N.Y. Comp. Codes R. & Regs. tit. 6, § 368-3.3 – Manufacturer requirements.

(1) Online registration form. A manufacturer must register with the department by completing and submitting an online registration form, as prescribed by the department.
(2) Manufacturer registration fee. The following persons must submit a one-time, non-refundable registration fee of $5,000 to the department at the time of registration:
1. (i) any manufacturer operating an individual electronic waste acceptance program; or
2. (ii) any manufacturer previously registered as participating in a collective acceptance program that intends to operate an individual acceptance program.
(3) Acceptance by the department. A manufacturer’s registration is effective upon receiving notification of approval by the department. To receive approval from the department, the manufacturer must demonstrate compliance with the requirements of paragraphs (1) and (2) of this subdivision.
(4) Registration update. A manufacturer must update its online registration form within 30 days of a material change to any registration information provided to the department.
(5) Manufacturer sales data. A manufacturer must provide State sales data to the department in its registration. A manufacturer that cannot provide accurate State sales data must explain why such data cannot be accurately provided and may estimate State sales data by:
1. (i) dividing its national sales data by weight by the national population according to the most recent census and multiplying the result by the population of the State; or
2. (ii) making a request, supported by sufficient documentation, to use an alternative method to determine State sales data, subject to approval by the department.
  (b) Compliant electronic waste acceptance program.
  A manufacturer must create and maintain an effective electronic waste acceptance program that is both convenient and continuous for the collection, handling, transportation, and recycling or reuse of consumer electronic waste at no cost to consumers. A manufacturer’s electronic waste acceptance program must also be consistent with the requirements of section 368-3.5 of this Subpart, including, but not limited to, brand acceptance and one-for-one acceptance. The acceptance program must not discourage or restrict continuous and convenient acceptance of electronic waste, and a manufacturer must provide a detailed description of the acceptance program at the time the registration form is submitted to the department.
  (c) Acceptance standard.
  The acceptance standard is the minimum amount of electronic waste a manufacturer must accept for a calendar year, through the registered and compliant program partners indicated in its electronic waste acceptance program, to avoid a recycling surcharge as prescribed in section 368-3.6 of this Subpart. A manufacturer must maintain a continuous acceptance program and must not cease the acceptance of electronic waste once it attains its acceptance standard in any year. The department will annually provide each manufacturer with its acceptance standard for the calendar year in accordance with ECL section 27-2603(4).
  (d) Annual reporting.
  A manufacturer must annually report to the department in compliance with this subdivision.
(1) Online annual report form. A report must be submitted to the department for each manufacturer annually by March 1st for the previous calendar year, on an online annual report form prescribed by the department. A complete submission must include at least the information required from the manufacturer in ECL section 27-2617(1).
(2) Manufacturer annual reporting fee. A manufacturer must submit a non-refundable annual reporting fee of $3,000 to the department by March 1st.
(3) Annual report update. A manufacturer must update its online annual report form within 30 days of a material change to any information provided to the department in the annual report.
(4) Signature affirming accuracy of the annual report. A manufacturer must provide a signature by an officer, director, or other duly authorized individual affirming the accuracy of the annual report. This signature may be submitted in an electronic format prescribed by the department.
(5) Manufacturer sales data. A manufacturer must provide State sales data to the department in each annual report. A manufacturer that cannot provide accurate State sales data must explain why such data cannot be accurately provided and may estimate State sales data by:
1. (i) dividing its national sales data by weight by the national population according to the most recent census and multiplying the result by the population of the State; or
2. (ii) making a request, supported by sufficient documentation, to use an alternative method to determine State sales data, subject to approval by the department.
  (e) Recycling surcharge.
  A manufacturer must submit any recycling surcharge required by section 368-3.6 of this Subpart to the department within 30 days of the date of the issuance of the recycling surcharge invoice from the department.
  (f) Labeling CEE.
  A manufacturer must label its CEE with a visible and permanent label that clearly identifies the manufacturer of the CEE.
  (g) Retailer notification.
  A manufacturer must notify retailers that sell or offer for sale the manufacturer’s CEE of its registration with the department. Manufacturers must maintain proof of retailer notification and make this documentation available for inspection by the department for a period of three years. Notification to retailers must be provided:
(1) in writing;
(2) clearly indicating the manufacturer’s brands (notification on invoices, bills, or other sales documents will be considered acceptable); and
(3) at least annually and each time the manufacturer offers a new brand of CEE for sale with that retailer.
(h) CEE brand sale or license transfer.
(1) CEE brand sale. In the case of a sale of a CEE brand, both the buyer and seller of the CEE brand are manufacturers and must comply with this Subpart. The buyer must assume responsibility for the CEE brand in accordance with this section. Both the seller and buyer must:
1. (i) notify the department of the change in CEE brand ownership within 30 days;
2. (ii) update its manufacturer’s online registration or annual report form within 30 days, if the buyer or seller is currently registered with the department;
3. (iii) if the buyer is not already registered with the department, the buyer must submit an online registration form as a manufacturer, pay the manufacturer registration fee, and meet all other requirements of subdivision (a) of this section within 30 days; and
4. (iv) provide the department with detailed information about the CEE brand sale including, but not limited to, the name of the buyer, general terms of the purchase and sale, responsibility for complying with this Subpart for historical sales, and a list of any brand of CEE involved in the sale.
(2) License transfer of a CEE brand. In the case of a license transfer of a CEE brand, all licensees and the licensor are manufacturers and must comply with this Subpart. A licensee may assume responsibility for the CEE brand for the licensor. All licensees and the licensor must:
1. (i) notify the department of the transfer of the CEE brand license within 30 days;
2. (ii) update its manufacturer’s online registration or annual report form within 30 days, if licensee or licensor is currently registered with the department;
3. (iii) if the licensee is not already registered with the department, the licensee must submit an online registration form as a manufacturer, pay the manufacturer registration fee, and meet all other requirements of subdivision (a) of this section within 30 days; and
4. (iv) provide the department with detailed information of the transfer, including, but not limited to, the names of the licensees, general terms of the licensing agreement, responsibility for complying with this Subpart for historical sales, and a list of any brand of CEE involved in the transfer.
  (i) Manufacturer liability.
  If more than one person meets the definition of a manufacturer of a brand of CEE, any one of these persons may assume responsibility as a manufacturer of that brand of CEE for the obligations under this Subpart. Any and all manufacturers of a brand of CEE are jointly and severally responsible for complying with this Subpart.
  (j) Records retention.
  All records required by this Subpart must be maintained for a period of not less than three years and be made available to the department upon request including, but not limited to, records of electronic waste receipt, storage, and shipment.
  (k) Withdrawal and revocation.
(1) Registration withdrawal. A person that no longer meets the definition of a manufacturer must request withdrawal of its registration and must:
1. (i) submit its request for withdrawal of its registration to the department in writing on its letterhead explaining why they no longer meet the definition of a manufacturer in section 368-3.2 of this Subpart;
2. (ii) provide additional information and supporting documentation as required by the department to evaluate a registration withdrawal request;
3. (iii) continue to meet the requirements of this Subpart for three full calendar years, following the year in which the registration withdrawal request is accepted by the department. For the three calendar years following the department’s acceptance of a manufacturer’s withdrawal request, the annual reporting fee will be waived by the department. The department may withdraw a manufacturer’s registration after the manufacturer has fulfilled the requirements of this section for three calendar years following its request to withdraw; and
4. (iv) notify participating program partners in writing at least 90 days prior to the date the manufacturer will cease operation of its electronic waste acceptance program, and provide a copy of such notifications to the department.
(2) Revocation of a registration. The department may revoke a manufacturer’s registration, pursuant to section 621.13 of this Title, if the manufacturer fails to comply with any of the requirements of this section or section 368-3.5 of this Subpart.

No manufacturer, as defined in section 368-3.2 of this Subpart, may sell or offer for sale CEE in the State unless it has registered with the department and is in compliance with the requirements of this section.

(a) Registration.