LEA Advisory #47—December 18, 1997

Processing Procedures for a Change in Owner and/or Operator of a Solid Waste Facility

To All Local Enforcement Agencies:

This LEA advisory has been developed as guidance for changes in Public Resources Code (PRC) section 44005 due to the enactment of Assembly Bill (AB) 59. Previously, when there was a change in the operator of a solid waste facility (SWF) or disposal site, the new operator was required to obtain a new Solid Waste Facilities Permit (SWFP), as this document was nontransferable.

Assembly Bill 59 amended PRC section 44005 to require:

Operator Requirements

A) Owners and/or operators of a SWF or disposal site who plan to sell, encumber, transfer or convey the ownership or operation of the facility to a new owner or operator must notify the enforcement agency (EA) and the California Integrated Waste Management Board (CIWMB) 45 days prior to the transaction. Although this is similar to the previous requirement for a change in owner, it significantly reduces the requirements for incorporating a new operator into the SWFP.

B) The new owner or operator is required to submit specific information to the EA and CIWMB and to meet specific requirements. The information and requirements are as follows:

1. Name(s), address(es), where notice can be sent and phone number(s) of the new owner/operator; 

2. Documentation that the new owner/operator meets the financial assurance and operating liability requirements, when applicable;

3. A signed affidavit certifying that the owner/operator has read the governing permit and conditioning documents and will operate in accordance with the terms and conditions of the existing SWFP and conditioning documents and that all new information submitted is correct; and

4. Amendments to the Report of Facility Information (RFI) which reflect the change in owner/operator, and/or facility name.

C) All information provided pursuant to this advisory and PRC section 44005 shall not be a matter of public record and shall be considered confidential until such time as the owners have encumbered, sold, transferred or conveyed the property.

Enforcement Agency's Processing

The EA shall review the submitted notification documentation and any available records to determine if the owner/operator has provided the required information and that the facility is and will be able to operate within the terms and conditions of their permit and RFI. If the owner/operator has satisfied all of the requirements, and the EA has obtained written confirmation from the CIWMB that the new owner/operator is currently in compliance with PRC 43040 and 43600 (operating liability and closure/postclosure assurance), the EA shall notify the operator and CIWMB within 30 days of receipt of the notification.

Upon notifying the operator and CIWMB that the notification is complete, the EA has 15 days to send the operator and CIWMB a copy of the changed permit, which reflects the changes in the name of the owner/operator, and the address. This section does not authorize the EA to change any other aspect of the SWFP without concurrence by the CIWMB including the issuance date or permit review date. No other changes in the permit shall be allowed to be made at this time without the owner/operator submitting an application for revision.

An acceptable way of filing this change with the CIWMB is by adding an additional box to the cover page of the permit titled "Permit Transfer Date (pursuant to PRC 44005)" with the new date of transfer. Attach the changed permit cover page (the new permit which includes the new owner/operator). For clarity, the original permit could be attached to the new permit cover page. See attachment for example of the Solid Waste Facilities Permit cover page Word (97/2000, 46 KB) or PDF (Adobe Acrobat, 11 KB).

If the EA determines that the owner/operator has not provided adequate documentation or if the EA has reason to believe that the new owner or operator will be operating outside the terms and conditions of the existing or governing SWFP, then the EA shall inform the operator and the CIWMB in writing within 30 days of receipt of the notification. The EA shall provide the basis for the owner/operator notification being determined inadequate.

Attached is a 45-Day Owner/Operator Transfer Notice form Excel (97/2000, 47 KB) or PDF (Adobe Acrobat, 10 KB) that the owner/operator can use to submit the change(s) to the EA. If used, the form would contain the information required by PRC section 44005. This form is not required by regulation, therefore the EA may choose to use or not to use the form.

CIWMB Requirements

Within 20 days of receipt of the notification, pursuant to CCR Title 27, section 21630, the CIWMB shall provide a written determination of the adequacy of the financial assurances and operating liability demonstrations.

Transferability of SWFP

Many of the existing SWFPs have a standard language statement similar to: "The permit is granted solely to the operator named above, and is not transferable. Upon change of the operator, the permit is subject to revocation or suspension." AB 59 supersedes this requirement, and this condition should be removed from the SWFPs that are being changed under this advisory, as well as SWFPs which are proposed by the EA from this time forward. The only exceptions are when a Conditional Use Permit or California Environmental Quality Act document makes such a requirement. Keep in mind that this statement was standard language in the SWFP boilerplate, which was provided to EAs in the past. It is recommended that this statement be deleted from any electronic copies which you may possess and/or replace this statement with language consistent with the new law.

The use of the term "notification" in this advisory or AB 59 is not to be confused with the use of notification in the tiered permitting regulations.

If you have any questions or need additional information, please contact your Permitting and Inspection Branch representative.

Sincerely,

Original signed by:

Deputy Director
Permitting and Enforcement Division

Attachments:

• Solid Waste Facilities Permit Cover Page: Word (97/2000, 46 KB) or PDF (Adobe Acrobat, 11 KB)

• 45-Day Owner/Operator Transfer Notice Form: Excel (97/2000, 47 KB) or PDF (Adobe Acrobat, 10 KB)

Publication #232-97-001

The intent of the advisories is to provide guidance to Local Enforcement Agencies (LEA) in performing their duties. Guidance, for this purpose, is defined as providing explanation of the Board’s regulations and statutes.

Unless included by reference in the LEA's Enforcement Program Plan (EPP), advisories are not enforceable in the same manner as regulations because they have not been adopted through the formal rulemaking process (see Government Code sections 11340.5 and 11342.6). Advisories do not take precedence over statute or regulation.