Loading (50 kb)...'

(continued)





s 18655.9. What Happens If My Incentive Claim is Rejected?
The Board will notify the claimant within thirty (30) calendar days if an incentive claim is rejected and include the reasons for rejection. The claimant may resubmit a revised claim. If the Board denies payment of an incentive claim, the claimant may submit a written request for a Board hearing. Request for a hearing must be submitted within thirty (30) days of notification of rejection.

Note: Authority cited: Sections 40502 and 48641, Public Resources Code. Reference: Sections 48660 and 48680, Public Resources Code.





s 18656.0. How Long Will It Take for the Board to Process My Claim?
You can expect payment for your incentive claim within fifty (50) calendar days of the postmark date of your claim. The Board will process and forward your claim for payment to the State Controllers Office (SCO) within 35 days after the postmark date. If the Board finds cause to investigate any provisions of your claim this time period will be extended until resolution. The SCO will pay the claim within 15 calendar days of receipt of the claim from the Board.

Note: Authority cited: Sections 40502 and 48641, Public Resources Code. Reference: Sections 48651(a) and (b), and 48670, Public Resources Code. Section 926.17, Government Code.





s 18658.0. Scope and Applicability.
The regulations contained in this Chapter pertain to grants from the California Used Oil Recycling Fund (Fund) to local agencies for the implementation of used oil collection programs.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48613, 48690 and 48691, Public Resources Code.





s 18658.1. Programs Eligible for Funding.
(a) Used oil collection programs eligible for funding from the Fund shall provide for activities relating to the implementation of existing or new used oil collection programs. These programs shall meet either of the criteria listed below or a combination of the two based upon how many residents are served by each:
(1) Ensure that at least one certified used oil collection center is available for every 100,000 residents not served by curbside used oil collection. For example, one certified used oil collection center must be available for a program with 100,000 residents or less, and three must be available for a program serving 240,000 residents. The center shall accept used oil from the public at no charge. The center shall be open at least four days a week for a total of 20 hours of which three hours each week are outside the weekday hours of 8:00 a.m. through 5:30 p.m.
(2) Provide curbside collection at least once a month.
(b) Programs eligible for funding from the Fund shall include a public education program to inform the public of locally available used oil recycling opportunities.
(c) A local agency may implement its used oil collection program in conjunction with other similar programs in order to improve used oil recycling efficiency.
(d) A county or local agency whose program has not served a specific city or area within the county is not eligible to obtain the funds the city or area would have been eligible to receive.
(1) A county may not claim the service area of a city that provided a used oil collection program for the area if the city meets the following criteria:
(A) Was the sole sponsor of the used oil collection program for its respective jurisdiction or was part of a regional program of which the county was not a participant; and
(B) Notified the Board and the county in writing by August 31 of the grant year that it met the provisions of this section.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48613 and 48691, Public Resources Code.





s 18658.2. Grant Application Process.
(a) To apply for a block grant, an applicant must comply with the following:
(1) A local agency with an eligible program shall submit the documents specified in Section 18659.1 of this Chapter in order to apply for a grant award.
(2) An original and three (3) copies of the documents required shall be submitted to the California Integrated Waste Management Board, at its principal place of business in care of the Household Hazardous Waste Section. all materials submitted will become the property of the Board and will be retained for a minimum of three years.
(3) The required application documents must be received by the Board on or before the close of the application period specified in Section 18658.3 of this Chapter.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48653 and 48657, Public Resources Code.





s 18658.3. Grant Application Period.
Grant applications will be accepted beginning on the first business day of September until the end of the workday on the last business day of October. Applications received after the last business day in October will be returned to the applicants.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48653 and 48691, Public Resources Code.






s 18659.0. Grant Amount.
(a) As specified in Section 48653 of the Public Resources Code, grants will be given for the implementation of local used oil collection programs to cities, based on the city's population, and counties, based on the population of the unincorporated area of the county. Grants to regional programs will be based on the combined population of each city or unincorporated area which is a participant in the regional program.
(b) A local agency shall receive no more than one grant per year from the Fund. Local agencies can pool grant funds to implement regional used oil collection programs.
(c) All population statistics will be obtained through the most current annually revised Department of Finance Report on Population Estimates for California Cities and Counties, which is hereby incorporated by reference.
(d) The population of the unincorporated area in each county and population of each city will be used as a base number to determine the awarded grant amount. The Board will calculate the grant amount each applicant will receive.
(e) To determine the grant amount available to a local agency, the following formula will be used:
(1) Divide A, the total amount in the block grant account, by B, the population of the state, to calculate C, the fraction or per capita value.
A / B = C

(2) Multiply C, the per capita value, by D, the population of the local agency or regional program, to calculate E, the maximum grant amount the local agency is eligible to receive.
C x D = E


Note: Authority cited: Sections 48641, 48653 and 48690, Public Resources Code. Reference: Section 48613, Public Resources Code.





s 18659.1. Contents of the Grant Application.
(a) A local agency which is eligible for a grant award, pursuant to Section 18658.1 of this Chapter, shall submit to the Board a grant application. The grant application shall include, but not be limited to all of the following:
(1) An Application Cover Sheet, provided by the Board as form CIWMB 306 "Application Cover Sheet" (9/92), which is incorporated herein by reference. (See Appendix A.)
(2) A Program Report, which shall include:
(A) A description of the used oil collection program and the problem that the program is addressing;
(B) An explanation of the program's goals or objectives;
(C) Identification of the tasks necessary to complete the proposed program and an implementation schedule for the proposed tasks;
(D) If applicable, the geographic area to be serviced by a used oil curbside collection program;
(E) The local agency's population and the population served by the local agency's used oil collection program;
(F) The operation plan which describes how the program will be conducted. This may include, but is not limited to, frequency of pickup for a curbside collection program; days and hours of operation for a used oil collection center(s); type of equipment or facilities used; and method of used oil storage and disposal;
(G) A description of the proposed public education program to inform the public of locally available used oil recycling opportunities;
(H) A description of funding sources other than the grant from the Fund, which will be used for the program;
(I) Description of cooperative efforts between local government agencies and interested citizen associations and groups, if any, regarding implementation of the program; and
(J) If a program includes establishing a new used oil collection center(s) to meet the block grant eligibility requirements as specified in Section 48691 of the Public Resources Code, the report shall include a description of how the local agency will ensure the certification of the collection center at the earliest opportunity.
(3) A Budget Report consisting of the itemized costs of the program. This shall include, but is not limited to, the cost of staffing, used oil contractor fees, the cost of public education, public awareness and/or advertising costs, and any purchases of equipment or materials. The budget report shall also contain the source(s) of funding, fees collected, as well as the total cost of all used oil collection programs for which the request for a grant is being made.
(4) To apply for a grant as a regional program a signed copy(s) of the written agreement between the governing bodies involved authorizing the grant application to act on their behalf shall be included in the grant application.
(5) An approved resolution from each applicant's governing body authorizing submittal of the application and identifying the individual authorized to execute any agreements and contracts to carry out the program.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48613, 48690 and 48691, Public Resources Code.





s 18659.2. Review of Grant Application.
(a) Board staff shall review an application for a grant to verify that it is complete and satisfies the criteria contained within Section 18659.1 of this Chapter.
(b) Board staff may request additional information related to the grant application required pursuant to Section 18659.1 of this Chapter if the application is incomplete. The applicant will have a minimum of 10 (ten) working days, or an additional time period specified by the Board, to submit the requested information to the Board or will be disqualified from consideration for a grant.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48690 and 48691, Public Resources Code.





s 18659.3. Terms and Conditions of a Grant Agreement.
(a) The grant recipient and the Board shall enter into a written grant agreement which contains a description of the program, as approved, and which identifies and ensures compliance with the terms and conditions specified in this Section.
(b) The grant recipient shall obtain prior written approval from the Board, or its designated representative, for any changes to the grant agreement. All requests shall include a description of the proposed change(s) and the reason(s) for the change(s).
(c) The grant recipient shall submit an annual report to the Board, for the term of the grant agreement, on or before January 1 following receipt of the grant. The report shall include any amendments to the local used oil collection program; a description of the implementation of the program and the extent to which the program was successful in addressing the problem of illegal disposal of used oil; and a description of how the block grant for the previous year was expended if applicable. The report shall also include the following information:
(1) A description of the used oil collection center program and/or curbside collection program;
(2) An account of the number of participants in the program;
(3) The amount of used oil collected as a result of the used oil collection center or curbside collection program(s), whichever is applicable;
(4) A description of the public education efforts; and
(5) A description of measures taken by the local agency to continue the program.
(d) Grant recipients shall comply with all applicable federal, state and local laws, ordinances, regulations and permits. The recipient shall maintain certification of the used oil collection center(s) pursuant to Section 48660 of the Public Resources Code.
(e) If a program includes establishment of a new used oil collection center(s) or a new curbside collection program(s) to meet the block grant eligibility requirements as specified in Section 48691 of the Public Resources Code, up to fifty percent (50%) of the grant amount available to a local agency may be withheld until the new collection center(s) becomes certified or the new curbside collection program becomes operational.
(f) If during the term of the grant a collection center(s) used by a local agency to qualify for a block grant:
(1) Does not have an application(s) for certification on file with the Board; or
(2) The center's application(s) or reapplication(s) is denied; or
(3) The center's certification(s) is canceled;
Then the local agency may be required to return grant funds used for that center(s).
(g) If during the term of the grant a curbside collection program(s) used by a local agency to qualify for a block grant ceases to operate, the local agency may be required to return grant funds used for that program(s).

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48690, Public Resources Code.





s 18659.4. Payment of Grant Funds.
Block grant recipients will be awarded grant funds during January of each grant year.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Section 48690, Public Resources Code.





s 18659.5. Auditing.
(a) The Board, the State Controller's Office, and the State Auditor General's Office, or their designated representatives, shall have an absolute right of access to all of the grant recipient's records pertaining to a California Used Oil Recycling Block Grant.
(b) All local agencies receiving block grants from the Fund shall maintain an accounting system which utilizes generally accepted accounting principles and practices. In addition to accounting records, all source documents associated with the accounting records shall be maintained. Source documents include, but are not limited to, bid summaries, contracts with the grant recipient, change orders showing approval by a city or county engineer, purchase orders, invoices, paid warrants, time sheets, labor distribution reports and payroll registers.
(c) The accounting records and pertinent documents shall be retained by the grant recipient for at least three (3) years after expiration of the grant agreement, or until the completion of a Board action and/or resolution of issues which may arise as a result of any litigation, claim negotiation or audit.
(d) If an audit reveals that grant funds have been distributed for a program which has either not met the criteria of Section 18658.1 of this Chapter, and/or has not spent grant funds in accordance with the grant agreement, the grant recipient shall repay the money received, plus interest, at the rate the State would have earned on this money had it remained in the Fund. Such forfeitures shall revert to the Fund.
(e) The Board may terminate any grant in whole, or in part, at any time before the date of completion, whenever it is determined by the Board that the recipient has failed to comply with the terms or conditions of the grant agreement. The Board shall notify the recipient within five (5) working days, in writing, of the determination, the reasons for termination of the grant, and the effective date of termination.

Note: Authority cited: Section 48641, Public Resources Code. Reference: Sections 48613, 48674, 48690 and 48691, Public Resources Code.





s 18660.5. Definitions.
(a) For the purposes of this Chapter, the following shall apply:
(1) "Act" or "the Act" means the Electronic Waste Recycling Act of 2003 (Senate Bill 20, Chapter 526, Statutes of 2003), as amended.
(2) "Approved Collector" means an authorized collector as defined in Section 42463(b) of the Public Resources Code who applies to the CIWMB for approval and whose application is approved pursuant to this Chapter and therefore may be eligible for recovery payments from approved recyclers.
(3) "Approved Dual Entity" means an entity that is both an "approved collector" and an "approved recycler" as defined in this Section.
(4) "Approved Recycler" means a "covered electronic waste recycler" as defined in Section 42463(i) of the Public Resources Code who applies to the CIWMB for approval and whose application is approved pursuant to this Chapter and therefore may be eligible for recycling payments from the CIWMB.
(5) "Bare CRT" means a Cathode Ray Tube with the vacuum relieved and the yoke removed that has been separated from the device housing and has had all circuit boards, wiring and other components detached from the tube.
(6) "Bare Panel" means an LCD, gas plasma, or other non-CRT video display panel that has been separated from the device housing and has had all circuit boards, lamps, wiring and other components detached from the panel.
(7) "Board" means the California Integrated Waste Management Board, when these regulations refer to an official action that be taken by Board members.
(8) "Cancellation" means a processing or treatment method that qualifies CEWs for recycling payments, removes the CEWs from the payment system eliminating the possibility of double payments, and results in treatment residuals as specified in Section 18660.32 of this Chapter.
(9) "CRT" means a Cathode Ray Tube with the yoke still attached that has been separated from a CRT device.
(10) "CRT device" means a whole covered electronic device containing a Cathode Ray Tube.
(11) "California Sources" of CEWs are consumers, as defined in Section 42463(d) of the Public Resources Code, located in California who generate CEWs after their own use of the CEW. California sources may include, but are not limited to the business sector, residential sector, local government, state government, schools and other institutions within the borders of California. Entities who take, further handle, consolidate, store, or otherwise deal with discarded, donated or collected CEWs are not California consumers, or California sources.
(12) "CIWMB" means the California Integrated Waste Management Board, when these regulations refer to the entity as a whole, including staff.
(13) "Collective Report" means a report submitted to the CIWMB through a trade association, a group of associations, or other organization that represents more than one manufacturer.
(14) "Commingled" means mixed together and impossible to economically or practically separate.
(15) "Covered Electronic Waste" or "CEW" means a discarded device that DTSC has determined to be a covered electronic device, as specified by Section 42463(f) of the Public Resources Code.
(16) "Designated Approved Collector" means an approved collector, as defined in subsection (a)(2) of this section, that has been designated by a California local government to provide CEW collection services for or on behalf of the local government and who, in the course of providing the services for the local government, would not be subject to the source documentation requirements pursuant to Section 18660.20(j)(1)(B) of this Chapter.
(17) "DTSC" means the Department of Toxic Substances Control.
(18) "End-Use Destination" means the location where the treatment residuals from the approved recycler are sent after cancellation.
(19) "Illegal Disposal" means, for the purposes of this Chapter, the disposal or placement of CEWs on a property without the permission of the owner(s) of, or responsible party(ies) for, the property.
(20) "Load" means a single transfer (a pick up or delivery) of CEWs, such as from a consumer to a collector or from a collector to a recycler.
(21) "Load Check Activities" means, for the purposes of this Chapter, the efforts made to identify, retrieve and divert from the disposed solid waste stream those CEWs that have been illegally discarded by generators. "Load Check Activities" do not include the rejection or acceptance of CEWs due to the lack of source documentation.
(22) "Manufacturer Payment" or "Manufacturer Take Back Payment" means a payment made by the CIWMB to a registered manufacturer that takes back covered electronic wastes (CEWs) from a California source for the purposes of recycling the CEW pursuant to Section 42476(g) of the Public Resources Code.
(23) "Manufacturer Payment Claim" means a registered manufacturer's request submitted to the CIWMB with all required documentation for a manufacturer payment.
(24) "Manufacturer Take Back" means a program administered by a registered manufacturer that accepts CEWs from California sources for the purposes of recycling.
(25) "Non-Profit or Charitable Organization" means, for the purposes of this Chapter, an organization that obtains tax exempt status from the Federal Internal Revenue Service or State of California Franchise Tax Board.
(26) "PBBs" mean Polybrominated Biphenyls
(27) "Product Category" means the types of covered electronic devices as defined in Section 42463(f) of the Public Resources Code. These categories include, but are not limited to, the following:
(A) Cathode Ray Tubes (CRTs) devices used in televisions,
(B) CRTs devices used in monitors,
(C) Liquid Crystal Display (LCD) monitors,
(D) Laptop computers containing LCD screens, and
(E) Other video display devices as specified by the DTSC pursuant to Section 25214.10.1(d) of the Health and Safety Code.
(28) "Proof of approval" means the unique identification number and expiration date, issued by the CIWMB that identifies a collector or recycler as being approved pursuant to this Chapter.
(29) "Proof of designation" means a letter or other document that must be secured by a designated approved collector from a California local government that, at a minimum, specifies the following information:
(A) The beginning and end dates of the designation.
(B) The geographic area within which the designated approved collector is providing CEW collection services for the local government and the locations(s) at which the collection service is provided.
(C) The customer type to be served by the designated approved collector (i.e. residential, commercial, etc).
(D) The nature of collections activities to be provided by the designated approved collector (i.e. drop-off receipt, curbside service, illegal disposal clean-up, etc).
(E) Contact information for the designating authority.
(F) If the proof of designation secured by the designated approved collector is a document other than a letter from the local government, the proof must also include the designated approved collector's written notification to the local government that such other document has been used. The written notification provided to the local government must be accompanied by a copy of the document being used to demonstrate designation.
(G) If, after January 1, 2005, and before the effective date of this regulation, a designated approved collector has secured a document from a local government that does not meet the definition of proof of designation as specified in this Section, such document may be used by a designated approved collector to comply with applicable requirements of this Chapter through March 31, 2006.
(30) "Recovery payment" means the payment made by an approved recycler to an approved collector in exchange for the transfer of CEWs pursuant to Section 42477 of the Public Resources Code.
(31) "Recovery payment request" means an approved collector's request for recovery payment made to an approved recycler accompanying the transfer of CEWs.
(32) "Recycling payment" means the payment made by the CIWMB to an approved recycler that includes a recovery component related to recycler payments to collectors pursuant to Section 42477 of the Public Resources Code and a recycling component for CEW cancellation pursuant to Section 42478 of the Public Resources Code.
(33) "Recycling payment claim" means an approved recycler's claim that includes all required documentation submitted to the CIWMB for recycling payments for cancelled CEWs.
(34) "Registered Manufacturer" means a manufacturer as defined in Section 42463(n) of the Public Resources Code who registers with the CIWMB pursuant to this Chapter and therefore may be eligible for manufacturer payments from the CIWMB.
(35) "Source-anonymous CEWs" means CEWs whose originating California source cannot be identified in collection log information required pursuant to Section 18660.20(j)(1)(B) of this Chapter.
(36) "Transfer" or "Transferred" means physically changing possession of CEWs, such as a transfer from a consumer to a collector or from a collector to a recycler.
(37) "Treatment residuals" means any material resulting from the dismantling or treatment of a CEW. Treatment residuals are not considered CEWs and are not eligible for payment. In some cases, treatment residuals may be used to demonstrate the prior processing of CEWs, and bills of lading for the material may be required as part of the claim for payment submitted by an approved recycler.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42463, 46465.2, 42475(a), 42476, 42477, 42478 and 42479, Public Resources Code.





s 18660.6. Applicability and Limitations.
(a) Limitations on the types of CEWs eligible for payments:
(1) An approved collector may request recovery payment only for the types of CEWs specified by DTSC that are transferred to an approved recycler by the collector.
(2) An approved recycler may claim recycling payment only for the types of CEWs specified by DTSC that are received from an approved collector and are cancelled by the recycler.
(3) A registered manufacturer may claim manufacturer payment only for the types of CEWs specified by DTSC that the manufacturer takes back for recycling.
(b) Limitations on the timeframes eligible for payments:
(1) An approved collector, an approved recycler, or a registered manufacturer shall not receive payment for any CEWs transferred from a California source before January 1, 2005.
(2) An approved collector shall not request recovery payments from recyclers for transfers that occur prior to the approval of the collector's application by the CIWMB.
(3) An approved recycler shall not claim recycling payments from the CIWMB for transfers or cancellation that occurs prior to the approval of the recycler's application by the CIWMB.
(4) A registered manufacturer shall not claim manufacturer payments from the CIWMB for recycling that occurs prior to the manufacturer's registration with the CIWMB.
(c) Limitations on the Sources of CEWs and CEWs eligible for payments:
(1) Only CEWs resulting from a California source are eligible for recovery, recycling, or manufacturer payments.
(2) CEWs owned by a person in California, but used entirely outside of California are not eligible for payments.
(3) Source-anonymous CEWs, documented pursuant to Section 18660.20(j)(1)(D) of this Chapter, are eligible for recovery and recycling payments if:
(A) The source-anonymous CEWs result from load check activities as defined in Section 18660.5(a)(21) conducted at permitted solid waste facilities whose operator is an approved collector or, if not an approved collector, the source-anonymous CEWs are directly transferred from the permitted solid waste facility to an approved collector; or
(B) The source-anonymous CEWs result from illegal disposal clean-up activities conducted by an approved collector who is a local government or its designated approved collector; or
(C) The source-anonymous CEWs result from illegal disposal on property owned or managed by an approved collector that is a non-profit or charitible organization as defined in Section 18660.5(a)(25) of this Chapter.
(4) CEWs are transferred to a designated approved collector are not eligible for payments unless the CEWs are accompanied by applicable source documentation pursuant to Section 18660.20(h) of this Chapter.
(d) Limitations on the ability of collectors and recyclers to charge a fee:
(1) If the recovery payment from a recycler does not fully cover the net cost of CEW recovery, and the collector establishes a cost-free opportunity for a California source to transfer CEWs to the collector, then an approved collector may charge a fee for CEW recovery.
(2) If the recovery payment from a recycler fully covers the net cost of CEW recovery, an approved collector shall provide CEW recovery at no charge to California consumers or the CIWMB may revoke approval and direct recyclers to deny recovery payments to the collector.
(3) If the recycling payment from the CIWMB does not fully cover the net cost of CEW recycling, an approved recycler may charge a fee for CEW recycling.
(4) If the recycling payment from the CIWMB fully covers the net cost of CEW recycling, an approved recycler shall provide CEW recycling at no charge to approved collectors or the CIWMB may revoke approval and deny recycling payments to the recycler.
(e) Limitations on recovery payments:
(1) An approved recycler shall make recovery payments at or above the minimum rate specified in Section 18660.33 of this Chapter to approved collectors for all CEWs transferred to the recycler.
(2) The CIWMB shall revoke a recycler's approval and deny recycling payments to a recycler that fails to make recovery payments to approved collectors as specified in this Chapter.
(3) An approved recycler shall not make the recovery payments as specified in this Chapter to collectors who are not approved pursuant to this Chapter.
(4) An approved recycler may make other types of payments, not provided for under this Chapter, to a collector regardless of the collector's approval status.
(5) An approved recycler shall not provide recovery payments to a collector other than the approved collector that transfers the CEWs to the recycler, but nothing limits the collectors involved in prior transfers from negotiating payments among themselves unrelated to the recovery payment provisions of this Chapter.
(6) An approved collector is eligible for recovery payments only if the collector establishes a cost-free opportunity for a California source to transfer CEWs to the collector.
(f) Limitations on recycling payments:
(1) The CIWMB shall make recycling payments only to approved recyclers who:
(A) Cancel CEWs using cancellation methods as specified in Section 18660.32 of this Chapter.
(B) Document cancellation and meet the other requirements of this Chapter.
(2) The CIWMB shall not make recycling payments to a recycler other than the approved recycler that cancels the CEWs, but nothing limits the recyclers involved in subsequent transfers from negotiating payments among themselves unrelated to the recycling payment provisions of this Chapter.
(3) The CIWMB shall not make recycling payments for reuse of either a whole CEW or of a partially disassembled CEW, such as a CRT with an attached yoke.
(4) If treatment residuals are disposed to land, water or air, then a recycler shall not be eligible for recycling payments for the original CEWs unless the treatment residual is not economically feasible to recycle and/or cannot be recycled because it would pose a hazard to public health, safety or the environment.
(g) Limitations in relation to current business practices:
(1) The CIWMB shall not limit the ability of approved collectors and approved recyclers to transfer or not transfer CEWs to or from any party.
(2) The CIWMB shall not limit the ability of approved collectors and approved recyclers from entering into contracts with each other or other parties.
(3) The CIWMB shall not limit the ability of collectors to recover CEWs or recyclers to recycle CEWs without participating in the system described in this Chapter.
(4) If collectors wish to receive recovery payments or recyclers wish to receive recycling payments, then they must meet the requirements in this Chapter.
(h) Limitations on recycling payments on exported CEWs and treatment residuals:
(1) The CIWMB shall not approve recyclers located outside the State. CEWs sent to unapproved recyclers are not eligible for payments pursuant to this Chapter regardless of the location of the unapproved recycler.
(2) If treatment residuals are disposed to land, water or air, then a recycler shall not be eligible for recycling payments for the original CEWs unless the treatment residual is not economically feasible to recycle and/or cannot be recycled because it would pose a hazard to public health, safety or the environment.
(i) Limitations on the manufacturer payment system:
(1) The CIWMB shall not register any entity other than a manufacturer as defined in Section 42463(n) of the Public Resources Code to be a registered manufacturer.
(2) The CIWMB shall not make manufacturer payments to any entity other than a registered manufacturer.
(3) A registered manufacturer shall only claim payment for, and the CIWMB shall only make manufacturer payments for, CEWs received from California sources that are processed for recycling that in a manner that results in cancellation as specified in Section 18660.32 of this Chapter or an equivalent result.
(4) A registered manufacturer shall not claim payment for, and the CIWMB shall not make manufacturer payments for, CEWs that are reused, repaired, refurbished or otherwise returned to use.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42472(b), 42475(a), 42476, 42477, 42478 and 42479, Public Resources Code.





s 18660.7. Document Submittals.
(a) A collector, a recycler, or a manufacturer shall prepare and submit applications, registrations, claims and/or reports required pursuant to this Chapter in the manner designated by the CIWMB.
(b) The CIWMB shall only accept collector, recycler or dual entity applications, claims and reports containing all the required information and bearing an original signature of the primary applicant, or a person with signature authority as designated by the primary applicant pursuant to Section 18660.11 of this Chapter.
(c) The CIWMB shall only accept manufacturer registrations, claims and reports containing all the required information and bearing an original signature of the primary registrant, or a person with signature authority as designated by the primary registrant pursuant to Section 18660.35 of this Chapter.
(d) The CIWMB shall provide forms upon request that may be used to meet the requirements for the applications, registrations, and payment claims specified in this Chapter.
(e) A collector, a recycler, or manufacturer shall ensure that applications, registrations, claims, reports and all applicable supporting documentation are accurate, complete, and typed or legibly handwritten in English using permanent ink. A collector or a recycler may void errors only by using a single line through the error. A collector or a recycler shall not use correction fluid, correction tape or erasures for correcting errors on any document required by or submitted to the CIWMB.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42476, 42477, 42478 and 42479, Public Resources Code.





s 18660.8. Records.
(a) An approved collector, an approved recycler, or a registered manufacturer shall send written notice to the CIWMB regarding any change in location, or intent to establish a new location, of records required by this Chapter no less than 10 days prior to the change. In the written notice, an approved collector or an approved recycler shall include its name and identification number from the proof of approval, the complete present and potential future address of the location of the records, if applicable, and the names and telephone numbers of the individuals responsible for such records.
(b) All records maintained pursuant to this Chapter must include the books of account that are ordinarily maintained by a prudent business person engaged in the same activity, together with all bills, receipts, invoices, manifests, cash register tapes, or other documents of original entry supporting the entries in the books of account.
(c) An electronic data processing system must have built into its program a method of producing visible and legible records that will provide the necessary information to determine compliance with the requirements of this Chapter.
(d) An approved collector, an approved recycler, or a registered manufacturer shall maintain records for at least three years.
(e) An approved collector, an approved recycler, or a registered manufacturer shall maintain records that are originals, and typed or legibly handwritten in English.
(f) An approved collector, an approved recycler, or a registered manufacturer shall not store records in an unprotected area, in an outside location, in a motor vehicle or in a location where the records are likely to become contaminated, damaged or stolen.
(g) An approved collector, an approved recycler, or a registered manufacturer shall maintain records suitable for examination prepared and retained in accordance with generally accepted accounting principles and good business practice.
(h) If the CIWMB determines that records do not meet the conditions in this Section, the CIWMB may revoke approval and/or deny payments.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42475(a), 42476, 42477, 42478 and 42479, Public Resources Code.





s 18660.9. Audits.
(a) The CIWMB, or persons authorized by the CIWMB, may conduct audits of approved collectors, approved recyclers, and registered manufacturers to determine compliance with the requirements of this Chapter.
(b) As part of an audit, the CIWMB may do any one or all of the following in relation to CEW recovery or recycling:
(1) Review, examine or investigate any books, records, accounts, and/or documentation.
(2) Observe, review, examine or investigate any on-site activities, operations, processes, CEWs, treatment residuals or other materials.
(3) Observe and inspect transactions.
(4) Verify measurements, counts, weights, and calculations.
(5) Examine and verify revenue, cost and net cost information and calculations.
(6) Use other examination procedures to investigate recovery payments, recycling payments, manufacturer payments, transfers of CEWs or treatment residuals, costs, revenue, net costs, or other activities related to determining compliance with this Chapter.
(c) An approved collector, an approved recycler, or a registered manufacturer shall provide CIWMB staff, or persons authorized by the CIWMB, access to location(s) and/or records for the purpose of audits related to the requirements of this Chapter, and for any or all of the following purposes in relation to CEW recovery or recycling:
(1) To determine compliance with the CIWMB's regulations and with the provisions of the Act.
(2) To determine the accuracy of the information provided in the application for approval or registration.
(3) To determine the accuracy of the information, calculations, weights, counts, and other data upon which claims for payments or payments are based.
(4) For the investigation of complaints related to recovery payments to collectors.
(5) For the investigation of complaints related to the geographic origin of CEWs.
(6) To obtain cost data, revenue data and net cost calculations required for the CIWMB to set and adjust the Standard Statewide recovery payment rate, recycler payment rate and consumer fees.
(7) To obtain sample data to calculate component weight to device weight conversion factors.
(8) To inspect any records required by this Chapter or the Act.
(d) If an approved recycler, or a registered manufacturer fails to provide reasonable access for audits pursuant to this Section, the CIWMB shall do one or more of the following:
(1) Deny approval or registration if a renewal is pending.
(2) Revoke an existing approval or registration.
(3) Recoup monies previously paid by the CIWMB, which were the subject of the audit, accumulated interest, and any associated penalties.
(4) Deny current and future claims for payments.
(e) An approved recycler or a registered manufacturer that must repay monies to the CIWMB based on the results of a CIWMB audit shall pay the entire amount, including the original amount, accumulated interest, and any associated penalties.
(f) An approved recycler or a registered manufacturer shall make any payments, repayments or recoupments in U.S. dollars by check, draft, money order or cashier's check payable to the State of California, Integrated Waste Management Board, or to a designee selected by the CIWMB.
(g) If an approved collector fails to provide reasonable access for audits pursuant to this Section, the CIWMB shall do one or more of the following:
(1) Deny approval if a renewal is pending.
(2) Revoke an existing approval.
(3) Direct approved recyclers to deny current and future claims for recovery payments.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42475(a), 42476, 42477, 42478 and 42479, Public Resources Code.






s 18660.10. Net Cost Report.
(a) To adjust the statewide recovery and recycling payment rates, establish future payment schedules and adjust the consumer fees, the CIWMB shall periodically update information concerning the net costs of CEW recovery and CEW recycling.
(b) An approved collector or an approved recycler shall maintain records and provide information for use by the CIWMB in the update on their actual net costs to operate.
(c) An approved collector or an approved recycler shall use the following allowable revenues and costs for use in the calculation of net costs:
(1) Revenues in relation to CEW recovery or recycling, other than the payments required pursuant to this Chapter, including but not limited to:
(A) Up-front revenues received, such as from fees charged.
(B) End-use revenues, such as from commodity values.
(2) Costs in relation to CEW recovery or recycling including, but not limited to:
(A) The actual costs of receiving, handling, processing, storing, transferring and transporting CEWs.
(B) The actual costs of canceling CEWs.
(C) Labor.
(D) Property taxes.
(E) Depreciation.
(F) Utilities.
(G) Supplies.
(H) Fuel.
(I) Insurance.
(J) Interest.
(K) General overhead.
(L) Facilities and equipment rent or lease.
(M) Maintenance.
(N) Transportation.
(O) Handling costs.
(P) Disposition costs.
(Q) A reasonable rate of profit or return on investment.
(R) Marketing, promotion and public education.
(d) An approved collector and approved recycler shall submit to the CIWMB a report on the net costs of recovery and/or recycling for the prior calendar year, including:
(1) An annualized summary of the revenues, costs, and net cost (costs minus revenues) of CEW recovery and/or CEW recycling based on the records maintained pursuant to Sections 18660.20(j)(3) and 18660.21(l)(5) of this Chapter.
(2) Name, identification number and mailing address.
(3) The name and phone number of a contact person for purposes of the report.
(4) The reporting year and date of preparation of the report.
(5) The total annualized revenues excluding recovery and recycling payments received from the CIWMB, plus a list of the types of revenues included in the revenue calculation.
(6) The total annualized costs, plus a list of the types of costs included in the cost calculation.
(7) The total annualized net costs (annualized costs minus annualized revenues).
(8) The net cost per pound of CEW recovery and the net cost per pound of CEW recycling.
(9) The signature and title of a person with signature authority for net cost reports as designated pursuant to Section 18660.11 of this Chapter.
(10) The signature block shall state and certify the following statement: "I hereby declare under penalty of perjury that this net cost report, including any and all figures, calculations and accompanying documents has been examined by me and is true, correct and complete."
(11) The date and place of the signing of the report.
(e) An approved collector or an approved recycler shall convert any data captured on a per unit basis to a per pound basis for the purposes of determining revenues, costs and net costs.
(f) The CIWMB may revoke approval and/or deny recycling payments for failure to submit a net cost report, or for the submission of a fraudulent report.
(g) The net cost report shall be submitted to the CIWMB on or before March 1, 2006, and each year thereafter.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42464, 42475(a), 42476, 42477, 42478 and 42479, Public Resources Code.





s 18660.11. General Application Requirements.
(a) Collectors and recyclers may submit an application to become approved at any time.
(b) In applications for approval, collectors and recyclers shall provide the following general information:
(1) Name of organization.
(2) Type of organization:
(A) If the organization is an individual doing or proposing to do business under a different name, the applicant shall provide a copy of any fictitious business name statement.
(B) If the organization is a partnership, the applicant shall provide a copy of the current partnership agreement and any fictitious business name statement.
(C) If the organization is a corporation, the applicant shall provide the corporate number and Articles of Incorporation and name and position of all current corporate officers as filed with the Secretary of State, any fictitious business name statement, and the agent for service of process.
(D) If the organization is a corporation from a state other than California, the applicant shall provide a copy of the approved certificate from the California Secretary of State qualifying and authorizing the corporation to transact business in California.
(E) If the organization is a husband and wife co-ownership, the applicant shall provide both names and any fictitious business name statement.
(F) If the organization is a local government agency, and is applying as a recycler or dual entity, the applicant shall provide a copy of the authorizing resolution from the governing board.
(G) If the organization is a limited liability company (LLC), the applicant shall provide a copy of the Articles of Organization and Statement of Information as filed with the Secretary of State, any operating agreement, any fictitious business name statement, and the agent for service of process.
(H) If the organization is a limited liability company from a state other than California, the applicant shall provide a copy of their certificate from the California Secretary of State authorizing the LLC to transact business in California.
(I) If the organization is a non-profit or charity, the applicant shall provide a description and a copy of the appropriate designation documentation.
(3) Mailing address and physical address.
(4) Name of the contact person.
(5) Telephone number(s) of the contact person.
(6) An e-mail address of the contact person or organization, if available.
(7) List(s) of the persons (if any), in addition to the primary applicant, who are authorized to sign:
(A) Payment claims.
(B) Net cost reports.
(C) Other payment related correspondence with the CIWMB.
(8) An indication of whether the collector or recycler wishes to be included in an on-line registry.
(9) The location in which the records required by this Chapter will be maintained.

Note: Authority cited: Sections 40502, 42475(b) and 42475.2, Public Resources Code. Reference: Sections 42475(a), 42476, 42477, 42478 and 42479, Public Resources Code.





s 18660.12. Additional Application Requirements for Collectors.
(a) In addition to the general application information required in Section 18660.11 of this Chapter, a collector shall also include the following information:
(1) The date and the name under which the collector notified DTSC as a CRT and/or universal waste handler.
(2) A description of the existing or proposed collection operation, including but not limited to:
(A) The types of California sources from which the collector may recover CEWs, including but not limited to households, businesses, and/or other collectors.
(B) The type(s) of CEWs that may be recovered by the collector.
(C) Whether the collector may recover CEWs from outside of the State of California.
(D) The cost-free opportunity(ies) established by the collector for a California source to transfer CEWs to the collector as required by Section 42476(f)(2) of the Public Resources Code.
(3) Certification statements by the collector as follows:
(A) "The undersigned collector agrees under penalty of immediate revocation of approval and denial of recovery payments that as an approved collector:"
1. "I shall make reasonable efforts to ensure that any CEWs for which payment is claimed originate from a California source."
2. "I shall provide free CEW collection to California consumers if the payments I receive from recyclers fully covers the net cost of collection, transportation and charges paid to the recycler."
3. "I shall operate in compliance with the requirements of this Chapter, the Act and with all applicable local, state and federal regulatory provisions."
4. "I shall establish a cost-free CEW collection opportunity for California sources."
(B) "The undersigned collector certifies under penalty of perjury under the laws of the State of California that the information provided herein is true and correct." (continued)