.

(3) To correct a violation the stewardship organization must:

(a) Meet the requirements in the warning or penalty letter from the department; and

(b) Pay any penalties due to the department.

(4) If the stewardship organization, as the agent of its member producers, does not pay the penalties issued against it when due to the department, each participating producer will be responsible for its share of the total penalties.

(5) Penalties applied to the producers in WAC 173-910-230 for the same violation will not also be applied to stewardship organizations.

(6) Penalties may be appealed to the pollution control hearings board, pursuant to chapter 43.21B RCW.

(1) On June 1st of the year prior to initial implementation, each producer must ensure that a stewardship organization submits a proposed product stewardship plan on the producer's behalf to the department for approval. Plans approved by the department must be implemented by January 1st of the following calendar year. See WAC 173-910-420 for plan content.

(2) Product stewardship plans must provide a program for the collection, transportation, and processing of mercury-containing lights from covered entities in Washington state.

(3) The product stewardship plan must meet the content requirements of WAC 173-910-420.

(4) Prior to implementation, the plan must be approved by the department.

(5) Stewardship organizations must be authorized to submit and implement the plan for each participating producer.

Product stewardship plans must contain the following information:

(1) Overall plan requirements: The plan must include:

(a) Names and contact information for all participating producers, including names of brands or brand labels used by specific producers;

(b) The number of mercury-containing lights sold annually in or into the state by producers participating in the plan;

(c) The types of mercury-containing lights that the program will accept; and

(d) Details on the management and organization of the stewardship organization.

(2) Description of the financing system: The plan must include a description of how the program will be funded by the producers and how compensation is paid to collectors, transporters, and processing facilities for all services provided to a plan and that payments to service providers will be made within an appropriate period of time from date of shipment or other time frame defined in contractual arrangements. Stewardship organizations will:

(a) Provide confirmation that revenues and expenditures applicable to this program will be allocated in accordance with generally accepted accounting principles (GAAP).

(b) Commit to providing an annual financial audit of the stewardship organization conducted by an independent certified public accountant.

(3) Use of Washington state businesses: The plan must explain how it seeks to use businesses within the state, including utilities, retailers, charities, household hazardous waste facilities, processing facilities, recycling facilities, and collection and transportation services for implementation of the plan including existing curbside collection services and existing mail-back services for implementation of the plan.

(4) Plan goals: The plan will provide goals for the collection of mercury-containing lights for five years of operation, including:

(a) Total number of mercury-containing lights sold in or into the state;

(b) An estimate of the amount of mercury-containing lights available for collection from covered entities; and

(c) Annual program goals for collection of mercury-containing lights from covered entities for the next five years.

(5) Collectors: The plan must include the following information about collectors participating in the plan:

(a) The type of collection services in the plan, including curbside collection activities, household hazardous waste facilities, drop-off locations, collection events, and accumulation points for curbside or mail-back collection;

(b) Registration information for collectors participating in the plan as required in WAC 173-910-520(1), including accumulation points used for curbside or mail-back collection;

(c) A written statement from each collector ensuring that the collector will comply with the requirements in WAC 173-910-520;

(d) A statement that collection sites will be:

(i) Staffed during operating hours; and

(ii) Open during regularly scheduled hours and on an ongoing basis.

(e) A description of the consideration given to existing residential curbside collection infrastructure and mail-back systems as appropriate collection mechanisms;

(f) A statement identifying how quickly collection containers will be provided once containers reach capacity;

(g) A description of the communication and outreach process to answer questions, provide supplies, or provide technical assistance to collectors;

(h) A description of the technical assistance to be provided to collection sites, including written instructions on how to participate in the program and how to appropriately handle and store mercury-containing lights;

(i) A description of the packaging and shipping materials that will be used when collecting, accumulating, storing, and transporting mercury-containing lights to minimize the release of mercury into the environment and to minimize breakage; and

(j) Drafts of spill and release response plan and worker safety plan required in WAC 173-910-520.

(6) Transporters: The plan must include information about transporters participating in the plan, including:

(a) Registration information for transporters participating in the plan, including names, addresses, and contact information.

(b) A written statement from each transporter ensuring that the transporter will comply with the requirements in WAC 173-910-530.

(7) Processing facilities: The plan must include information about processing facilities participating in the plan, including:

(a) Registration information for processors participating in the plan, including names, addresses, contact information and hours of operation;

(b) A description of the methods used to process mercury-containing lights at each processing facility in the program; and

(c) Compliance audit reports for each processing facility participating in the plan completed by a qualified third party. The compliance audit will research, review, and report on the following:

(i) Compliance with all federal, state, and local requirements and, if it exports, those of all transit and recipient countries that are applicable to the operations and transactions in which it engages related to the processing of mercury-containing lights, components, parts, and materials and disposal of residuals. These include, but are not limited to, applicable legal requirements relating to:

(A) Waste and recyclables processing, storage, handling, and shipping;

(B) Air emissions and waste water discharge, including stormwater discharges;

(C) Worker health and safety; and

(D) Transboundary movement of mercury-containing lights, components, materials, waste, or scrap for reuse, recycling, or disposal.

(ii) Information on financial penalties, regulatory orders, or violations the processing facility received in the previous three years; and

(iii) Any other information requested by the department.

(8) Recordkeeping: The plan must include procedures for how the stewardship organization will collect and maintain records to meet and demonstrate compliance with the recordkeeping requirements of this chapter. At a minimum, the stewardship organization will track the following information:

(a) Total number of mercury-containing lights sold in or into Washington state for all producers participating in the plan.

(b) The types of mercury-containing lights collected by the program.

(c) List of all collection sites and collection services, including curbside and mail back.

(d) Identification of transporters and processing facilities participating in the plan.

(e) Mercury-containing lights collected, transported, and processed for the plan, including:

(i) Total mercury-containing lights, by weight in pounds, collected from individual collection sites, collection services, curbside and mail back.

(ii) Final destination and quantities of lights processed and disposed.

(f) Education efforts for consumers, retailers, utilities, collectors, transporters, and processors, including assessments of the effectiveness of these efforts.

(g) Efforts to promote the mercury-containing lights collection program.

(9) Implementation timeline: The plan must include a timeline showing when each of the following will occur and a detailed description of each activity including, but not limited to:

(a) Start-up of the collection and processing efforts;

(b) Education efforts for consumers, retailers, collectors, transporters, and processors;

(c) Outreach efforts for the mercury-containing lights collection program; and

(d) Continual progress toward collection of spent mercury-containing lights.

(10) Education, public outreach, and marketing: A description of how the plan will meet the public education, outreach and marketing requirements, including:

(a) A description of how the public will be informed about the product stewardship program, including how consumers will be provided with information describing collection opportunities for unwanted mercury-containing lights from covered entities and safe handling of mercury-containing lights, waste prevention, and recycling. The description must also include information to make consumers aware that an environmental handling charge has been added to the purchase price of mercury-containing lights sold at retail to fund the mercury-containing light stewardship programs in the state. The environmental handling charge may not be described as a department recycling fee or charge at the point of retail sale;

(b) How it will provide information about where and how to deliver their mercury-containing lights to a product stewardship program collector at the end of the product's life;

(c) Providing a website and toll-free number that gives information about the product stewardship program in sufficient detail regarding how and where to drop off mercury-containing lights into the product stewardship program, and collaborating with the department to provide information necessary to keep the 1-800-RECYCLE online database up to date;

(d) Describing the outreach method or methods used;

(e) How it will ensure outreach to the public throughout the state;

(f) How it will provide outreach materials for educating the public to all collectors used by the plan;

(g) Explaining how the plan will coordinate education, public outreach, and marketing with other approved product stewardship plans;

(h) Explaining how the plan will coordinate on education, public outreach, and marketing with retailers, distributors, wholesalers, and electric utilities; and

(i) Explain the public review process implemented by the stewardship organization, the public comments received by the stewardship organization, and how the stewardship organization addressed those comments.

(11) Other information deemed necessary by the department to determine compliance with this chapter.

(12) Producers submitting information to the department may request confidential treatment under RCW 43.21A.160.

(1) By June 1, 2016, and each June 1st thereafter, each stewardship organization must submit an annual report to the department describing the results of implementing the stewardship organization's plan for the prior calendar year, including an independent financial audit. The department may adopt rules for reporting requirements. Financial information included in the annual report must include, but is not limited to:

(a) The amount of the environmental handling charge assessed on mercury-containing lights and the revenue generated;

(b) Identification of confidential information pursuant to RCW 43.21A.160 submitted in the annual report; and

(c) The cost of the mercury-containing lights product stewardship program, including line item costs for:

(i) Program operations;

(ii) Communications, including media, printing and fulfillment, public relations, and other education and outreach projects;

(iii) Administration, including administrative personnel costs, travel, compliance and auditing, legal services, banking services, insurance, and other administrative services and supplies, and stewardship organization corporate expenses; and

(iv) Amount of unallocated reserve funds.

(2) Beginning in 2023 every stewardship organization must include in its annual report an analysis of the percent of total sales of lights sold at retail to covered entities in Washington that mercury-containing lights constitute, the estimated number of mercury-containing lights in use by covered entities in the state, and the projected number of unwanted mercury-containing lights to be recycled in future years.

(3) All plans and reports submitted to the department must be made available for public review, excluding sections determined to be confidential pursuant to RCW 43.21A.160, on the department's website and at the department's headquarters.

(4) Contact information: Identify the stewardship organization and the producers participating in the program, including any updated contact information. The list of producer brands sold in or into the state. The total number of mercury-containing lights sold in or into the state by participating producers in the previous year.

(5) Executive summary: Provide a description of the mercury-containing lights collection and recycling efforts during the reporting period. Include anticipated steps, if needed, to improve performance and a description of challenges encountered during the reporting period and how they will be addressed.

(6) Program description: Summarize the mercury-containing lights product stewardship program, providing details on the collection, transport, and recycling of mercury-containing lights.

(7) Program goals: State the goals from the plan, the baseline from which goals were measured, and report on achievement during the reporting period, including:

(a) Describe any adjustments to goals stated in the approved stewardship plan for the upcoming reporting period and accompanying rationale for those changes.

(b) Describe how the program met its goal for the collection of unwanted mercury-containing lights and, if not, what changes have been made or will be made in the next year to meet its goal.

(c) Identify the total mercury-containing lights, by weight in pounds, collected for the preceding program year including documentation verifying collection and processing of that material, including mercury-containing lights collected, reported by county.

(8) Collection system: Names, locations, contact information for collection sites and services operating in the state in the prior program year and the parties who operated them:

(a) In each county;

(b) For each city with a population greater than ten thousand;

(c) For collection events, curbside collection, or mail-back services; and

(d) Total mercury-containing lights, by weight in pounds, received from each collector.

(9) Processing facility information: Identify all processing facilities used, including the name, address, and contact information by providing the following:

(a) Total program mercury-containing lights, by weight in pounds, received by each processing facility;

(b) A description of the methods used by each processing facility to process the mercury-containing lights;

(c) Compliance audit reports for each processing facility participating in the plan completed by a qualified third party. The compliance audit will research, review, and report on the following:

(i) Compliance with all federal, state, and local requirements and, if it exports, those of all transit and recipient countries that are applicable to the operations and transactions in which it engages related to the processing of mercury-containing lights, components, parts, and materials and disposal of residuals. These include, but are not limited to, applicable legal requirements relating to:

(A) Waste and recyclables processing, storage, handling, and shipping;

(B) Air emissions and waste water discharge, including stormwater discharges;

(C) Worker health and safety; and

(D) Transboundary movement of mercury-containing lights, components, materials, waste, or scrap for reuse, recycling, or disposal.

(ii) Information on financial penalties, regulatory orders, or violations the processing facility received in the previous three years; and

(iii) Any other information requested by the department.

(10) Education and outreach: Efforts that were undertaken by the stewardship organization regarding how and where to drop off mercury-containing lights into the product stewardship program. Include an assessment of the effectiveness of these efforts and changes to be implemented in the next year.

(11) Financial report: Financial audit reports for the stewardship organization completed by a qualified third party.

(12) Other information deemed necessary by the department to determine compliance with this chapter.

(13) Stewardship organizations submitting information to the department may request confidential treatment under RCW 43.21A.160.

(1) Plans must include the plan content requirements in WAC 173-910-420.

(a) New product stewardship plans must be submitted by June 1st for implementation in the following calendar year.

(b) The first update of an approved product stewardship plan is required two years after approval and implementation, by July 1st of the second year of implementation.

(c) Second and subsequent updates of an approved product stewardship plan are required every four years, by July 1st of each subsequent third year of implementation.

(d) The department will post product stewardship plans and updates on the department's website for public review. The department will provide public review comments to the stewardship organization.

(2) Annual reports must include the content requirements in WAC 173-910-430.

(a) Annual reports must be submitted by June 1st for the prior calendar year.

(b) The department may request additional information or clarification during the review of annual reports. If the department determines that additional information is needed, the stewardship organization must submit the additional information to the department within sixty days of receipt of the notice.

(c) The department will post annual reports on the department's website for public review.

(3) Stewardship organizations must submit one electronic copy of their plan, update, or report to the department. The plan, update, or annual report must be submitted to the Waste 2 Resources Program at the department's headquarters office.

(4) Stewardship organizations submitting information to the department may request confidential treatment under RCW 43.21A.160.

(5) The department may request a hard copy version of the plan or report.

(1) The department will post stewardship plans on the department's website to allow public review and comment.

(2) Within ninety days after receipt of a complete plan, the department will determine whether the plan complies with this chapter.

(3) The department will determine if the plan is:

(a) Approved. If approved, the department will send a letter of approval to the stewardship organization via certified mail. The approval letter will include an expiration date for the plan, either after two years, for initial plans, or four years, for updated plans, from approval.

(b) Disapproved. If disapproved, the department will send a letter of disapproval to the stewardship organization via certified mail. The disapproval letter will provide the department's reasons for not approving the plan.

(i) The stewardship organization must submit a new or revised plan within sixty days after receipt of the disapproval letter.

(ii) The department will have an additional sixty days to review the new or revised plan.

(4) The department will consider the following when reviewing a plan for approval:

(a) The plan met the submittal dates;

(b) The plan meets all the requirements in this chapter and provides descriptive information sufficient to allow the department to determine that the implementation of the plan will be in compliance with this chapter;

(c) When reviewing a plan for service level, the department may contact the local governments or communities identified in the plan; and

(d) The plan, when implemented, would meet or exceed required collection service levels (see WAC 173-910-320).

(5) The department may request additional information or clarification during the review of a plan. If the department determines that additional information is needed, the stewardship organization must submit the additional information to the department within sixty days of receipt of the notice.

(6) Stewardship organizations may request portions of the plan be exempted from public disclosure in accordance with RCW 42.56.270.

(1) Stewardship organizations operating a product stewardship program must update product stewardship plans by July 1st for the upcoming implementation calendar year and submit the updated plan to the department for review and approval.

(2) Plan updates are required two years after start up, once every four years thereafter, or as needed due to program changes. Examples of program changes that could require an unscheduled plan update include:

(a) Addition or deletion of producers;

(b) Significant changes in collection service;

(c) Revision of the plan goals or schedule; or

(d) Change in processors used by the plan.

(3) Failure to provide service means implementation of the plan fails to do any of the following:

(a) Provide service in each county in the state;

(b) Provide service in each city or town with a population of ten thousand or greater; or

(c) Meet other plan requirements.

(4) Failure to provide service is a stewardship organization implementation violation. The department will document the violation and follow the procedures in WAC 173-910-330 and 173-910-340.

(1) Beginning January 1, 2013, service providers participating in a mercury-containing lights product stewardship program approved by the department must comply with the requirements of this chapter.

(2) Service providers participating in the stewardship program that must comply with these requirements include collectors, transporters, and processing facilities.

(1) Collectors participating in a product stewardship program including, but not limited to, collection sites, curbside services, mail-back services, accumulation points, and collection events, must register with the stewardship organization. Collector registration information must include:

(a) The legal name of the person owning and operating the collection location;

(b) The address of the collection location;

(c) The phone number of the collection location;

(d) The name, address, and phone number of the individual responsible for operating the collection location; and

(e) Updates of any changes in this information within thirty days of the change.

(2) Mercury-containing lights collected for a plan must be collected free of charge except for premium services.

(3) Mercury-containing lights premium services provide collection and transport of mercury-containing lights from point of collection to product stewardship program accumulation points. For premium services participating in the product stewardship program, the stewardship organization must pay the cost of transporting mercury-containing lights from accumulation points to the processing facility and the cost of processing the mercury-containing lights. Premium services include, but are not limited to:

(a) Curbside collection of mercury-containing lights, which may include additional fees to cover the costs not paid by the product stewardship program.

(b) Mail-back collection of mercury-containing lights, which may include additional fees to cover the costs not paid by the product stewardship program.

(4) Collectors participating in a product stewardship program may include collection events that:

(a) Service rural communities that do not have a continually staffed collection site;

(b) Are registered with the stewardship organization; and

(c) Meet the requirements of this section.

(5) Collectors of mercury-containing lights will not process the collected lights unless they also meet the processing facility requirements in WAC 173-910-540.

(6) Collectors must comply with WAC 173-303-573 as small quantity handlers of universal waste as well as all other applicable laws, rules, and local ordinances.

(7) When providing collection services for a plan, each collector, including collection sites, curbside collection, mail-back service, accumulation points, and collection events must:

(a) Staff the site during operating hours;

(b) Notify the stewardship organization of changes in hours and days of operation;

(c) Handle mercury-containing lights in a way that prevents releases of mercury to the environment;

(d) Have a spill and release response plan that describes the materials, equipment, and procedures that will be used to respond to any mercury release from a mercury-containing light;

(e) Have a worker safety plan that describes the handling of the mercury-containing lights at the collection location and the measures that will be taken to protect worker health and safety;

(f) Use packaging and shipping material that will minimize the release of mercury into the environment by volatilization or any other means and minimize breakage and use mercury vapor barrier packaging as defined in RCW 70.275.020(10) if mercury lights are transported by the United States Postal Service or a common carrier; and

(g) Submit all mercury-containing lights collected from covered entities to a department-approved product stewardship program.

(8) A collector must allow the department access for inspections to determine compliance with the requirements in this chapter.

(9) No entity may claim to be collecting mercury-containing lights for a plan unless the entity is registered with the stewardship organization as a collector and submits all collected mercury-containing lights to the transporters and processors identified in the plan.

(10) Any collector found to be out of compliance with this section or the requirements of the plan will not be allowed to participate in the program.

(1) All transporters of mercury-containing lights must comply with all applicable laws, rules, and local ordinances.

(2) Transporters participating in a product stewardship program must register with the stewardship organization as required in WAC 173-910-310 of this chapter.

(3) Transporters must allow access to the department for purposes of ensuring compliance with this chapter.

(4) Transporters must deliver mercury-containing lights for recycling to processing facilities participating in the product stewardship plan.

(5) Any transporter found to be out of compliance with this section or the requirements of the plan will not be allowed to participate in the program.

(1) Processing facilities must operate their facility in a way that protects human health and the environment.

(2) Processing facilities must comply with all federal, state, and local requirements and, if it exports, those of all transit and recipient countries that are applicable to the operations and transactions in which it engages related to the processing and disposal of mercury-containing lights, parts of the mercury-containing lights, or mercury from the mercury-containing lights. These include, but are not limited to, applicable legal requirements relating to:

(a) Waste and recyclables processing, storage, handling, and shipping;

(b) Air emissions and waste water discharge, including stormwater discharges;

(c) Worker health and safety; and

(d) Transboundary movement of materials, waste, or scrap for recycling or disposal.

(3) Processing facilities must be open and transparent concerning compliance with all federal, state, and local requirements. Upon request by the department, person, or individual, a processing facility must make information available about any financial penalties, regulatory orders, or violations received in the previous three years. If the processing facility receives subsequent penalties or regulatory orders, the processing facility must make that information available to the requestor within sixty days after any subsequent penalties or regulatory orders are issued.

(4) Processing facilities participating in a product stewardship program must register with the stewardship organization as required in WAC 173-910-310.

(5) Processing facilities must allow access to the department for purposes of ensuring compliance with this chapter.

(6) Processing facilities may not use federal or state prison labor for processing mercury-containing lights.

(7) Any processing facility found to be out of compliance with this section or the requirements of the plan will not be allowed to participate in the program.

(1) Retailers, wholesalers, distributors, electric utilities, or other persons that give away, offer for sale, or sell, including internet sales, mercury-containing lights in or into the state for sale at retail must comply with the requirements of this section.

(2) Beginning January 1, 2013, mercury-containing lights offered for sale or distributed in or into the state for sale at retail must be obtained from producers participating in a product stewardship plan approved by the department.

(a) The department will maintain a list of compliant producers on its website.

(b) Retailers, wholesalers, distributors, or electric utilities are required to regularly check this list of compliant producers to ensure sales and distribution of compliant product.

(3) Retailers, wholesalers, distributors, or electric utilities must only sell or offer for sale or distribute mercury-containing lights from compliant producers. Existing stock of mercury-containing lights in possession on January 1, 2013, may be sold or distributed even if the producer of the mercury-containing light is not in compliance.

(4) No sooner than January 1, 2015:

(a) The mercury-containing light environmental handling charge must be added to the purchase price of all mercury-containing lights sold to Washington state retailers for sale at retail, and each Washington state retailer must add the charge to the purchase price of all mercury-containing lights sold at retail in this state, and the producer must remit the environmental handling charge to the stewardship organization in the manner provided for in the stewardship plan; or

(b) Each Washington state retailer must add the mercury-containing light environmental handling charge to the purchase price of all mercury-containing lights sold at retail in this state, where the retailer, by voluntary binding agreement with the producer, arranges to remit the environmental handling charge to the stewardship organization on behalf of the producer in the manner provided for in the stewardship plan. Producers may not require retailers to opt for this provision via contract, marketing practice, or any other means. The stewardship organization must allow retailers to retain a portion of the environmental handling charge as reimbursement for any costs associated with the collection and remittance of this charge.

(5) After January 1, 2013, the department may inspect mercury-containing lights inventory offered for sale or distributed in or into Washington state to determine if the requirements in this chapter are met.

(6) Education and outreach: Retailers, wholesalers, distributors, or electric utilities that sell, offer for sale at retail or distribute mercury-containing lights at retail must work with stewardship organizations to:

(a) Ensure distribution of mercury-containing lights in or into Washington state is from producers participating in the product stewardship program; and

(b) Provide information to consumers and customers describing where and how to return mercury-containing lights to the product stewardship program and opportunities and locations for the convenient collection or return of the products at the point of sale. This outreach may include:

(i) Use of artwork in advertisements such as on flyers, shelf-tags, or brochures for this program.

(ii) The stewardship organization's toll-free telephone number and website.

(iii) Information about how to return mercury-containing lights to the product stewardship program in Washington state either in, on, or with the packaging.

(c) Provide information in a visible location on their website.

(1) A retailer, wholesaler, distributor, or electric utility is in violation of this chapter when selling or distributing mercury-containing lights from a noncompliant producer.

(2) A violation occurs for every day of noncompliance with the requirements.

(3) Department issued warning letters will:

(a) Be issued for violations.

(b) Be sent by certified mail.

(c) Include a copy of the requirements to let the recipient know what they must do to be in compliance with this chapter.

(d) Include the time period within which the recipient must be in compliance in order to avoid a penalty.

(1) Penalties apply when a retailer, wholesaler, distributor, or electric utility fails to come into compliance with this chapter.

(2) Failure to comply with the warning letter within sixty days will result in a penalty of up to five hundred dollars for each violation; a violation is one day of noncompliance.

This penalty will be waived if the distribution or sale of mercury-containing lights is discontinued within thirty days of the date the penalty was assessed.

(3) The department will deposit all penalties collected under this section into the mercury-containing lights recycling account created under chapter 70.275 RCW.

(4) To correct a violation the recipient must:

(a) Meet the requirements in the warning or penalty letter from the department; and

(b) Pay any penalties due to the department.

(5) Penalties may be appealed to the pollution control hearings board, pursuant to chapter 43.21B RCW.