The LEA Evaluation Process

CalRecycle Technical Training Conference

December 3, 2018

Session 1:15pm to 2:15pm

Presenters:

Georgianne Turner, CalRecycle Branch Chief for the

Waste Evaluation & Enforcement Branch.

Paulina Lawrence, CalRecycle Manager for the Solid

Waste Enforcement Section.

Session Overview

Local Enforcement Agency (LEA) Certification & Evaluation History

Statute Change

History and Process in Developing the LEA Evaluation

LEA Evaluation Process

LEA Evaluation Schedule

Certification Maintenance

EPP Updates

HP/HO Updates

LEA Certification and Maintenance Resources

Funding Provided by CalRecycle for LEAs

How LEA Certification & Evaluation Began

(1989) AB 939—Integrated Waste Management Act - More than Recycling

LEA Designation

LEA Certification

LEA Evaluation

Every three years

Six statutory findings in PRC 43214 (d)

LEA Training

Set Minimum Inspection Frequencies

Set CalRecycle Inspections Frequency

With LEAs

For training & evaluations

The LEAs Were Created…

Designation & Certification

Local governing body designates an agency to carry out LEA duties

To enforce State Solid Waste (SW) Laws

No conflict of interest - No agency or employee which is operating SW handling or disposal operation can be the LEA

Counties and a few Cities submitted Designation Information & Enforcement Program Plan (EPP)

CalRecycle Certified LEAs (Most all by 1992)

No conflict of interest

Agency has experience in enforcement of PH&E regulations

Staff expertise & Registered Environ. Health Specialists (REHS)

Adequate staff and budget (Income and Expense)

Program descriptions consistent with State laws

Statutory Foundation of Evaluation

PRC 43214 outlined six performance standards for evaluating

certified Local Enforcement Agencies, and required further

clarification in regulation.

14 CCR 18080 et. seq. set performance standards

All facilities and operations must be in compliance w/ SMS and

be permitted according to tier, OR under enforcement action

Shall conduct technical reviews of corrective actions and

closure plans

IHP/HO and EPP Maintenance

Implement Permitting, Closure and Inspection and Enforcement

Requirements

Statutory Findings

Pursuant to PRC 43214 (d):

The LEA has failed to exercise due diligence in the inspection of solid waste facilities and disposal sites;

The LEA has intentionally misrepresented the results of inspections;

The LEA has failed to prepare, or cause to be prepared, permits, permit revisions, or closure and postclosure maintenance plans;

The LEA has approved permits, permit revisions, or closure and postclosure maintenance plans which are not consistent with Part 4 and Part 5 of the Public Resources Code (PRC);

The LEA has failed to take appropriate enforcement actions; and

The LEA has failed to comply with, or has taken actions that are inconsistent with, or unauthorized by statute or regulations.

History & Process in Developing the LEA Evaluation

First Evaluations – Trial & Error

Prior to 2001, LEAs and CalRecycle collaboratively developed

process

Key Components of the 2001/2003 Procedures

Goal: Try to resolve issues as they arise

CalRecycle to provide guidance, direction, assistance, &

training; when requested

Triggers for assistance, or early evaluation, if concerns

persist

Triggers for LEA Assistance

A set of “triggers” have been developed with the main purpose

of determining the appropriate time to offer assistance to LEAs.

Although many situations are handled on a case-by-case basis,

triggers allow staff and LEAs to better understand & achieve

common goals in the shared programs.

Ultimately, they help the local agencies to become proactive

and resolve program implementation issues.

History & Process in Developing the LEA Evaluation

First Evaluations – Trial & Error

Prior to 2001, LEAs and CalRecycle collaboratively developed

process

Key Components of the 2001/2003 Procedures

Goal: Try to resolve issues as they arise

CalRecycle to provide guidance, direction, assistance, & training;

when requested

Triggers for assistance, or early evaluation, if concerns persist

Process (data, prepare report, share draft results, factual edits)

Report format based on statute

Implementation Issues: Workplan, Administrative Hearing,

Remedies in Statute and Regulation

Statute & Program Goals

State Standards are enforced in a consistent manner

LEAs have adequate training and support

Collaborate to solve compliance issues

Assure compliance at all solid waste facilities

Evaluation is a record of excellent work and sometime

identifies where more focus is needed.

What is the LEA Evaluation Process?The evaluation process can serve as a tool to increase the overall performance and success of a LEA. The LEA Evaluation reviews the six statutory findings pursuant to the PRC Section 43214(d).

Areas in which a LEA is reviewed during an evaluation:

Inspection:

Does jurisdiction's data concur with CalRecycle’s database?

Is the LEA conducting facilities’ inspections according to the defined facilities inspection frequencies?

Enforcement:

Did the LEA issue a Compliance Schedule within fifteen days for facilities listed on the Inventory of Solid Waste Facilities Violating State Minimum Standards, and is the LEA following up appropriately?

Is the LEA taking appropriate enforcement and writing enforcement actions as per 14 CCR § 18304?

Permitting:

Are permits and closure requirements for the facilities in the LEA’s jurisdiction being met and are they current?

The LEA Evaluation Process (Continued) Closure

Do the sites within the LEA’s jurisdiction meet closure/postclosure

requirements?

Are appropriate enforcement actions being taken for non-compliance?

Certification Maintenance (Enforcement Program Plan):

Is there a conflict of interest with a LEA’s responsibility or designation?

Are the jurisdiction’s solid waste facilities enumeration consistent with

CalRecycle’s database?

Is the LEA’s training requirements being met?

Is the LEA maintaining staffing and technical expertise as listed in their

EPP?

Does the LEA’s budget indicate adequate resources?

Is the hearing panel/hearing officer up to date?

LEA Evaluation Schedule (Phases) Phase I

Review facilities’ documentation within the LEA’s jurisdiction & note compliance issues

Compile specific facility information and document on site-by-site basis

Contact LEAs to address any gaps found in documentation

Phase II

Prepare draft LEA Evaluation Report

Verify current status of documented issues with LEA

Circulate draft LEA Evaluation Report for internal review

Provide LEA with draft evaluation

Phase III

Arrange and hold exit interview

Finalize evaluation and provide LEA with results

Phase IV

Workplans & other remedies

14 CCR § 18086- Types of Board Actions over LEAsCalRecycle may take the following actions:

1. Conduct more frequent inspections and evaluations within an LEA's jurisdiction.

2. Establish a schedule and probationary period for improved performance by an

LEA.

3. Assume responsibility for specified LEA duties, by partially or fully decertifying an

LEA, either permanently or through a temporary suspension. Such an assumption of responsibility shall only extend to the LEA duties so specified by CalRecycle.

CalRecycle may charge for operations pursuant to PRC 43212(a) while performing

enforcement agency duties.

4. Withdrawal of CalRecycle’s approval of the local governing body's designation of

the LEA.

5. Implement any other measures which may be determined by CalRecycle

deemed necessary to improve LEA compliance.• Request submission of an Evaluation Workplan

CalRecycle’s Responsibilities for LEA Performance &

Assistance - Independent of Evaluation Cycle

CalRecycle provides LEAs ongoing assistance on a daily basis

A set of indicators i.e. Triggers identifies potential issues in LEA performance

What if the LEA does not improve performance?

CalRecycle uses its resources to resolve potential issues and improve LEA performance

CalRecycle notifies the LEA of the issues identified

If no improvement is made by the LEA, then CalRecycle’s LEA Evaluation Staff determines a course of action; including consequences

Such as, an Administrative Conference or other associated remedies as per 14 CCR § 18086

Certification Maintenance

Enforcement Program Plan (EPP) Updates

The EPP is required to be established and

maintained by the LEA pursuant to Public

Resources Code, § 43209(e) and14 CCR § 18077

Certification Maintenance (Cont.)

Hearing Panel/Hearing Office Updates

The HP/HO appointments must be current at all times for

the purpose of an appeal of an LEA action or inaction

(such as; an enforcement action, a permit condition, or

failure to act) in accordance with the laws or

regulations specified in Public Resources Code Section

44307

LEA Certification and Maintenance Resources

The EPP Tool Box

https://www.calrecycle.ca.gov/LEA/EPP/

Hearing Officer Resources

https://www.calrecycle.ca.gov/LEA/HearingPanel/

Funding Provided by CalRecycle for LEAs

CalRecycle’s LEA Grants

CalRecycle administers a non-competitive grant program

to assist LEAs with their solid waste facilities permit and

inspection program

Pursuant to Public Resources Code, Section 43230, these

grant awards are to be used solely for support of the solid

waste facilities permit and inspection programs

Per LEA grant regulation, eligible applicants are limited to LEAs

and regional LEAs that are certified by CalRecycle

LEA Evaluation Staff

Sandra Jimenez, Nai Teurn, Sue Chow

Lynn Smith, & Diana Cozadd,

QUESTIONS???