Local Enforcement Agency Permit Toolbox

Financial Assurance and Operating Liability

This page provides resources and guidance for applicants, local enforcement agencies, and California Integrated Waste Management Board (CIWMB) staff for determining if a proposed solid waste facility application and/or permit is consistent with financial assurance and operating liability requirements. 

• Which types of facilities require this information as part of the permit application package?
• What are the application package submittal requirements?
• What are the processing requirements?
• What other resources are available?

Please visit the financial assurance program Web page or contact the financial assurance program staff for more information.

Which types of facilities or permits require this information?

Any solid waste landfill or major waste tire facility which is required to obtain or maintain a new or revised full permit.

Financial assurance and operating liability information is required when: 

• Submitting or processing a new or revised full permit or application.
• Processing a change in owner/operator.
• Processing a five-year permit review.
• Submitting a closure/postclosure maintenance plan.

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Application requirements

A complete and correct permit application package shall include:

Financial Assurance Information—For disposal sites, current documentation of acceptable funding levels for the approved financial assurance mechanism and compliance with other closure and postclosure maintenance financial assurance requirements. [Title 27, Section 21570(f)(7)]

Operating Liability Information—For disposal sites, current documentation of compliance with operating liability requirements. [Title 27, Section 21570(f)(8)]

The regulations require this information in order to assure:

• Proper closure of solid waste landfills.
• Proper post closure maintenance of solid waste landfills.
• Timely availability of funds for landfill closure and post closure maintenance.
• Corrective action for known or reasonably foreseeable releases at solid waste landfills.
• Availability of funds to properly close major waste tire facilities (MWTF).
• Availability of funds for operating liability claims, for third party bodily injury and property damage, resulting from the operations of solid waste landfills and MWTF.

Contact the Board's Financial Assurances Section (FAS) staff for your county if you have questions.

Please visit the full permit page and the full permit "laundry list" for information on other elements of the permit application package.

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Processing requirements

Financial assurance information is required to be submitted to the CIWMB on an annual basis. However, due to the dynamic nature of financial assurance demonstrations, a determination made by Board staff may only be valid for 30 days.

Please visit the financial assurance program Web page or contact the financial assurance program staff for more information. Also see Financial Assurances Bulletin No. 5.

Operator Role 

• Submits financial assurances and operating liability information to LEA and Board with application.
• Certifies that application package is complete and correct.

LEA Role

• Reviews application package.
• Not responsible for reviewing or evaluating the financial assurance or operating liability documentation (Board's FAS staff will perform this service at your request).
• Responsible for submitting Financial Assurance Review Request Form (Adobe PDF, 12 kb or MS Word, 25 kb) to the Board's Financial Assurances Section. The LEA may need to submit the review request form more than once during the permit process:

1. At the time of receipt of the permit application. 
2. At the time the application package is determined to be complete and correct if the FAS review determination period has expired (usually 30 days).
3. At the time the proposed permit is submitted to the Board if the FAS review determination period has expired (usually 30 days).

Board Role

• Permitting and Inspection Branch will also submit the Review Request Form (Adobe PDF, 12 kb or MS Word, 25 kb):

1. At the time of receipt of proposed permit.
2. At the date of obtaining a Board meeting agenda item title if the FAS review determination period has expired (usually 30 days).
3. Ten days before the scheduled Board meeting if the FAS review determination period has expired (usually 30 days).

• FAS reviews financial assurance documentation for compliance with the regulatory requirements.
• The data collected is tracked in the Board's database (SWIS).

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Resources 

Statute (PRC) and Regulations (Title 27 CCR)

• PRC Section 44009(c) describes the reasons to object to a proposed permit (which includes financial assurance and operating liability information).
• PRC Section 43040 -- Financial responsibility.
• PRC Section 43600-43610.1 -- Financial ability.
• Title 27, Chapter 6 -- Financial Assurances and Operating Liability requirements for Solid Waste Facilities and at Waste Management Units.

Other Resources

• Financial assurances staff contact list.
• Financial assurances Web page.
• Financial Assurances Bulletin No. 5 (Requesting Board review of financial assurance).
• Review Request Form (Adobe PDF, 12 kb or MS Word, 25 kb) 
• LEA Advisory No. 47--Processing Procedures for a Change in Owner and/or Operator of a Solid Waste Facility.

To open Adobe PDF files, you will need to download the free Adobe Acrobat Reader.

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Last updated: November 25, 2008