LEA Advisory #57—February 4, 1999

Guidance on Writing a Solid Waste Facility Permit

To All Local Enforcement Agencies:

This advisory has been developed in coordination with Local Enforcement Agencies (LEA) and California Integrated Waste Management Board (Board) staff to provide guidance on how to write a solid waste facility permit (SWFP) that is consistent with California Code of Regulation, Title 27 (27 CCR) and the Public Resources Code (PRC). The advisory discusses the role of the LEA and Board staff in the SWFP process, the goals of the SWFP guidelines for writing a permit, including the contents and a boilerplate SWFP (Word, 122 KB or PDF, 19 KB) that can be used as a template, if desired, by the LEA. LEAs are encouraged to use the SWFP boilerplate cover page in order to accommodate changes in owner/operator and five-year review updates.

This advisory is intended to provide guidance to LEAs in performing their duties. Guidance, for this purpose, was defined as providing explanation of the Board’s regulations and statutes, and recommendations how an LEA might satisfy program goals and objectives. This advisory is not intended to impose substantive requirements on LEAs. For more detail on the intent and enforceability of advisories please refer to LEA Advisory #31.

Roles of the LEA and Board Staff in the Permitting Process

The LEA has the primary responsibility in processing and enforcing the SWFP. LEAs review operator application packages to determine completeness and adequacy, and write SWFPs including conditions that protect public health and safety and environment. Additionally, the LEA makes a discretionary action by issuing the SWFP, and therefore is responsible for ensuring compliance with California Environmental Quality Act (CEQA). The LEA is the primary contact for the operator in the permitting process. Board staff’s primary role is to assist the LEA in analyzing the SWFP application package and writing SWFPs. This assistance can be accomplished by publishing advisories, telephone conversations, reviewing applications, training, attending meetings with operators, and other types of technical assistance.

Goals and Function of the Solid Waste Facility Permit

The primary goal/purpose of issuing or revising a SWFP is to ensure protection of the public health and safety and prevention of environmental damage, the long-term protection of the environment shall be the guiding principle (PRC 44012).

Statutory requirements for a SWFP to:

• Authorize the operation of the solid waste facility in accordance with California law and regulations (PRC 44014 [b]).
• Minimize overlap with other regulatory agencies (PRC Division 30, Part 4, Chapter 1.5).
• Specify limitations, prohibitions, terms, and conditions that the enforcement agency determines to be appropriate for the design and operation of a solid waste facility.
• Be consistent with the CEQA analysis for the project (PRC 44004, 27 CCR 21650).

Practical requirements for writing a SWFP to:

• Be written to reasonably accommodate anticipated fluctuations to reflect at least a five-year plan of the facilities’ activities and operations, thus minimizing the need for frequent revisions.
• Specify limitations and prohibitions based on:

a) The LEA’s knowledge of past operating practices.
b) The LEA’s review of the facility design and operation.
c) Local enactments and site specific conditions.

Guidelines for Writing a Solid Waste Facility Permit

The following information is organized by numbers that correspond to the attached boilerplate SWFP (Word, 122 KB or PDF, 19 KB).

1. Facility/Permit (SWIS) Number and Local Enforcement Agency Number (if applicable)
   A permit number assigned for each permit issued by an LEA appearing on all pages of the permit. The SWIS number, assigned by the Board, is for state and local tracking purposes. The LEA can also include the local permit number, if applicable, on the permit.
   
2. Name and Street Address of Facility
   The facility name and address, and/or other identifying description (no P.O. box) to locate the site.
   
3. Name and Mailing Address of Operator
   The name of the operator(s) and their mailing address(es), which may differ from the site address, to identify the responsible party and let the public know where notice may be sent. Generally, contract operators are not included on the permit since the operator and owner are responsible for the permit (14CCR 18208, 27CCR 21663).
   
4. Name and Mailing Address of Land Owner
   The name of the land owner(s) and their mailing address(es), which provides a location to serve notice. For multiple owners or operators the LEA may attach an additional page(s) to the SWFP.
   
5. Permitted Operations
   The type of facility, as defined in regulation and/or statute (landfills, transfer stations, green waste composting facilities, mixed composting facilities, processing facilities, transformation facilities, etc.), including a list of all operations that will be covered under the permit. Multiple activities under one SWFP will generally occur when combining an operation, which falls under the tiered permitting regulations with a full permit activity.
   
6. Approval
   The name and title of the LEA's approving officer typed on the permit and a signature (at the time of issuance of the SWFP).
   
7. Date Received by the Board, Board Concurrence, and the Date the Permit is Issued
   The Board will stamp the date the permit was received in the Board office, and the date it concurs with the permit. The LEA will stamp the date it issues the SWFP to the operator. These dates are necessary for record keeping and tracking the SWFP through the process. In practice, these "stamps" may not appear on the same copy of the SWFP. However, the dates on the final permit must be the same as the stamped dates and the permit shall read the same as the permit that was acted on by the Board.
   
8. Local Enforcement Agency Name and Address
   The LEA’s name and address.
   
9. Operator/Owner Transfer Date
   The date of the transfer the LEA approves a change in operator or owner (land owner and/or business owner) and makes minor changes in the permit to reflect this change pursuant to PRC 44005. This is necessary for purposes of clarification, record keeping, and tracking. If the LEA reissues the permit through a revision, this is not necessary.
   
10. Site Boundary
    The site boundary, including all areas that will be governed by the permit. The boundaries may be described in parcels, as long as they are whole parcels. If, for some reason, the boundaries can not be described in whole parcels they may be described from the results of an engineered survey (a "metes and bounds" description). A map may be attached to the parcel description or "metes and bound" description to clarify the permit boundaries and to define the location of the permitted acreage (14CCR 18208, 27CCR 21663).
    
11. LEA Findings Pursuant to Public Resources Code 44009 and 44010
    The findings can be as stated in the boilerplate permit or as deemed appropriate by the LEA. Please note that these findings are made at the time the LEA proposes and issues the SWFP. The following findings shall be made:

    a. The permit is consistent with the County Solid Waste Management Plan (CoSWMP) or the Countywide Integrated Solid Waste Management Plan (CIWMP) (PRC 50000 or 50001).

    b. Facility compliance with PRC 50000 or 50001. For a landfill SWFP, where a CIWMP has not been approved, the authorized agent must have made a written finding that the facility is consistent with, and designated in, the applicable General Plan(s). Additionally, the local governing body must make a written finding that the surrounding land use is compatible with the facility operation (PRC 50000.5 [a] and [b]). (Authorized agent means the body or person who has the authority to determine county and/or city general plan conformance, which is usually a jurisdiction’s Board of Supervisors or City Council.)

    c. The permit is consistent with standards adopted by the Board (PRC 44010).

    d. The design and operation of the facility is consistent with the state minimum standards for solid waste handling and disposal as determined by the LEA.

    e. The environmental documentation (i.e., Environmental Impact Report (EIR), Negative Declaration, and/or Exemption) is consistent with and supports the proposed permit and Report of Facility Information (RFI). This finding should cite the environmental document(s), a document reference number, and date, including amendments that enabled the LEA to make this finding.

12. Facility Limitations include:

• Tonnage
• Elevation and excavation
• Disposal (footprint) area
• Hours of operation
• Traffic

If the LEA deems that these limits are not an integral part of the project description, the LEA should provide a rationale in a cover letter that accompanies the proposed permit and be prepared to present that rationale at the Board hearing where the SWFP is being considered. It is recommended that the LEA work with Board staff if any of these items are deleted from the Limitations section of the permit to ensure a smoother package submittal during the 60-day review and concurrence timeframe. When determining the appropriate limits to put in the permit the LEA should consider 27 CCR, section 21663:

" The permit shall specify the person authorized to operate the facility and the boundaries of the facility. The permit shall contain such conditions as are necessary to specify a design and operation for which the operator has demonstrated in proceedings before the LEA the ability to control adverse environmental effects." A description of the design and operation may include, capacity, throughput, traffic, contouring of a landfill, physical configurations, such as acreage and height for a landfill, procedures, personnel and equipment. …."

When writing limits into the SWFP it is important that they are written in a clear manner so as to be enforceable and unambiguous. For example, if an average tonnage is being used as a limit the time over which this average is calculated should be included. (Note: Generally, averages are used as limits when CEQA has defined tonnage as an average. Sometimes an average and maximum are described in the CEQA document.)

SWFP limitations are used to ensure compliance with state minimum standards, applicable parts of the CEQA document, and local requirements as deemed necessary by the LEA. For more flexibility the numbers should be limits consistent with or lesser than delineated in CEQA documents and not necessarily what is currently occurring at the site. The LEAs, as parameters for setting any necessary conditions or monitoring requirements, may use these limits.

The limit should be complete and specific. For example, hours of operation could be interpreted as operating hours, hours open to the public, etc. LEAs should avoid ambiguous conditions similar to the above example. Be specific on the intent of the limit.

Proposals to exceed SWFP limits may cause the LEA to change the SWFP conditions, conduct additional CEQA analysis, or require the operator to amend the RFI description of design and operations. In some cases, the LEA may determine that these limits may not be necessary. An example of this may be if the RFI describes necessary measures for operating at night, CEQA analysis has no limits on hours of operation and there is no environmental, public health, or nuisance reason to limit the hours of operation, then limiting the hours of operation in the permit may not be necessary. Keep in mind that if any limitation has been set in the CEQA documents the SWFP can not exceed these limits.

Additionally, one limitation could supersede the need for another limit. For example, if the tonnage limit restricts the vehicle traffic enough to ensure that incoming and outgoing traffic will not impact the operator’s ability to handle the permitted amount of waste, or cause a hazard on public roads from vehicles stacking, then the traffic limit may not be necessary in the permit.

Any of these limits may be described in a manner the LEA determines is adequate for the appropriate level of public health and environmental protection and is consistent with the CEQA documents. When deciding if these limits are necessary the LEA shall consider the location of the facility, proximity to homes and businesses or other sensitive receptors, special site conditions, the operator’s compliance record, the CEQA analysis, and the overall design of the facility. Any of these limitations may be excluded from the SWFP with a brief explanation of the LEA's reasoning. This reasoning may be given in the cover letter that accompanies the proposed permit.

13. Design Information includes:

• Total Airspace Capacity
• Design Capacity (for other than disposal facilities)
• Remaining Airspace Capacity as of a specific date
• Estimated Closure Year

Preceding the Design Information section with a statement indicating that this description is the design information at the time this permit is issued/written provides maximum flexibility for operators who make non-significant changes in design and operation, in order to meet AB 939 goals, to adapt to changing regulations, and to efficiently run their solid waste facility while still having a meaningful project description in the permit to provide the LEA with a baseline for determining significant change. The LEA may allow changes through approved RFI amendments, pursuant to 27 CCR, section 21665.

Information provided in this section of the permit is interlinked and a minor change in one set of the Design Information could lead to the change of other criteria. Site/SWFP changes should be reviewed on a case by case basis. If significant changes occur in the site design this will, in most cases, change other parameters such as capacity and site life. Significant changes will require revision of the SWFP and may require additional environmental review in order to comply with CEQA. However, it may also be appropriate to put these parameters as restrictions if the facility is limited by the CEQA analysis. A good example of this is a lateral expansion of a landfill (filling in a whole new area or unit) which, in almost all cases, would be a significant change because the landfill’s footprint, acreage, capacity, closure year, and closure plan would all change (PRC 44004(a)).

This should be a list of documents (i.e., permits, environmental documents, etc.), including the dates of the documents that were reviewed at the time the permit was issued. These documents describe and/or condition the operation and use of the facility, which were considered when the LEA wrote and issued this permit. The LEA considered these documents before making the above findings about the facility and permit and before determining the necessary conditions to incorporate into the permit to ensure the protection of public health and safety and the environment. These are not conditioning documents of the SWFP and are not enforceable under this permit. The LEA might include the following:

• EIR or negative declaration*
  (include clearinghouse number)
• Land use permits and conditional use permits*
• Preliminary closure plan or final closure and postclosure maintenance plan*
• Closure financial responsibility documentation
• Operating liability documentation
• Waste discharge requirements
• Local and county ordinances and rulings that regulate the facility
• Air pollution permits and variances

* Indicates documents that should be reviewed prior to writing the permit.

This section should include those self-monitoring requirements that should be submitted to the LEA on a timed basis. The LEA should consider its authority and need for the documents. The LEA may require any reports that are necessary to monitor the facilities compliance with State minimum standards. The monitoring requirements may also be put as LEA conditions if the LEA deems it to be more efficient.

The LEA may want to condition the operation of the facility. When considering what kind of conditions may be appropriate the LEA should consider any past enforcement issues with the operator, or any environmental impacts associated with the design and operations of the facility which may need mitigating. The LEA should not restate conditions from the permits issued by other agencies. Conditions that are more restrictive than the limits expressed in a Regional Water Quality Control Board (RWQCB) or local air district permit or order should be solely for the purpose of protecting the public health and safety and the environment along with the citation of the authority which supports such condition.

The information contained in the Report of Disposal Site Information (RDSI) shall be used to determine whether a permit should be issued and to provide information to be included within the permit if, in the opinion of the LEA, it is applicable. The RDSI should be referenced in the ‘conditions’ section of the permit. The LEA may include as much of the RDSI in the permit as deemed applicable pursuant to 27 CCR 21600 (a). It is suggested that language be crafted to allow for future amendments to the RFI.

The permit could contain prohibitions on the acceptance of any liquid waste sludge, non hazardous waste requiring special handling, designated waste, or hazardous waste to be accepted at the site under the LEA Conditions section.

Mitigation measures that are adopted as part of the CEQA analysis are often included in the LEA conditions. The LEA should only include those mitigation measures that the LEA has the authority to enforce under the PRC, 14 CCR, and 27 CCR.

Conclusion

Although not always easy to write, a clear and concise permit benefits the LEA, operator, and the Board. It is necessary to strive toward writing permit conditions that are explicit and indisputable. The Board encourages LEAs to work closely with their Permitting and Inspection Branch representatives when preparing SWFPs. This helps to reduce potential problems and misinterpretations on or near the day of the hearing.

Lastly, the LEAs may incorporate other limits and conditions in the permit, as they deem necessary to protect the public health and safety and the environment and ensure the facilities’ ability to comply with State minimum standards with an authority citation. All limits or conditions should be within the LEA’s authority and in conformance with PRC, Chapter 1.5, Sections 43100-43103 (AB 1220). If proposed limits or conditions overlap with the RWQCB or local air district limits, the LEA should coordinate with the appropriate agency and operator before the proposed limits are included in the permit, pursuant to 27CCR, sections 20005 and 20030 and PRC 43101 et seq. If the limits or conditions are made under the authority of the health department or community ordinance the authority is appropriately cited next to the limit or condition.

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

Sincerely,

Original signed by:

Julie Nauman, Deputy Director
Permitting and Enforcement Division

Attachment 1: Word (122 KB) or PDF (19 KB)

Publication #231-99-001

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.