Cal. Code Regs. Tit. 22, § 66273.74 - Notification, Annual Reporting, and Recordkeeping
(a) Notification.
(1) Universal waste handlers of electronic
devices and/or CRTs.
Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who intends to treat any electronic device and/or CRT pursuant to this article shall submit to the Department at the address given in subsection (e) or (f) of this section, an electronic or written notification containing the following information no later than 30 calendar days prior to treating any electronic device and/or CRT:
(A) Name
of universal waste handler;
(B)
Telephone number of universal waste handler;
(C) Mailing address of universal waste
handler, and physical address, including county, if different from the mailing
address;
(D) If different from the
notifier pursuant to subsection (a) of this section, the name and mailing
address of the organization (as authorized to transact business in California)
that owns and/or operates the facility;
(E) Name, business telephone number, and
e-mail address (if available) of the person at the universal waste handler's
site who should be contacted regarding universal waste management
activities;
(F) Facility ID Number,
if issued;
(G) A general
description of the source(s) of electronic devices and/or CRTs [e.g.,
residential collection(s), other collector(s), etc.];
(H) Type(s) of electronic devices and/or CRTs
expected to be treated;
(I) A
description of the treatment process(es) to be used; and
(J) Documentation that the facility operator
has notified the facility property owner (if different from the operator of the
facility) that the facility operator is treating electronic devices and/or CRTs
at the facility.
(2) A
universal waste handler who makes a determination to dispose of CRTs and/or CRT
glass pursuant to subsections (b)(3)(C) or (c)(3)(C) of section
66273.72 or subsection (f)(4) of
section 66273.75 of this chapter shall
submit to the Department, at the address provided in subsection (f) of this
section, a written notification containing the following information no later
than 15 calendar days after determining that the CRTs and/or CRT glass is
destined for disposal:
(A) The ID number for
the universal waste handler's facility where the CRTs and/or CRT glass was
generated; and
(B) A description of
the authorized treatment method(s) used to generate the CRTs and/or CRT
glass.
(3) Universal
waste handlers of mercury ampules, mercury switches, and/or pressure or vacuum
gauges: Any universal waste handler who intends to treat any equipment
containing mercury ampules and/or mercury switches, and/or to treat any
pressure or vacuum gauge, pursuant to this article is not required to notify
the Department pursuant to this section.
(4) Universal waste handlers of PV modules.
A universal waste handler who intends to treat PV modules pursuant to this article shall submit to the Department at the address provided in subsection (f) of this section, a written notification containing the following information no later than 30 calendar days prior to treating any PV modules:
(A) Name of the universal
waste handler;
(B) Telephone number
of universal waste handler;
(C)
Mailing address of universal waste handler, and physical address, including
county, if different from the mailing address;
(D) If different from the notifier pursuant
to subsection (a)(4)(A) of this section, the name and mailing address of the
organization (as authorized to transact business in California) that owns
and/or operates the facility;
(E)
Name, business telephone number and e-mail address (if available) of the person
at the universal waste handler's site who should be contacted regarding
universal waste management activities;
(F) Facility ID Number, if issued;
(G) A general description of the source(s) of
PV modules (e.g., residential collection(s), other collector(s),
etc.);
(H) Type(s) of PV modules
expected to be treated, if known (e.g., crystalline silicon, thin film,
etc.);
(I) A description of the
treatment process(es) to be used; and
(J) Documentation that the facility operator
has notified the facility property owner (if different from the operator of the
facility) that the facility operator is treating PV modules at the
facility.
(5) A universal
waste handler who makes a determination to dispose of PV modules pursuant to
subsection (f)(3)(B) of section
66273.72 of this chapter, shall
submit to the Department, at the address provided in subsection (f) of this
section, a written notification containing the following information no later
than 15 calendar days after determining that the PV modules are destined for
disposal:
(A) The ID number for the universal
waste handler's facility where the PV modules were generated;
(B) A description of the authorized treatment
method(s) used to generate the PV modules to be disposed of; and
(C) The name, address, and ID number of the
hazardous waste disposal facility where the PV modules will be disposed
of.
(b) Annual
reporting.
(1) Universal waste handlers of
electronic devices and/or CRTs. Except as otherwise provided in sections
66273.71 and
66273.72, a universal waste
handler who treated any electronic device and/or CRT pursuant to this article
in a calendar year shall, by February 1 of the following year, submit to the
Department at the address given in subsection (e) or (f) of this section, an
electronic or written annual report containing the information specified in
subsection (b)(1)(A) through (b)(1)(J) of this section. The information
submitted shall cover the electronic device treatment and CRT treatment
activities conducted during the previous calendar year.
(A) Name, mailing address (and physical
address, including county, if different from the mailing address), and
telephone number of the universal waste handler;
(B) A description of the facility;
(C) Name and mailing address of the
organization (as authorized to transact business in California) that owns
and/or operates the facility;
(D)
Name, title, telephone number, and e-mail address (if available) of the contact
person at the universal waste handler's physical address who should be
contacted regarding universal waste management activities at that
location;
(E) Facility ID Number,
if issued;
(F) Number of days the
facility operated;
(G) Types of
electronic devices and/or CRTs treated at the facility;
(H) Treatment method used for each type of
electronic device and/or CRT treated at the facility;
(I) The following quantities treated, which
include any quantities treated but not shipped:
1. The total quantity of CRT devices (count)
treated during the previous calendar year;
2. The total quantity of CRTs (count) treated
during the previous calendar year; and/or
3. The total quantity of electronic devices
other than CRT devices (count or weight) treated during the previous calendar
year.
(J) A list
consisting of:
1. The name, address, and
telephone number for each of the locations to which the universal waste handler
shipped CRTs, CRT glass, scrap metal, yokes, universal waste (e.g., lamps,
batteries, etc.), and/or exempt materials during the previous calendar year;
and
2. The following quantities
shipped to each of those locations:
a. The
total quantity of CRTs (count) or CRT glass (weight) shipped to that location
during the previous calendar year, including in this case a declaration of
whether that location is a CRT glass manufacturer, a primary lead smelter, a
secondary lead smelter, a destination facility, or a CRT panel glass approved
landfill;
b. The total quantity of
residual printed circuit boards and scrap metal (weight) from all treatment
activities reported pursuant to this subsection shipped to that location during
the previous calendar year;
c. The
total quantity of yokes (weight) shipped to that location during the previous
calendar year; and/or
d. The total
quantity of universal waste (weight) shipped to that location during the
previous calendar year.
(K) Whenever necessary, a universal waste
handler who utilizes a mass-based inventory system to quantify CRTs, CRT
devices, or electronic devices other than CRT devices, may convert mass data to
count data through application of an appropriate conversion factor (e.g., 30
pounds per CRT) to fulfill the annual reporting requirement of this subsection
(b). A universal waste handler who performs such a data conversion(s) shall
indicate that the count data were derived from mass data and shall include the
conversion factor(s) used in the annual report.
(2) Universal waste handlers of mercury
ampules, mercury switches, and/or pressure or vacuum gauges: Any universal
waste handler who treated any equipment containing mercury ampules and/or
mercury switches, and/or treated any pressure or vacuum gauge, pursuant to this
article is not required to submit an annual report to the Department pursuant
to this section.
(3) Universal
waste handlers of PV modules.
Except as otherwise provided in section 66273.71, a universal waste handler who treated any PV module pursuant to this article in a calendar year shall, by February 1 of the following year, submit to the Department at the address provided in subsection (f) of this section, a written annual report containing the information specified in subsection (b)(3)(A) through (b)(3)(K) of this section.
(A) Name, mailing
address (and physical address, including county, if different from the mailing
address), and telephone number of the universal waste handler;
(B) A description of the facility;
(C) Name and mailing address of the
organization (as authorized to transact business in California) that owns
and/or operates the facility;
(D)
Name, title, telephone number, and e-mail address (if available) of the contact
person at the universal waste handler's physical address who should be
contacted regarding universal waste management activities at the
location;
(E) Facility ID Number,
if issued;
(F) Number of days the
facility operated;
(G) Type(s) of
PV modules treated at the facility, if known (e.g., crystalline silicon, thin
film, etc.);
(H) Treatment
method(s) used for PV modules treated at the facility;
(I) The total quantity (count or weight) of
PV modules treated during the previous calendar year;
(J) A list consisting of:
1. The name, address, and telephone number
for each of the locations to which the universal waste handler shipped PV
modules, scrap metal, and/or exempt materials during the previous calendar
year.
2. The total number (count or
weight) of PV modules shipped to that location during the previous calendar
year, including in this case a declaration of whether that location is a glass
manufacturer, a reclamation facility, or a destination facility;
and
(K) Whenever
necessary, a universal waste handler who utilizes a mass-based inventory system
to quantify PV modules and PV module residuals may convert mass data to count
data through application of an appropriate conversion factor (e.g., 40 pounds
per PV module) to fulfill the annual reporting requirement of this subsection
(b)(3). A universal waste handler who performs such a data conversion(s) shall
indicate that the count data were derived from mass data and shall include the
conversion factor(s) used in the annual report.
(c) Recordkeeping.
(1)
(A)
Universal waste handlers of electronic devices and/or CRTs.
Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who treats any electronic device and/or CRT pursuant to this article shall maintain on file at the universal waste handler's facility, the following documents as specified:
1. A copy of
the notification submitted to the Department as required by subsection (a)(1)
of this section.
2. A copy of the
notification submitted to the Department as required by subsection (a)(2) of
this section.
3. A copy of the most
recent annual report submitted to the Department as required by subsection (b)
of this section, beginning no later than February 1 of the year following the
most recent calendar year during which the universal waste handler treated any
electronic device and/or CRT at the universal waste handler's facility pursuant
to this article.
4. A current copy
of any local air district permit and/or other relevant permit required for the
facility, beginning no later than the date on which the local air district
and/or other relevant permitting authority required the universal waste handler
to possess such a permit.
5. A copy
of the documents that contain the information specified in section
66273.72, subsection
(b)(3)(D)2.
6. A copy of the
documents that contain the information specified in section
66273.72, subsection
(c)(3)(D)2.
7. A copy of the
documents that contain the information specified in section
66273.75, subsection
(f)(5)(B).
8. A copy of the records
that make the demonstration required by section
66273.81, subsection
(d).
(B) The universal
waste handler shall make available the relevant documents identified in
subsections (c)(1)(A)1. through (c)(1)(A)3. of this section at the universal
waste handler's facility upon request, to any representative of the Department,
USEPA, or a local governmental agency having jurisdiction over the
facility.
(C) The universal waste
handler shall either deliver in person or send to the Department by certified
mail, return receipt requested, a copy of any relevant document identified in
subsection (c)(1)(A)3. of this section upon receipt of a written request from
the Department. The Department shall specify in its written request all of the
following: the identities of the documents of which copies are required; the
place where those copies shall be delivered or sent; and the date by which
those copies shall be submitted.
(2) Universal waste handlers of mercury
switches.
Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who removes mercury switches from vehicles and/or household appliances shall keep records, on paper or electronically, of the removal of mercury switches from vehicles and/or household appliances for at least three years from the date of removal. The records shall include, at a minimum, the following information:
(A) The total
number of vehicles crushed, baled, sheared, or shredded;
(B) The total number of appliances destined
for shredding;
(C) The total number
of vehicles or appliances destined for crushing, baling, shearing, or shredding
that were determined to contain one or more mercury switches;
(D) The number of mercury switches removed
from these vehicles and appliances; and
(E) The number of motor vehicles from which
mercury switches could not be removed due to accidental damage to the
vehicle.
(3) Universal
waste handlers of PV modules.
(A) Except as
otherwise provided in sections
66273.71, a universal waste
handler who treats any PV modules pursuant to this article shall maintain on
file at the universal waste handler's facility the following documents as
specified:
1. A copy of the notification
submitted to the Department as required by subsection (a)(4) of this
section;
2. A copy of the
notification submitted to the Department as required by subsection (a)(5) of
this section;
3. A copy of the most
recent annual report submitted to the Department as required by subsection (b)
of this section, beginning no later than February 1 of the year following the
most recent calendar year during which the universal waste handler treated any
PV modules at the universal waste handler's facility pursuant to this article;
and
4. A current copy of any local
air district permit and/or other relevant permit(s) required for the facility,
beginning no later than the date on which the local air district and/or other
relevant permitting authority required the universal waste handler to possess
such a permit.
(B) The
universal waste handler shall make available the relevant documents identified
in subsection (c)(3)(A) of this section at the universal waste handler's
facility upon request, to any representative of the Department, U.S. EPA, or a
local governmental agency having jurisdiction over the facility.
(C) The universal waste handler shall either
deliver in person or send to the Department by certified mail, return receipt
requested, a copy of any relevant document identified in subsection (c)(3)(A)
of this section upon receipt of a written request from the Department. The
Department shall specify in its written request all of the following: the
identities of the documents for which copies are required; the place where
those copies shall be delivered or sent; and the date by which those copies
shall be submitted.
(d) Notifications and annual reports required
pursuant to subsections (a) and (b) of this section shall be dated, signed, and
certified according to the requirements of section
66270.11, subsections (a) and (d)
as those requirements apply to permit applications and permit-application
certifications, respectively.
(e)
(1) If submitted electronically,
notifications and annual reports required pursuant to subsections (a) and (b)
of this section shall be addressed to the Department at
http://www.dtsc.ca.gov. For
electronic notifications and annual reports made pursuant to this section, the
universal waste handler signature required by subsection (d) of this section
shall be submitted to the address provided in subsection (f) of this
section.
(2) A person that has
provided written submissions of any of the Department notifications and annual
reports required pursuant to subsections (a) and (b) of this section is not
required to submit the same information electronically.
(3) If the Department's universal waste
web-based reporting system is not available or cannot accommodate electronic
submissions for any of the Department notifications and annual reports required
pursuant to subsections (a) and (b) of this section the handler shall provide
written submissions in accordance with subsection (f).
(f)
(1) If
submitted in writing, notifications and annual reports required pursuant to
subsections (a) and (b) of this section shall be sent to the Department by
certified mail, return receipt requested, at the following address: Department
of Toxic Substances Control, Universal Waste Notification and Reporting Staff,
P.O. Box 806, Sacramento, CA 95812-0806, with the words "Attention: Universal
Waste Handling Activities" prominently displayed on the front of the
envelope.
(2) A person that has
provided electronic submissions of any of the Department notifications and
annual reports required pursuant to subsections (a) and (b) of this section
through the Department's universal waste web-based reporting system in
accordance with subsection (e) of this section is not required to submit the
same information in writing.
Notes
2. Amendment of section and NOTE filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
3. Amendment of section and NOTE refiled 9-15-2014 as an emergency; operative 9-15-2014 (Register 2014, No. 38). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
4. Amendment of section and NOTE refiled 9-12-2016 as an emergency; operative 9-12-2016 (Register 2016, No. 38). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
5. Certificate of Compliance as to 9-12-2016 order, including amendment of section and NOTE, transmitted to OAL 9-10-2018 and filed 10-22-2018; amendments effective 10-22-2018 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 43).
6. New subsections (a)(4)-(a)(5)(C), (b)(3)-(b)(3)(K), (c)(3)-(c)(3)(C), redesignation and amendment of subsection (e) as subsection (e)(1), new subsections (e)(2)-(3), redesignation of subsection (f) as subsection (f)(1), new subsection (f)(2) and amendment of NOTE filed 9-28-2020; operative 1-1-2021 (Register 2020, No. 40). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20 and an additional 60 calendar days pursuant to Executive Order N-66-20.
Note: Authority cited: Sections 25141, 25141.5, 25150, 25201, 25214.6, 25214.9, 26219.1, 58012 and 25259, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25150, 25159.5, 25179.6, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1, 25219.2 and 25259, Health and Safety Code.
2. Amendment of section and Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
3. Amendment of section and Note refiled 9-15-2014 as an emergency; operative
4. Amendment of section and Note refiled 9-12-2016 as an emergency; operative 9-12-2016 (Register 2016, No. 38). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
5. Certificate of Compliance as to 9-12-2016 order, including amendment of section and Note, transmitted to OAL 9-10-2018 and filed 10-22-2018; amendments effective
6. New subsections (a)(4)-(a)(5)(C), (b)(3)-(b)(3)(K), (c)(3)-(c)(3)(C), redesignation and amendment of subsection (e) as subsection (e)(1), new subsections (e)(2)-(3), redesignation of subsection (f) as subsection (f)(1), new subsection (f)(2) and amendment of Note filed 9-28-2020; operative
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