California Code of Regulations
Title 14 - Natural Resources
Division 2 - Department of Conservation
Chapter 5 - Division of Recycling
Subchapter 5 - Processors
Article 3 - Accounting and Reporting Requirements
Section 2425 - Reporting

Universal Citation: 14 CA Code of Regs 2425

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

The processor initially receiving material from recycling centers, curbside programs, dropoff or collection programs, or community service programs shall prepare and submit to the Division the report described in this section.

(a) The report, whether submitted electronically or by hardcopy, shall be submitted monthly or, at the option of the processor, up to thirty (30) times per calendar month. The reporting periods for the month must cover from the beginning to the end of the calendar month and not overlap any days.

(1) All reports shall be submitted no later than 30 days after the last day of the reporting period.

(2) Processors shall be allowed to submit no more than four supplemental processor invoices per material type, per original processor invoice, provided each is submitted no later than forty-five (45) days from the following events:
(A) The due date of the original processor invoice that the supplemental processor invoice covers, if it is for new shipping reports not previously submitted with the original processor invoice being supplemented; or

(B) The date appearing on the Notice of Denial (NOD) if the reports were previously denied or if the reports are a combination of new shipping reports not previously submitted with the original processor invoice and previously denied shipping reports.

(3) Processors shall be allowed to submit multiple amended processor invoices per material type, per original processor invoice, provided each is submitted no later than thirty (30) days after the due date of the original processor invoice being amended.

(4) Nothing herein shall limit the Division's authority to accept an amended processor invoice.

(b) The report shall contain the following information, by material type, in addition to the general requirements for reporting contained in section 2090 of these regulations.

(c) A summary of the processor's transactions during the period covered by the report, including all of the following information:

(1) The total weight of all material, including empty beverage containers received by the processor; and

(2) The total weight of empty beverage containers received, and the refund value, and applicable administrative and processing payments paid for such material by material type; and

(3) Total payments requested from the Division for the period. These payments are computed as the sum of the total reported refund value paid, the administrative fees paid, and the processing payments paid.

(d) Each report shall also include copies of the shipping reports for the period of the report. The total number of shipping reports included shall be specified.

(e) Each report shall also contain a shipping report prepared by the processor for each shipment of materials received from any curbside program, dropoff or collection program, or community service program, and a shipping report for each shipment of materials received from a recycling center that has been prepared by the recycling center and completed by the processor. Each report shall include all of the following information:

(1) The name and identification number or certification number, of the entity shipping the material to the processor; and

(2) The name and the certification number of the processor receiving the material; and

(3) The date the material was received and the material type covered by the report; and

(4) The received weight, excluding line breakage, rejected containers, and out-of-state containers; and

(5) The total weight of empty beverage containers purchased by the basis for the refund value payment (e.g. segregated and weighed; commingled and weighed, segregated and counted); and, for plastic, aluminum, and glass, collected by a curbside program, or a dropoff or collection program that meets the requirements of Section 2850, the registered curbside program or certified entity eligible for the quality incentive payment shall be identified as either the Shipper (S), or the Receiver (R) in the QIP (Quality Incentive Payment) Box.

(6) The refund value paid; and

(7) The total administrative fees paid, when applicable; and

(8) The processing payments paid; and

(9) The name and signature of the shipper or an authorized representative of the shipper and date signed; and

(10) The weight ticket date and weight ticket number; and

(11) The shrinkage deduction taken, if any; and

(12) The name and signature of an authorized representative of the processor and the date signed.

(f) Additionally each certified processor shall submit a Scrap Value Purchases Survey Form DOR - SV (10/00) report for purchases of beverage container material types every month. The DOR - SV (10/00) Scrap Value Purchases Survey Form shall be submitted to the Division no later than the 10th day of the month following the month of the report. The DOR - SV (10/00) Scrap Value Purchases Survey Form must be submitted regardless of whether or not purchases occurred in the applicable time period. In addition to the general requirements for reporting contained in section 2090 of these regulations, the DOR - SV (10/00) Scrap Value Purchases Survey Form shall contain all of the following information, if applicable:

(1) The processor's name, address and certification number, physical address, including city, phone number and date prepared; and,

(2) The month covered by the report; and

(3) The total weight, in tons, of each beverage container material type purchased, even if zero, from nonaffiliated sellers, excluding beverage container material types received in a form mixed with other beverage material types or material types not covered by the Act, in each of the following categories: certified recycling centers, dropoff or collection programs, community service programs, processors, registered curbside programs, any certified and non-certified entities; in the case of glass, beneficiating and nonbeneficiating processors shall be reported separately; and

(4) The total weight, in tons, of each beverage container material type received from affiliates and/or subsidiaries. Beverage container material that processors receive in a form mixed with other beverage container material types and/or material types not covered by the Act, whether from affiliates or nonaffiliates, shall be reported with the affiliated transaction after the material has been sorted and the received weight determined.

(5) The total net payment for the reported total monthly weight, in tons, for each beverage container material type purchased, by the reporting processor from nonaffiliated sellers in each of the categories listed in item 3 above; and

(6) For glass only, the monthly total weight, in tons, of purchased beverage container material types by color; and the monthly total weight of color sorted or mixed glass purchased from any non-affiliated beneficiating or nonbeneficiating processor; and

(7) For plastic, the monthly total weight, in tons, of purchased beverage container material types, by each plastic resin code type (1 through 7); and

(8) The printed name and signature of an authorized representative of the reporting processor.

(g) Processors purchasing materials directly from more than one curbside program, dropoff or collection program, or community service program may apply to the Division to request the use of alternative methods for preparing the corresponding shipping reports. The Division shall consider each proposed alternative method and issue a written approval or denial within forty-five (45) calendar days.

(1) In order for alternative methods to be accepted, they must be based on reasonable allocation methods.

(2) An application for an alternative allocation method shall be denied if:
(A) The received weight of the material purchased by an entity from the processor is not used to calculate allocations to the curbside programs, dropoff or collection programs, or community service programs; or

(B) The processor does not ensure that the weight of rejected containers, line breakage, and out-of-state containers is not included in the allocated weight (this does not require a physical separation); or

(C) The processor does not account for each incoming load of material; or

(D) The processor does not inspect incoming material to verify that it is eligible for refund value payments, as specified in section 2401.

(3) Processors may file a formal appeal by writing the Assistant Director for Recycling within thirty (30) calendar days after the receipt of a notice denying an application requesting an alternative method for shipping report preparation. Appeals submitted after this time period shall be rejected. All written appeals shall include:
(A) A copy of the notice denying the allocation method;

(B) A detailed explanation of why the determination was in error; and,

(C) Any other documentation that supports the appeal.

(4) A written decision on the appeal shall be sent to the processor within seven (7) calendar days of the receipt of the appeal.

(h) Processors purchasing commingled glass from a certified dropoff or collection program including a "waste reduction facility", a certified community service program, or a registered curbside program, shall visually inspect every load delivered to determine eligibility for refund value and the level of contamination in the load. If a load presented to a processor is eligible for refund value and has residual or other contamination, the processor shall reduce the load for shrinkage. If a load has a residual or other contamination level of greater than 10% by weight, and the load is otherwise eligible for refund value, the receiving processor shall request an alternative method of preparing the shipping report for payment. The Division shall consider each proposed alternative method and issue a written approval or denial within forty-five (45) calendar days.

(1) In order for the alternative method to be accepted, it must:
(A) Be based on a recycled glass cleaning process that produces cullet which meets the American Society for Testing and Materials standard specification for waste glass as a raw material for the manufacture of glass as specified in Section 2000(a) (3.1)(A).

(B) Clearly state:
1. That the received weight, for beverage container redemption purposes, shall be determined from the cullet produced in (A) above.

2. That the redemption weight shall be determined using the applicable commingled rates and the received weight from 1.

3. That, if a sampling procedure will be used to determine the received weight of contaminated loads from each entity, the sampling procedure must be included with the request for an alternative method of preparing the shipping report.

(2) An application for an alternate method will be denied if:
(A) The total weight of all contaminated materials received at the facility is not recorded.

(B) All material received at this facility is not inspected for the presence of out-of-state, rejected, or line breakage containers and this weight excluded from shipping reports.

(C) Records accurately supporting both cullet sold and residual or contaminated material disposed of or used for an alternative market is not made available to Department staff upon request.

(D) The method does not clearly account for the weight of empty beverage containers for each certified dropoff or collection program including a "waste reduction facility", certified community service program, or registered curbside program from which the processor receives this material.

(3) When used in this subsection, "waste reduction facility" means a dropoff or collection program certified by the Department, which separates beverage container material types from mixed waste.

1. Renumbering and amendment of former section 2742 to section 2425 filed 6-12-91 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 46).
2. Amendment of first paragraph and subsections (c)(1), (e)(1)-(2) and adoption of subsection (e)(7) filed 10-15-91; operative 10-15-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 19).
3. New subsections (f)-(f)(3)(H) and amendment of NOTE filed 4-9-92 as an emergency; operative 4-9-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL by 8-7-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (f)-(f)(3)(H) and amendment of NOTE refiled 10-5-92; operative 10-5-92 (Register 92, No. 41). A Certificate of Compliance must be transmitted to OAL 2-2-93 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (f) and amendment of NOTE filed 12-30-92 as an emergency; operative 12-30-92 (Register 93, No. 1). A Certificate of Compliance must be transmitted to OAL 4-29-93 or emergency language will be repealed by operation of law on the following day.
6. Amendment of first paragraph and subsection (e) filed 5-21-93; operative 5-21-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 21).
7. Certificate of Compliance as to 12-30-92 order including amendment of subsections (f)-(f)(7) transmitted to OAL 6-18-93 and filed 7-28-93 (Register 93, No. 31).
8. Amendment of section and NOTE filed 10-7-94; operative 10-7-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 40).
9. Amendment of subsections (f), (f)(4), and (f)(6) and NOTE filed 2-27-95 as an emergency; operative 2-27-95. A Certificate of Compliance must be transmitted to OAL by 8-26-95 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (f), (f)(4), (f)(6) and NOTE refiled 8-14-95 as an emergency; operative 8-26-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-22-96 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (f), repealer of subsection (f)(3), subsection renumbering, amendment of newly designated subsection (f)(5) and amendment of NOTE filed 12-22-95 as an emergency pursuant to Public Resources Code section 14536.1; operative 1-1-96 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-96 or emergency language will be repealed by operation of law on the following day.
12. Change without regulatory effect amending subsections (c)(2), (c)(3), (c)(5) and (e)(6) and NOTE filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
13. Editorial correction of subsection (f)(1) and HISTORY 11 (Register 96, No. 10).
14. Amendment of subsection (f), repealer of subsection (f)(3), subsection renumbering, amendment of newly designated subsection (f)(5) and amendment of NOTE refiled 6-26-96 as an emergency pursuant to Public Resources Code section 14536.1; operative 6-30-96 (Register 96, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-96 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 6-26-96 order, including amendment of subsections (a)(4) and (f), transmitted to OAL 10-22-96 and filed 12-6-96 (Register 96, No. 49).
16. Amendment of subsections (f), (f)(1) and (f)(3), new subsections (g)-(k) and subsection relettering filed 7-24-98 as an emergency; operative 7-24-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-22-99 pursuant to Public Resources Code section 14536.1 or emergency language will be repealed by operation of law on the following day.
17. Editorial correction of HISTORY 16 (Register 98, No. 43).
18. Reinstatement of section as it existed prior to 7-24-98 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 13).
19. Amendment of subsection (f), repealer of subsections (f)(1)-(7), new subsections (g)-(g)(4), subsection relettering and amendment of NOTE filed 4-12-99 as an emergency; operative 4-12-99 (Register 99, No. 16). A Certificate of Compliance must be transmitted to OAL by 10-9-99 pursuant to Public Resources Code section 14536.1 or emergency language will be repealed by operation of law on the following day.
20. Strikeout version of DOR 7/95 2 (Rev. 11/95), and a copy of DOR 6/98 2 (Rev. 11/98) filed with the Secretary of State 4-19-99 (Register 99, No. 17).
21. Reinstatement of section as it existed prior to 4-12-99 action by operation of Government Code section 11346.1(f) (Register 99, No. 43).
22. New subsections (h)-(h)(3) and amendment of NOTE filed 10-18-99; operative 11-17-99 (Register 99, No. 43).
23. Amendment of subsection (f), new subsections (f)(7) and (f)(8) and amendment of NOTE filed 12-21-99 as an emergency; operative 1-1-2000 (Register 99, No. 52). Pursuant to Public Resources Code section 14536.1 a Certificate of Compliance must be transmitted to OAL by 6-29-2000 or emergency language will be repealed by operation of law on the following day.
24. Amendment of subsection (e)(3), new subsections (e)(3)(A)-(B), redesignation of former subsections (h)(1)(B)(i)-(iii) to subsections (h)(1)(B)1.-3. and amendment of NOTE filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). Pursuant to Public Resources Code section 14536, subdivision (b)(2), the Department of Conservation should file a Certificate of Compliance with OAL by 7-5-2000; however, this emergency regulation shall not be repealed by OAL, and shall remain in effect until revised by the Director of the Department of Conservation.
25. Editorial correction of HISTORY 23 (Register 2000, No. 27).
26. Reinstatement of section as it existed prior to 12-21-99 emergency amendment pursuant to Government Code section 11346.1(f) (Register 2000, No. 27).
27. Amendment of subsection (f), new subsections (f)(7) and (f)(8) and amendment of NOTE filed 7-5-2000 as an emergency; operative 7-5-2000 (Register 2000, No. 27). Pursuant to Public Resources Code section 14536.1 a Certificate of Compliance must be transmitted to OAL by 1-2-2001 or emergency language will be repealed by operation of law on the following day.
28. Amendment of subsection (e)(3), new subsections (e)(3)(A)-(B), redesignation of former subsections (h)(1)(B)(i)-(iii) to subsections (h)(1)(B)1.-3. and amendment of NOTE refiled 7-6-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 27). Pursuant to Public Resources Code section 14536, subdivision (b)(2), the Department of Conservation should file a Certificate of Compliance with OAL by 11-3-2000; however, this emergency regulation shall not be repealed by OAL, and shall remain in effect until revised by the Director of the Department of Conservation.
29. Certificate of Compliance as to 7-6-2000 order, including further amendment of subsections (e)(3)(A)-(B), transmitted to OAL 9-28-2000 and filed 11-13-2000 (Register 2000, No. 46).
30. Certificate of Compliance as to 7-5-2000 order, including further amendment of subsections (f), (f)(3)-(4) and (f)(6)-(7), repealer of subsection (f)(8), and subsection renumbering, transmitted to OAL 12-19-2000 and filed 1-30-2001 (Register 2001, No. 5).
31. New subsections (a)(3) and (a)(5) and subsection renumbering filed 7-10-2001; operative 8-9-2001 (Register 2001, No. 28).
32. Editorial correction of subsection (f)(6) (Register 2002, No. 13).
33. Amendment of subsection (e)(3) and repealer of subsections (e)(3)(A)-(B) filed 3-25-2002 as an emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-23-2002 or emergency language will be repealed by operation of law on the following day.
34. Amendment of subsection (e)(3) and repealer of subsections (e)(3)(A)-(B) refiled 7-17-2002 as an emergency; operative 7-23-2002 (Register 2002, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-20-2002 or emergency language will be repealed by operation of law on the following day.
35. Amendment of subsection (e)(3) and repealer of subsections (e)(3)(A)-(B) refiled 11-18-2002 as an emergency; operative 11-20-2002 (Register 2002, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-20-2003 or emergency language will be repealed by operation of law on the following day.
36. Certificate of Compliance as to 11-18-2002 order transmitted to OAL 2-20-2003 and filed 4-1-2003 (Register 2003, No. 14).
37. Editorial correction of subsections (f) and (h)(1)(B)2. (Register 2004, No. 20).
38. Amendment of subsections (a)-(a)(2)(A) and (a)(3), repealer of subsections (a)(4)-(5), subsection renumbering, amendment of subsection (e), new subsections (e)(2)-(3), repealer of subsections (e)(8) and (e)(10), subsection renumbering, and amendment of newly designated subsections (e)(5) and (e)(9) and subsection (e)(12) filed 2-23-2006; operative 3-25-2006 (Register 2006, No. 8).
39. Amendment of subsection (e)(5) filed 6-21-2007 as an emergency; operative 6-21-2007. This regulatory action meets the emergency standard and is mandated to remain in effect until revised by the Director of the Department of Conservation pursuant to Public Resources Code section 14536(b)(2) (Register 2007, No. 25).
40. Amendment filed 1-28-2010; operative 2-27-2010 (Register 2010, No. 5).

Note: Authority cited: Sections 14530.5, 14536 and 14536.1, Public Resources Code. Reference: Sections 14504, 14515.5, 14518.5, 14519.5, 14537, 14539, 14549.1, 14550, 14552, 14552.51, 14575 and 18015, Public Resources Code.

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