Article 2.3. Electronic Waste Payment System--Recycling Payment Claims
Section 18660.22. General Requirements for Recycling Payment Claims.
(a) An approved recycler shall submit all of the following general
information in a claim for recycling payments from the CIWMB:
(1) The full name, mailing address, and federal tax identification
number of the recycler preparing the report.
(2) The name and phone number of a contact person for purposes of the
report.
(3) The reporting month (calendar month and year) and date of
preparation of the report.
(4) The claim activity period, listing the start and end dates.
(5) The total weight of CEW claimed, as calculated in Sections
18660.23, 18660.24, and 18660.25 of this Chapter.
(6) The total monetary amount being claimed.
(7) The signature and title of a person with signature authority for
payment claims as designated pursuant to Section 18660.11 of this
Chapter. The signature block shall include the following certification
statements:
(A) "I hereby declare under penalty of perjury that:"
1. "The approved recycler whom I represent is currently in
compliance with all Federal, State and local requirements,
including compliance with the requirements of the Act and this
Chapter."
2. "All claimed CEWs have been cancelled as specified in
Section 18660.32 and are unable to re-enter the payment system,
and all treatment residuals specified in Section 18660.22(c)
derived from the claimed CEWs have been shipped to an end-use
destination authorized to receive and further treat those
treatment residuals."
3. "I have certified the weights and verified the
calculations, including the adjustments for CEWs from
non-California sources and for prior cancellation."
4. "This payment claim, including any and all accompanying
documents has been examined by me and is true, correct and
complete."
5. "I understand that errors or omissions on my part may
result in the CIWMB delaying or denying payment"
6. "I further understand that fraud could result in
revocation of the recycler's approval."
(8) The date and place of the signing of the claim.
(b) For each cancellation method used, an approved recycler shall submit
no more than one recycling payment claim per calendar month and may only
include one reporting month, as specified by Sections 18660.23, 18660.24 and
18660.25 of this Chapter, in a single recycling payment claim. An approved
recycler shall prepare payment claims for different cancellation methods
separately, but may submit a package containing all the claims for a
reporting month.
(c) Prior to submitting a payment claim for cancelled CEWs, an approved
recycler shall:
(1) Ship all the following treatment residuals derived from the
cancelled CEWs to an end-use destination authorized to receive and
further treat the treatment residual:
(A) CRT glass cullet if conducting CRT or CRT-containing CEW
cancellation through crushing or shredding.
(B) Bare CRTs if conducting CRT or CRT-containing CEW
cancellation through dismantling to a bare CRT after relieving the
vacuum.
(C) Gas plasma display glass cullet if conducting
non-CRT-containing CEW cancellation through crushing or shredding.
(D) Bare gas plasma display panels if conducting
non-CRT-containing CEW cancellation through dismantling to a bare
panel.
(2) For each cancelled non-CRT-containing CEWs, the recycler shall
record and report the manufacturer name, model number, serial number and
weight prior to cancellation.
(3) Only those CEWs that have been processed and documented pursuant
to the applicable requirements of subsections (c)(1) and (c)(2) of this
section shall be claimed for payment.
(d) An approved recycler shall attach all of the following to the payment
claim:
(1) For all CEWs received from collectors during the claim activity
period that are cancelled and included in the current claim, a report
that includes:
(A) A list of approved collectors from which the transfers of
CEWs were accepted with the name and proof of approval
identification number of each.
(B) The total weight of CEWs in all loads transferred from each
approved collector. Note that this weight may not equal the weight
claimed for recycling payment because recovery payments are made on
the weight of all CEWs transferred while recycling payments are made
on the weight of only those CEWs cancelled.
(C) Signed and dated receipts documenting all CEW transfers from
approved collectors.
(D) A copy(ies) of the applicable records specified in Section
18660.21(l)(1)- (4) pertaining to the collection and processing
activities involving the CEWs cancelled and being claimed for
payment.
1. Source documentation not associated with the claimed CEWs
shall not be included in the report.
2. Transfer documentation not associated with the claimed
CEWs shall not be included in the report.
(E) A sum of the estimated weight of source-anonymous CEWs as
reported by and transferred from approved collectors.
(2) For all CEWs cancelled during the claim activity period and that
are included in the current claim, a description of cancellation
activities that includes:
(A) The type(s) of cancellation method used.
(B) The date(s) when cancellation occurred.
(C) The amount of CEWs processed by dismantling, crushing or
shredding by date in pounds.
(D) The dates and destinations of all treatment residual
shipments required prior to submitting a claim as specified in
subsection (c) of this section.
(3) For all CEWs received from collectors during the claim activity
period that are not included in a prior claim and that are not
cancelled, a description and quantification of those activities
including but not limited to storage, repair, refurbishment, resale,
reuse, transfer and/or export.
(e) An approved recycler shall deliver recycling payment claims to the
CIWMB's main business office, to the attention of the Accounting Section. An
approved recycler shall mark the outside of the package containing the
claims clearly with "e-Waste Claim Enclosed."
(f) An approved recycler shall submit timely recycling payment claims so
that the CIWMB receives each claim within 45 days of the end of the
reporting month, as specified by Sections 18660.23, 18660.24 and 18660.25 of
this Chapter. The CIWMB may return without payment any claim received more
than 45 days after the end of the reporting month, as specified by Sections
18660.23, 18660.24 and 18660.25 of this Chapter. The CIWMB shall determine a
claim's receipt as either the date of the postmark on the claim package, or
the date the claim package was physically received by the CIWMB, whichever
is earlier.
(g) The CIWMB may reject a claim if it fails to comply with the general
requirements of this Section, or the additional requirements in the
applicable provisions regarding cancellation methods in Sections 18660.23,
18660.24 and/or 18660.25 of this Chapter.
(h) The CIWMB's rejection of a recycling payment claim shall not extend
any applicable due date or time period.
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.
Section 18660.23. Additional Requirements for Recycling Payment Claims to
Demonstrate Cancellation of CRTs or CRT-Containing CEWs through Crushing or
Shredding.
(a) In addition to the general information required in Section 18660.22
of this Chapter, an approved recycler shall include the information in this
Section to claim recycling payments for canceling CRT-containing CEWs
through crushing or shredding as specified in Section 18660.32 of this
Chapter.
(b) An approved recycler shall base recycling payment claims on the
weight of CRT-containing CEWs cancelled.
(c) An approved recycler shall submit a recycling payment claim within 45
calendar days of the end of a calendar month in which one or more shipments
of CRT glass cullet were sent to an end use destination.
(d) The reporting month for a recycling payment claim pursuant to this
Section is the month in which shipment(s) of CRT glass cullet were made.
(e) An approved recycler shall calculate the payment and include the
calculation in a recycling payment claim specific to canceling
CRT-containing CEWs through crushing or shredding as follows:
(1) The total weight of CRT-containing CEWs cancelled for the
reporting month from which all treatment residuals specified in Section
18660.22(c)(1) of this Chapter have been shipped to an end-use
destination authorized to receive and further treat those treatment
residuals.
(2) The total payment claimed, calculated by multiplying the weight
of CRT-containing CEWs specified in subsection (e)(1) of this Section by
the Standard Statewide Combined Recovery and Recycling Payment Rate.
(3) If the amount in subsection (e)(1) of this Section includes CEWs
from outside California, CEWs without source documentation, or
previously cancelled materials, then the recycler shall reduce the
payment claim to reflect these corrections by adjusting the weights.
(f) An example calculation for canceling CRT-containing CEWs through
crushing or shredding is included for illustration purposes as follows:
The weight of CRT-containing CEWs cancelled: 1000 pounds Times the per
pound Standard Statewide combined recovery and recycling payment rate: X
$0.39 Equals the payment claim for the reporting period: = $390.00 Total
Claim
(g) An approved recycler shall attach to the payment claim the following
documentation from all shipments of CRT glass cullet made during the
reporting period of a calendar month:
(1) Shipping reports to end use destinations, including the names of
the shipping recycler and the receiving end-use destination.
(2) The date of the shipment and the weight of the CRT glass cullet.
(3) Weight tickets of individual shipments of CRT glass cullet.
(4) Verification of post cancellation disposition, including:
(A) For shipments by sea, the proof of disposition to an end-use
destination shall be the on-board bill of lading and an executed
contract or other documentation from the intended recipient of the
shipment.
(B) For other shipments, the proof of disposition to an end-use
destination shall include a receipt issued by the person receiving
the shipment and any applicable bill of lading.
(C) For all shipments of CRT glass cullet, a discussion of the
ultimate disposition of the material shipped demonstrating that the
disposition is not disposal to land, water or air.
(h) In addition to the documentation required in subsection (g), an
approved recycler shall attach to the payment claim a description and
qualification of the disposition of other treatment residuals derived from
cancellation of the CRT-containing CEWs, including but not limited to
metals, plastics, fibers and wood.
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.
Section 18660.24. Additional Requirements for Recycling Payment Claims to
Demonstrate Cancellation of CRTs or CRT-Containing CEWs through Dismantling
to a Bare CRT After Relieving the Vacuum.
(a) In addition to the general information required in Section 18660.22
of this Chapter, an approved recycler shall include the information in this
Section to claim recycling payments for canceling CRT containing CEWs
through dismantling to a bare CRT after relieving the vacuum as specified in
Section 18660.32 of this Chapter.
(b) An approved recycler shall base recycling payment claims on the
weight of CRT-containing CEWs cancelled.
(c) An approved recycler shall submit a recycling payment claim within 45
calendar days of the end of a calendar month in which one or more shipments
of bare CRTs were sent to an end use destination.
(d) The reporting month for a recycling payment claim pursuant to this
Section is the month in which the shipment(s) of bare CRTs were made.
(e) An approved recycler shall calculate the payment and include the
calculation in a recycling payment claim specific to canceling
CRT-containing CEWs through dismantling to a bare CRT as follows:
(1) The total weight of CRT-containing CEWs cancelled from which all
treatment residuals specified pursuant to Section 18660.22(c)(1) of this
Chapter have been shipped to an end-use destination authorized to
receive and further treat those treatment residuals.
(2) The total payment claimed, calculated by multiplying the weight
of CRT-containing CEWs specified in subsection (e)(1) of this Section by
the Standard Statewide Combined Recovery and Recycling Payment Rate.
(3) If the amount in subsection (1) of this Section includes CEWs
from outside California, CEWs without source documentation, or
previously cancelled materials, then the recycler shall reduce the
payment claim to reflect these corrections by adjusting the weights.
(f) An example calculation for canceling CRT containing CEWs through
dismantling to a bare CRT after relieving the vacuum is included for
illustration purposes as follows:
The weight of CRT-containing CEWs cancelled: 1000 pounds Times the per
pound Standard Statewide combined recovery and recycling payment rate: X
$0.39 Equals the payment claim for the reporting period: = $390.00 Total
Claim
(g) An approved recycler shall attach the following documentation for all
shipments of bare CRTs made during the reporting period of a calendar month:
(1) Shipping reports to end use destinations, including the names of
the shipping recycler and the receiving end-use destination.
(2) The date of the shipment and the weight of the bare CRTs.
(3) Weight tickets of individual shipments of bare CRTs.
(4) Verification of post cancellation disposition, including:
(A) For shipments by sea, the proof of disposition to an end-use
destination shall be the on-board bill of lading and an executed
contract or other documentation from the intended recipient of the
shipment.
(B) For other shipments, the proof of disposition to an end-use
destination shall include a receipt issued by the person receiving
the shipment and any applicable bill of lading.
(C) For all shipments of bare CRTs, a discussion of the ultimate
disposition of the material shipped demonstrating that the
disposition is not disposal to land, water or air.
(h) In addition to the documentation required in subsection (g), an
approved recycler shall attach to the payment claim a description and
qualification of the disposition of other treatment residuals derived from
cancellation of the CRT-containing CEWs, including but not limited to
metals, plastics, fibers and wood.
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.
Section 18660.25. Additional Requirements for Recycling Payment Claims to
Demonstrate Cancellation of Non-CRT-Containing CEWs.
(a) In addition to the general information required in Section 18660.22
of this Chapter, an approved recycler shall include the information in this
Section to claim recycling payments for canceling non-CRT-containing CEWs
through dismantling to a bare panel or crushing/shredding of the entire CEW
as specified in Section 18660.32 of this Chapter.
(b) An approved recycler shall base recycling payment claims on the
weight of the cancelled non-CRT-containing CEWs.
(c) An approved recycler shall submit a recycling payment claim within 45
calendar days of the end of a calendar month in which it cancels
non-CRT-containing CEWs.
(d) The reporting month for a recycling payment claim pursuant to this
Section is the calendar month the cancellation occurs.
(e) An approved recycler shall calculate the payment and include the
calculation in a recycling payment claim specific to canceling
non-CRT-containing CEWs through dismantling to a bare panel or
crushing/shredding of the entire CEW as follows:
(1) The total weight of cancelled non-CRT-containing CEWs for the
reporting month from which all treatment residuals specified pursuant to
Section 18660.22(c)(1) of this Chapter have been shipped to an end-use
destination authorized to receive and further treat those treatment
residuals. Note that non-CRT-containing CEWs commingled with other
material are ineligible for recycling payment.
(2) The total payment claimed, calculated by multiplying the weight
of non-CRT-containing CEWs specified in subsection (e)(1) of this
Section by the Standard Statewide Combined Recovery and Recycling
Payment Rate.
(3) If the amount in subsection (1) of this Section includes CEWs
from outside California or previously cancelled materials, then the
recycler shall reduce the payment claim to reflect these corrections by
adjusting the weights.
(4) For each cancelled non-CRT-containing CEWs, the recycler shall
record and report the manufacturer name, model number, serial number and
weight prior to cancellation.
(f) An example calculation for canceling non-CRT-containing CEWs through
dismantling to a bare panel or crushing/shredding of the entire CEW is
included for illustration purposes as follows:
The weight of non-CRT-containing CEWs cancelled: 1000 pounds Times the
per pound Standard Statewide combined recovery and recycling payment rate: X
$0.39 Equals the payment claim for the reporting period: = $390.00 Total
Claim
(g) An approved recycler shall attach the following documentation for all
shipments of circuit boards from non-CRT-containing CEWs made during the
reporting period of a calendar month:
(1) Shipping reports to end use destinations, including the names of
the shipping recycler and the receiving end-use destination.
(2) The date of the shipment and the weight of the circuit boards.
(3) Weight tickets of individual shipments of the circuit boards.
(4) Verification of post cancellation disposition, including:
(A) For shipments by sea, the proof of disposition to an end-use
destination shall be the on-board bill of lading.
(B) For other shipments, the proof of disposition to an end-use
destination shall include a receipt issued by the person receiving
the shipment and any applicable bill of lading.
(C) For all shipments of non-CRT-containing CEWs circuit boards,
a discussion of the ultimate disposition of the material shipped
demonstrating that the disposition is not disposal to land, water or
air.
(h) In addition to the documentation required in subsection (g), an
approved recycler shall attach to the payment claim a description and
qualification of the disposition of other treatment residuals derived from
cancellation of the non-CRT-containing CEWs, including but not limited to
metals, plastics, and fibers.
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.
Section 18660.30. CIWMB Review of Recycling Payment Claims.
(a) The CIWMB shall review a recycling payment claim and determine if a
recycling payment is due pursuant to this Chapter. If the CIWMB has cause to
investigate any aspect of a claim, the review may be extended until
resolution of all issues aspects under investigation.
(b) The CIWMB may deny or adjust payment for any of the following
reasons:
(1) The CIWMB determines that:
(A) The signature on the claim is not that of a person with
signature authority for recycling payment claims as designated
pursuant to Section 18660.11 of this Chapter.
(B) The recycler did not have current approval for the reporting
period and/or the cancellation period in the claim.
(C) The approved recycler failed to meet the requirements in this
Chapter or committed an activity prohibited in this Chapter.
(D) The payment claim contains a numerical discrepancy between
values or calculations reported on the claim and the CIWMB verified
values and calculations.
(E) The facility has not been inspected by DTSC within the past
12 months, as specified in Section 42479(b)(2)(A) of the Public
Resources Code.
(F) The recycler is ineligible for payment pursuant to Section
42479(b)(1) of the Public Resources Code.
(G) The payment claim is deficient with regard to any of the
following:
1. CEW source documentation
2. CEW transfer documentation
3. CEW processing documentation
4. Treatment residual disposition documentation
5. Any other documentation required as part of a payment
claim as specified in Sections 18660.22 through 18660.25 of this
Chapter.
(2) The CIWMB has prevailed against the claimant in a civil or
administrative action and money is owed to the CIWMB as a result of the
action.
(3) The CIWMB discovers, as part of an application review, claim
review or an audit, significant inconsistencies or fraud.
(c) If the CIWMB adjusts or denies a payment claim based on deficiencies
in documentation specified in subsection (b)(1)(G) of this section, an
approved recycler shall not resubmit as part of a future claim that same
documentation, or any revised form of that documentation, seeking payment
for those CEWs for which payment had been denied.
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.
Section 18660.31. Appeal of Denied or Adjusted Recycling Payment Claims.
(a) An approved recycler may file a formal appeal by writing to the CIWMB
within 30 calendar days of the warrant date of an adjusted payment or the
date of the notice denying the claim.
(b) Any appeal received by the CIWMB after 30 calendar days from the date
of the adjustment letter from the CIWMB on an adjusted payment or the date
of the notice denying the claim shall be denied without a hearing or
consideration of the appeal.
(c) An approved recycler shall include all of the following information
in a written appeal:
(1) The recycler's name and identification number from its proof of
approval.
(2) The month(s) and year(s) in question.
(3) A copy of the recycling payment claim and the notice denying the
claim, or a copy of the remittance advice if a payment adjustment is
being appealed.
(4) An explanation of why the adjustment or denial was in error.
(5) Any other documentation that supports the appeal.
(d) At any time during the proceeding, before a final decision is issued,
the CIWMB, with the consent of the petitioner, may refer the matter to
mediation, or binding or non-binding arbitration, consistent with the
provisions of Government Code Section 11420.10.
(e) The CIWMB shall provide a hearing before the executive director, or
his or her designee, who shall act as a hearing officer. The hearing officer
shall consider the claim, the reasons for payment denial or payment
adjustment, and any additional relevant information presented by the
claimant or CIWMB staff. The hearing officer shall issue a written decision
stating the factual and legal basis for the decision.
(f) The CIWMB may adopt the decision as the final decision, or review all
or a part of the decision at a hearing before the Board.
(g) The CIWMB will notify the recycler of the final determination in
writing within 20 calendar days from the date on which Board adopts a final
decision.
Note:
Authority cited:
Sections 40502, 42475(b), and 42475.2,
Public Resources Code.
Reference:
Section 42479,
Public Resources Code; Sections 11400.20 and
11415.10,
Government Code.
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