CIWMP Enforcement Part I: Plan Adequacy
As approved by the Board on November 17, 1993

Disapproval Process

If the Board disapproves a Source Reduction and Recycling Element (SRRE) or Countywide Integrated Waste Management Plan (CIWMP), the Board must issue a Notice of Deficiency (NOD) that identifies the specific reasons for the rejection. This must occur within 30 days of the Board’s decision. A NOD would be issued to the local jurisdiction for all element disapprovals. The NOD must include specific deficiencies of the element and specific recommendations on how to correct the deficiencies. Within 120 days of receipt of the NOD, the jurisdiction must correct the deficiencies, readopt, and resubmit the city SRRE or the CIWMP to the Board. The following issues which could lead to a disapproval for an element and plan are described below.

If a SRRE, including a SWGS, submitted to the Board for final review, includes the diversion of agricultural wastes, inert solids, or scrap metals for years preceding the year commencing January 1, 1990, and the Board is unable to determine, due to insufficient information submitted, if the material was diverted from a permitted disposal facility through action by the jurisdiction which specifically resulted in diversion, the Board must notify the jurisdiction within 60 days that the diversion is excluded for purposes of calculating compliance with diversion goals of 25 and 50 percent for 1995 and 2000, respectively.

SWGS’ determined to not be accurate or representative shall be corrected by the local jurisdiction. There are several issues and potential solutions the Board needs to consider. The issues include: (1) non-comparable data; (2) incomplete and/or inaccurate data; and (3) availability of more accurate data.

1. Non-Comparable Data: Staff recommend the jurisdiction be required to find a more comparable jurisdiction so that the waste generation data is more representative of the specific jurisdiction.
2. Incomplete and/or Inaccurate Data: The base-year data needs to be as accurate as possible because it is used as the basis for determining how much and what types of diversion programs are needed and whether a jurisdiction achieved the 25 and 50 percent diversion mandates. If the base-year data figures are incomplete, staff would recommend the Board require the jurisdiction to revise the data to be an accurate, representative characterization. The revision of the SWGS may require revision of other components of the SRRE. The schedule for revision is specified in PRC section 41811 and 41811.5.
3. Availability of More Accurate Data: Some jurisdictions indicate they wish to revise their waste generation, disposal and diversion numbers as local jurisdictions have developed more accurate tracking systems since the SWGS was prepared. Staff recommend the Board request original data be corrected or augmented by extrapolating backwards from the new, more accurate data. There could be two results from implementing this recommendation: (1) jurisdictions could develop a more accurate basis for planning appropriate diversion programs and it would increase the accuracy of the Board’s statewide waste generation information; or (2) jurisdictions could use the data to show they met the mandate, without changing actual diversion programs.

If a jurisdiction has received an NOD from the Board for a SRRE, which included the diversion of agricultural waste, inert solids, or scrap metal, the jurisdiction may submit additional information to substantiate that the material was diverted from a permitted solid waste facility for the purpose of diversion. The jurisdiction’s response must be submitted within 60 days of receipt of the disapproval. Upon receipt of additional information from the jurisdiction, the Board has 60 days to evaluate the new information and determine if the excluded waste complies with the diversion goals of AB 939. Subsequent to the Board’s excluded waste determination, the jurisdiction has 120 days to resubmit the SRRE to the Board. If a jurisdiction is unable to resubmit the SRRE within 120 days, the Board has the prerogative to extend the deadline (PRC 41811.5).

If the Board disapproves an element, it must issue a NOD which identifies the specific reasons for the disapproval and includes specific recommendations on how to correct the deficiencies. Then the jurisdiction has 120 days to correct the deficiencies, readopt, and resubmit the element to the Board. The revisions must be done before the Board can make a final approval of an element. If the disapproval includes issues related to excluded wastes, a specific process must be followed to demonstrate that the required criteria have been met in order to claim diversion of excluded wastes. This process involves submittal of additional information by the jurisdiction and review and approval/disapproval of the claim by the Board as discussed above.

The following is a discussion of specific examples of the guidance the Board would provide the local jurisdictions who receive a NOD for inadequate planning requirements of an element or plan. Technical assistance would be provided to local jurisdictions by Board staff in order to provide the necessary guidance to correct elements or plans deemed inadequate. These examples are not all inclusive of the possible recommendations to correct deficiencies because NODs would be issued on a case-by-case basis.

1. If the SRRE does not contain the minimum components (Solid Waste Generation Study, Source Reduction, Recycling, Composting, Special Waste, Disposal Facility Capacity, Funding, Public Information and Education, and Integration) then the jurisdiction will need to revise their SRRE by including the missing component(s).
2. If the element or plan will not achieve the mandates of PRC section 41780, then Board staff will work with the local jurisdiction to discover possible remedies or solutions that will enable the jurisdiction to achieve the mandates. Possible solutions include identifying alternative diversion programs for management of solid waste generated within the jurisdiction and which are consistent with the waste management hierarchy and order of priority, correcting the SWGS, identifying changes in the local jurisdiction that affected or delayed the solid waste planning process such as layoffs or lack of resources.
3. If the element or plan does not contain an evaluation of source reduction, recycling, composting, and special waste diversion programs considered for possible local implementation, then the SRRE will need to be revised by the local jurisdiction addressing the missing information.
4. If the element or plan does not contain an identification and description of the source reduction, recycling, composting, and special waste programs selected for implementation, then the SRRE will need to be revised by the local jurisdiction addressing the missing information.
5. If the element or plan does not contain a discussion of the local market development activities for the recycling and composting components, then the SRRE will need to be revised by the local jurisdiction addressing the missing information.
6. If the element or plan does not contain a discussion of the combined permitted disposal capacity for each permitted disposal facility within the local jurisdiction, as well as a disposal facility needs projection estimating the additional disposal capacity needed, then the SRRE will need to be revised by the local jurisdiction addressing the missing information.
7. If the element or plan does not contain a description of the solid waste generated in the jurisdiction that is imported and/or exported and the jurisdiction is claiming disposal capacity in another jurisdiction, then a copy of the agreement or memorandum of understanding will need to be included in the revised SRRE.
8. If the element or plan does not contain the cost estimations for the source reduction, recycling, composting, special waste, and public information and education programs scheduled for planning, development and implementation, as well as the revenues sources identified to support those programs and any sources of contingency funding necessary, then the SRRE will need to be revised by the local jurisdiction addressing the missing information.
9. If the element or plan does not contain a description of the targeted audience for the planned education and public information programs, then the SRRE will need to be revised to include the missing information.
10. If the element or plan does not contain an identification and description of the public education and information programs selected for implementation, monitoring and evaluation, then the SRRE will need to be revised to include the missing information.
11. If the element or plan does not contain a prioritization of selected diversion programs, a master implementation schedule, an explanation of how each of the diversion programs selected to achieve the 25 percent and 50 percent diversion mandates, contingency measures and milestone, then the SRRE will need to be revised to include the missing information.

SWGS Component

1. If waste quantity data are not provided, the jurisdiction will need to revise their SRRE by including these data. Data may be obtained by conducting a solid waste characterization study, as described in Title 14 CCR Article 6.1, or by calculating the data, based on waste composition data of a comparable jurisdiction. The new data must be extrapolated back to 1990 base-year amounts.
2. If the base-year generation data provided are not accurate, to correct this deficiency will depend on the reason for the inadequacy. For example, if tables with conflicting numbers are provided in the final SRRE, the jurisdiction would be requested to clarify which data are accurate, and revise the SRRE accordingly.
3. If the waste generation data are not shown to be representative of the jurisdiction, Board staff may assist the jurisdiction in identifying available data sources to render the data more representative. What must be done to correct any errors will depend on the error. For example, if data used were not comparable, then the jurisdiction could select another comparable jurisdiction. The SRRE would need to be based on the new information.
4. If data used were not comparable, the jurisdiction may work with the Board to identify jurisdictions that could be more comparable. The jurisdiction must re-evaluate its selected diversion programs based on the new, more comparable data, and revise its SRRE accordingly.
5. If seasonal variation was not addressed, the SRRE must be revised to reflect seasonal variation in wastes generated. Comparable jurisdiction data may be used to determine seasonal variation.
6. If any conversion factors used were not approved by the Board, Board staff may provide the jurisdiction with factors and/or methods that have been approved by the Board. Recalculations must be included in the revised SRRE.
7. If testing methods were developed to determine conversion factors, and the methods were not summarized in the SWGS, the SRRE must be revised to include a discussion of these testing methods.
8. Diverted waste types that are not normally disposed, as per 14 CCR section 18720(44), may not be included in the jurisdiction’s diversion total. Base-year diversion amounts that include waste types that are not normally disposed must be modified to reflect their exclusion. If this reduction in the diversion amount lowers the jurisdiction’s projected diversion rates for 1995 and 2000 to lower than that 25 percent and 50 percent waste diversion mandates, then the jurisdiction will have to re-evaluate the diversion programs selected. The SRRE must be revised to include this new information.
9. If it is unclear to Board staff how diversion amounts were determined, or if diversion is claimed for a waste type for which no diversion activity was identified, the jurisdiction must revise the SRRE. Staff will identify any diversion amounts that are questionable, and will recommend what is needed to clarify the claimed amounts. Staff will also identify any special waste types claimed as diverted that have no apparent associated diversion activity. The SRRE must be revised to show this new information.
10. A jurisdiction must provide sufficient documentation to demonstrate the three criteria for claiming base-year diversion of an excluded waste type were met. The information must be provided according to the procedure outlined in PRC section 41811.5. Staff will indicate in a NOD what types of documentation may be appropriate for the waste type in question.

Enforcement Process

If a jurisdiction’s revised SRRE or CIWMP is still deemed inadequate by the Board, the Board must conduct a public hearing and take testimony on the SRRE or CIWMP and the deficiencies identified by the Board. After conducting the public hearing, the Board may impose administrative civil penalties of not more than $10,000 per day on any jurisdiction which fails to submit an adequate SRRE or CIWMP (PRC 41813).  

Please see Part II for Board policies and processes regarding failure of a jurisdiction to implement its SRRE and/or HHWE.

As approved by the Board on November 17, 1993.

Last updated: December 28, 2007