Loading (50 kb)...'
(continued)
(d) The Board or its designee may object to the use of any insurer at anytime, whether before or after placement of coverage based on information obtained from, but not limited to, the Surplus Line Association of California, Best's Insurance Reports, and/or the Non-Admitted Insurers Quarterly List.
(e) Each insurance policy shall be either:
(1) Evidenced by a "Certificate of Liability Insurance" established by using form CIWMB 146 "Certificate of Liability Insurance" (12/91), which is incorporated herein by reference (See Appendix A.); or
(2) Amended and evidenced by a "Liability Insurance Endorsement" established by using form CIWMB 147 "Liability Insurance Endorsement" (12/91), which is incorporated herein by reference. (See Appendix A.)
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18492. Self-Insurance and Risk Management.
(a) To use the self-insurance and risk management mechanism an operator shall:
(1) Be a public entity;
(2) Be self-insured;
(3) Employ a risk manager;
(4) Have an active safety and loss prevention program that seeks to minimize the frequency and magnitude of third party damages caused by accidental occurrences and other self-insured losses; and
(5) Have procedures for and a recent history of timely investigation and resolution of any claims for third party damages caused by accidental occurrences and other self-insured losses; and
(6) Satisfy any other reasonable conditions including but not limited to the submittal of audited financial statements that the Board or its designee determines are needed to ensure that the assured amount of funds shall be available in a timely manner.
(b) This coverage shall be demonstrated by using form CIWMB 148 (12/91), "Certificate of Self-Insurance and Risk Management", which is incorporated herein by reference. (See Appendix A.)
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18493. Financial Means Test.
(a) To pass the financial means test, an operator or a guarantor shall be a private entity and shall meet the criteria of section (c) or (d) based on independently audited year-end financial statements for the latest completed fiscal year.
(b) The phrase "amount of liability coverage to be demonstrated by the test" as used in sections (c) and (d) refers to the amount of liability coverage required by section 18487 of this Article.
(c) The operator or guarantor shall have:
(1) Net working capital and tangible net worth each at least six times the amount of liability coverage to be demonstrated by the test; and
(2) Tangible net worth of at least $10 million; and
(3) Assets located in the United States amounting to at least 90 percent of its total assets or at least six times the amount of liability coverage to be demonstrated by the test.
(d) The operator or guarantor shall have:
(1) A current rating for its most recent bond issuance of AAA, AA, A, or BBB issued by Standard and Poor's or Aaa, Aa, A, or Baa as issued by Moody's; and
(2) Tangible net worth of at least six times the amount of liability coverage to be demonstrated by the test; and
(3) Tangible net worth of at least $10 million; and
(4) Assets located in the United States amounting to at least 90 percent of its total assets or at least six times the amount of liability coverage to be demonstrated by the test.
(e) Within 90 days after the close of each financial reporting year, the operator or the guarantor shall submit the following items to the Board or its designee and, in the case of a guarantor, to the operator;
(1) A letter on the operator's or guarantor's official letterhead stationary that is worded and completed as specified in form CIWMB 149 "Instructions for the Letter from the Chief Financial Officer Financial Means Test for Liability" (12/91), which is incorporated herein by reference and which contains an original signature of the operator's or guarantor's chief financial officer. (See Appendix A.) An operator or guarantor shall use form CIWMB 149 to demonstrate or guarantee financial responsibility for liability coverage only. If the operator or guarantor is using a similar financial means test to demonstrate liability coverage for facilities in California or other states, such as but not limited to, hazardous waste treatment, storage, or disposal facilities, or solid waste landfills, or other waste tire facilities, the operator shall list all facilities covered by the financial means test, whether in California or not.
(2) A copy of an independent certified public accountant's report on examination of the operator's or guarantor's financial statements for the latest completed fiscal year, with a copy of the operator's or guarantor's financial statements for the latest completed fiscal year.
(3) A letter from an independent certified public accountant stating that:
(A) He or she has compared the data in the letter in section (e)(1), from the chief financial officer specified as having been derived from the financial statements for the latest completed fiscal year of the operator or the guarantor, with the amounts in the financial statements; and
(B) Based on the comparison, no matters came to his or her attention that caused him or her to believe that the specified data should be adjusted.
(4) If the operator or the guarantor is required to make such a filing, a copy of the operator's or guarantor's most recent form 10-K filed with the U.S. Securities and Exchange Commission.
(f) The Board or its designee may require updated financial statements at any time from the operator or guarantor. If the Board or its designee finds that the operator no longer meets the financial means test requirements of sections (c) or (d) based on such reports or other information, including but not limited to, credit reports and reports from other state agencies, the operator shall obtain alternate coverage within 60 days after receiving the notification of such a finding.
(g) If an operator using the financial means test fails to meet the requirements of the financial means test under sections (c) or (d), the operator shall obtain alternate coverage within 60 days after the determination of such failure.
(h) If the operator fails to obtain alternate coverage within the times specified in sections (f) or (g), the operator shall notify the Board or its designee by certified mail within 10 days of such failure.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18494. Corporate Guarantee.
(a) The guarantor shall be:
(1) A parent corporation of the operator; or
(2) A firm whose parent corporation is also the parent corporation of the operator; or
(3) A firm engaged in a substantial business relationship with the operator and issuing the corporate guarantee as an act incident to that business relationship.
(b) The guarantor shall meet the requirements of the financial means test under sections 18493(c) or (d) of this Article based on the guarantor's audited year-end financial statements.
(c) The corporate guarantee shall be worded and completed as specified by form CIWMB 150 "Corporate Guarantee" (12/91), which is incorporated herein by reference. (See Appendix A.)
(d) The terms of the corporate guarantee shall specify that if the operator fails to satisfy a judgment or an award for bodily injury and property damage to third parties caused by accidental occurrences, or fails to pay an amount agreed in settlement of a claim arising from or alleged to arise from such injury and damage, the guarantor shall satisfy such judgment, award, or settlement agreement up to the limits of the corporate guarantee.
(e) If the guarantor fails to meet the requirements of the financial means test under section 18493(c) or (d) of this Article or wishes to terminate the corporate guarantee, the guarantor shall send notice of such failure or termination by certified mail to the operator and the Board or its designee within 90 days after the end of that financial reporting year. The corporate guarantee shall terminate no less than 60 days after the date that the operator and the Board or its designee have received the notice of such failure or termination, as evidenced by the return receipts. The guarantor shall establish alternate coverage as specified in section 18488 of this Article on behalf of the operator within 60 days after such notice, unless the operator has done so.
(f) The Board or its designee may require updated financial statements at any time from a guarantor. If the Board or its designee finds, on the basis of such reports or information from other sources, including but not limited to, credit reports and reports from other state agencies, that the guarantor no longer meets the financial means test requirements of section 18493(c) or (d) of this Article, or any requirements of section 18494 of this Article, the Board or its designee shall notify the guarantor and operator of such finding by certified mail. The guarantor shall establish alternate coverage as specified in section 18488 of this Article on behalf of the operator within 60 days after such notice, unless the operator has done so.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18494.5. State Approved Mechanism.
(a) An operator may satisfy the requirements of this Chapter by obtaining any other mechanism that meets the following criteria, and that is approved by the Board.
(1) The financial assurance mechanism(s) must ensure that the amount of funds assured is sufficient to cover the costs assured when needed;
(2) The financial assurance mechanism(s) must ensure that funds will be available in a timely fashion when needed;
(3) The financial assurance mechanism(s) must be obtained by the operator before the first waste is received at a new facility and before any other financial mechanism is cancelled at existing facilities. The financial mechanism must be maintained until the operator is released from the financial assurance requirements under this Chapter.
(4) The financial assurance mechanism(s) must be legally valid, binding, and enforceable under California and Federal law.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18495. Substitution of Mechanisms by Operator.
(a) An operator may substitute any alternate financial assurance mechanism(s) as described in sections 18489 through 18494 of this Article, provided that at all times the operator maintains an effective mechanism or a combination of effective mechanisms, that satisfies the requirements of section 18488 of this Article, and informs the Board or its designee of such substitution.
(b) In the event an operator obtains alternate financial assurance, it may request that the Board or its designee terminate or authorize the termination of the previous financial assurance mechanism. The operator shall submit such a request in writing with evidence of alternate financial assurance.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18496. Cancellation or Nonrenewal by a Provider of Financial Assurance.
(a) Except as otherwise provided in section 18497 of this Article, a provider of financial assurance may cancel or not renew a financial assurance mechanism by sending a notice of termination by certified mail to the operator and the Board or its designee.
(b) Termination of a corporate guarantee shall occur no less than 60 days after the date on which the operator and the Board or its designee have received the notice of termination, as evidenced by the return receipts.
(c) Cancellation or nonrenewal of insurance or self-insurance and risk management coverage shall occur no less than 60 days after the date on which the operator and the Board or its designee have received the notice of termination, as evidenced by the return receipts; except in the case of non-payment of insurance premiums, in which case cancellation shall occur no less than 10 days after the date on which the operator and the Board or its designee have received the notice of termination.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18497. Bankruptcy or Other Incapacity of Operator or Provider of Financial Assurance.
(a) Within 10 days after commencement of a voluntary or involuntary proceeding under the Bankruptcy Code, Title 11 U.S.C. sections 101-1330 in which:
(1) The operator is named as debtor, the operator shall notify the Board or its designee by certified mail of such commencement.
(2) A provider of financial assurance is named as debtor, such provider shall notify the operator and the Board or its designee by certified mail of such commencement.
(b) An operator shall be deemed to be without the required financial assurance in the event of bankruptcy of its provider of financial assurance, or in the event of a suspension or revocation of the authority of the provider of financial assurance to issue a mechanism. If such an event occurs, the operator shall demonstrate alternate financial assurance as specified in this Article within 60 days after receiving notice of the event. If the operator fails to obtain alternate financial assurance within 60 days, the operator shall notify the Board or its designee within 10 days of such failure.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18498. Recordkeeping and Reporting.
(a) An operator shall maintain evidence of all financial assurance mechanisms until the operator is released from the requirements as specified in section 18499 of this Article. This evidence shall be maintained at each major waste tire facility, whenever possible, or at an alternate, designated location approved by the Board or its designee and which is accessible to the operator, and available for Board staff review.
(b) An operator shall maintain the following types of evidence, and shall maintain an original or copy of each mechanism used to demonstrate financial responsibility under this Article:
(1) Trust Fund. An operator using a trust fund shall maintain a copy of the trust agreement and statements verifying the current balance of the fund.
(2) Government Securities. An operator using government securities shall maintain a copy of the following:
(A) All official resolutions, forms, letters, or other pertinent documents generated to issue the securities;
(B) The terms of issuance of the securities; and
(C) With respect to the mechanism into which the funds generated by the issuance are deposited:
1. Identify the major waste tire facilities covered by the fund and the amount of third party liability coverage;
2. Include a letter from an authorized officer of the institution maintaining the mechanism identifying the amount of funds provided by the mechanism as of the anniversary date of each mechanism for each year; and
3. Include a copy of the evidence documenting that the mechanism meets the requirements of section 18490(b) of this Article.
(3) Insurance. An operator using insurance shall maintain the original or a copy of the insurance policy in addition to the original or a copy of the liability insurance endorsement or the certificate of liability insurance.
(4) Self-Insurance and Risk Management. An operator using self-insurance and risk management shall maintain:
(A) The name and qualifications of the currently employed risk manager;
(B) Pertinent documents verifying the ongoing activity of the operator's safety and loss prevention program; and
(C) Pertinent documents showing procedures for timely investigation and resolution of any claims for third party damages caused by accidental occurrences and other self-insured losses.
(5) Financial Means Test. An operator using a financial means test shall maintain a copy of the information specified in section 18493(e) of this Article.
(6) Corporate Guarantee. An operator using a corporate guarantee shall maintain documentation of the corporate guarantee as specified in sections 18494(a),(b), and (c) of this Article.
(c) An operator shall submit the documentation of current evidence of financial responsibility listed in section 18498(b) to the Board or its designee whenever a financial assurance mechanism is established or amended:
(1) In the case of a trust fund such documentation shall include the original mechanism and a copy of the current statement verifying the balance of the account;
(2) In the case of government securities such documentation shall include the information as specified in section 18498(b)(2) of this Article;
(3) In the case of a financial means test, or a corporate guarantee, such documentation shall include the original mechanism; or
(4) In the case of insurance or self-insurance and risk management, such documentation shall include the original liability insurance endorsement, certificate of liability insurance, or certificate of self-insurance and risk management.
(d) An operator shall submit written notice to the Board or its designee of the number of claims paid and the total dollar amount paid as a result of an accidental occurrence at an operating facility. This information shall be compiled for the previous calendar year and submitted to the Board or its designee by March 1st of each year.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18499. Release of an Operator from the Requirements.
(a) After approving the closure of the major waste tire facility as specified in Article 6, the Board or its designee shall notify the operator and the provider of financial assurance in writing, that he or she is no longer required to demonstrate financial responsibility by this Article for third party operating liability, at the particular facility.
(b) When operational control of a major waste tire facility is transferred, the existing operator shall remain subject to the requirements of this Article until the new operator provides acceptable financial assurances to the Board or its designee.
Note: Authority cited: Sections 40502 and 42820, Public Resources Code. Reference: Section 42821, Public Resources Code.
s 18499.1. Scope and Applicability.
All operators of major waste tire facilities shall be subject to the requirements of this article, except state and federal operators.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42850 and 42850.1, Public Resources Code.
s 18499.2. Definitions.
(a) "Degree of non-compliance" means the status of compliance of an operator with the financial assurance requirements. An operator is either: 1) partially out of compliance with the requirements ( "Minor"); or 2) completely out of compliance with the requirements ( "Major").
(b) "Potential for harm" means the degree to which operator's actions adversely affect the public health, safety and the environment. This potential is based on the number of tires for which that facility is permitted.
(1) Major: 1,000,001 tires or more, or tire equivalents.
(2) Moderate: 200,001 to 1,000,000 tires or tire equivalents.
(3) Minor: 5000 to 200,000 tires or tire equivalents.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. References: Sections 40502, 42850 and 42850.1, Public Resources Code.
s 18499.3. Notice of Violation.
(a) The CIWMB shall send a written Notice of Violation to an operator violating the requirements of Articles 9 or 10 of this Chapter (commencing with section 18470).
(b) The Notice of Violation shall:
(1) describe the violation which CIWMB staff believe is occurring; and
(2) describe the consequences of continued failure to comply or respond.
(c) All operators shall submit a response to a Notice of Violation within 10 working days from receipt of the Notice of Violation.
(d) The CIWMB may consider all contacts with an operator as "good faith" efforts to comply with this Chapter, and the CIWMB may extend the timeframe for an operator to respond and/or comply, as the CIWMB deems necessary, to assure adequate financing for closure activities and operating liability.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42850 and 42850.1, Public Resources Code.
s 18499.4. Issuance of Notice and Order, Cleanup and Abatement Order, and/or Stipulated Notice and Order.
(a) If an operator fails to respond to the Notice of Violation within the specified timeframe, the CIWMB shall draft and send a Notice and Order or Cleanup and Abatement Order to the operator.
(b) An operator shall respond to the CIWMB with evidence of compliance, or request an alternate schedule for compliance, within 10 working days from receipt of the Order.
(c) If an operator responds to the Order by offering partial compliance immediately, and full compliance over a period of time, which is acceptable to the CIWMB, the CIWMB may enter into a Stipulated Notice and Order with the operator.
(d) If an operator fails to conform with the compliance schedule within the specified timeframe as provided in the Notice and Order, Cleanup and Abatement Order or Stipulated Notice and Order, further enforcement action may be taken by the CIWMB, as specified in the Notice and Order, Cleanup and Abatement Order, or Stipulated Notice and Order.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. References: Sections 40502, 42850 and 42850.1, Public Resources Code.
s 18499.5. Compliance Options.
(a) The CIWMB may consider compliance options other than imposing penalties, to assure adequate financing for closure activities and operating liability. The CIWMB may consider options that include, but are not limited to:
(1) Placing restrictions on current financial assurance mechanism(s) being used by the operator such as more frequent reporting requirements.
(2) Prohibiting use of current financial assurance mechanism(s) being used by the operator, and requiring the operator to establish an alternate mechanism as prescribed in section 18473 and 18488 of this Title.
Note: Authority cited: Section 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42850 and 42850.1 Public Resources Code.
s 18499.6. Penalty Calculations.
(a) If the CIWMB chooses to impose a penalty, the daily penalty shall equal an amount determined by the gravity-based matrix, in Table 1, using the degree of non-compliance and the potential for harm as the deciding factors, added to the economic benefit an operator receives from noncompliance with this Chapter.
Table 1.
Degree of Non-Compliance
Potential for Harm Major Minor
$10,000 $904
Major to to
$905 $804
______________________________________________
$803 $702
Moderate to to
$703 $652
______________________________________________
$651 $550
Minor to to
$551 $500
(1) The economic benefit portion of a penalty for lack of liability coverage shall be based on a minimum annual premium for liability insurance, as identified by a CIWMB survey of the insurance industry. The premium is multiplied by the number of years an operator is out of compliance (rounded up to the next whole year if a partial year of non-compliance exists).
(2) The economic benefit portion of a penalty for lack of coverage for closure costs shall be based on the current cost of a letter of credit or bond, as identified by a CIWMB survey of the banking industry or insurance industry, respectively. The cost for a letter of credit or bond is multiplied by the pro-rata factor for the length of time of non-compliance.
(b) Determinations of penalty amounts may be modified by the CIWMB for one or more of the following reasons:
(1) Evidence that coverage has been subsequently provided, such as bank statements, letter from county treasurer verifying balance of fund, certificate demonstrating adequate coverage, etc.
(2) Evidence of a payment schedule, if applicable, detailing the operator's good faith efforts has been subsequently provided, such as past deposits to the financial assurance mechanism, etc.
(3) An operator's good faith efforts to comply or lack of good faith.
(4) An operator's degree of willingness to comply.
(5) An operator's history of compliance.
(6) Other unique factors such as size of operation, threat to public health and safety and the environment.
(c) Penalties may be pursued by the CIWMB administratively or through superior court as specified in Public Resources Code, sections 42850 and 42850.1.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42850 and 42850.1, Public Resources Code.
s 18499.7. Processing and Collection of Civil Penalty.
Processing and collection of civil penalties shall be made by the CIWMB as provided in Public Resources Code Section 42855.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42850, 42850.1 and 42855, Public Resources Code.
s 18499.8. Appeals Process.
Any aggrieved person may appeal a Notice and Order or Cleanup and Abatement Order by the CIWMB, according to Public Resources Code, section 42854.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42850, 42850.1 and 42854, Public Resources Code.
s 18499.9. Continued or Recurring Violations.
(a) If an operator pays an initial penalty but fails to correct the violation pursuant to Notice and Order or Cleanup and Abatement Order, or has recurring violations within a one year period from the date of the preceding Notice of Violation:
(1) the CIWMB may re-initiate the enforcement process;
(2) the CIWMB may pursue action to revoke a permit, according to Public Resources Code section 42843, and/or pursue closure of the facility;
(3) the CIWMB may pursue both (1) and (2) above.
Note: Authority cited: Sections 40502, 42850 and 42850.1, Public Resources Code. Reference: Sections 40502, 42843, 42850 and 42850.1, Public Resources Code.
Note: Authority cited: Sections 68042 and 66770, Government Code and Section 24389, Health and Safety Code. Reference: Chapter 1 of Title 7.8 and Sections 66770, 66771, Government Code and Chapter 3.5 of Division 29, Health and Safety Code.
s 18500. Scope.
The regulations contained in chapter 7 pertain to the California Integrated Waste Management Board's requirements regarding activities related special wastes, including but not limited to household hazardous wastes.
Note: Authority Cited: Sections 40502 and 41824, Public Resources Code. Reference: Sections 40052 and 46400, Public Resources Code.
s 18502. Definitions.
(a) The following definitions shall apply to the regulations contained in this chapter.
(1) "Act" means the Solid Waste Disposal Site Hazard Reduction Act of 1989 (Statutes of 1989, chapter 1095).
(2) "Account" means the Solid Waste Disposal Site Cleanup and Maintenance Account described in section 46800 of the Public Resources Code.
(3) "Applicant" means a city, county or local agency applying for a grant award.
(4) "Board" means the California Integrated Waste Management Board.
(5) "DTSC" means the Department of Toxic Substances Control.
(6) "Fiscal Year" means the year commencing on the first day of July and ending on June 30 of each year.
(7) "Grant" means an award of funds in either one of the following manners
(A) "Discretionary Grant" means an award of funds to a city, county or local agency which is based on the evaluation and selection of the applicant's proposed or implemented Household Waste Program pursuant to section 18533.1 of article 2.2, and which is subject to fund availability in the Account after all non-discretionary grants have been awarded.
(B) "Non-discretionary Grant" means an award of funds to a city, county or local agency which has implemented a Household Hazardous Waste Program during the fiscal year prior to the grant application; and which meets the specific criteria for the non-discretionary award pursuant to section 18515 of article 2.1.
(8) "Grant Agreement" means the written document, any amendment(s) and written change orders thereto, which is signed by the Board or its designated representative and the grant recipient and which defines the terms, provisions and conditions governing the grant. The terms of the grant agreement shall be for a period negotiated between the grant recipient and the Board.
(9) "Grant Recipient" means the city, county or local agency which receives a grant award from the Board.
(10) "Grant Year" means that time period in which the grant application submittal process, selection and award distribution will occur. The time period will begin on the first day of July in one year and end on June 30 of the next calendar year.
(11) "Hazardous Waste" (HW) means waste as defined in section 40141 of the Public Resources Code and section 25117 Health and Safety Code: that is, waste or combination of wastes, which because of its quantity, concentration, or physical, chemical, or infectious characteristics may do either of the following:
(A) Cause, or significantly contribute to, an increase in mortality or an increase in serious irreversible, or incapacitating reversible, illness.
(B) Pose a substantial present or potential hazard to human health or the environment when improperly treated, stored, transported, or disposed of, or otherwise managed.
(12) "Household Hazardous Waste" (HHW) means waste materials determined by the Board, the Department of Toxic Substances Control (DTSC), the State Water Resources Control Board (SWRCB), or the Air Resources Board (ARB) to be:
(A) Of such a nature that they must be listed as hazardous in state statutes and regulations; or are
(B) Toxic/ignitable/corrosive/reactive; and
(C) Carcinogenic/mutagenic/teratogenic; which is discarded from householders as opposed to businesses.
(13) "HHW Program" means a program sponsored by a city, county or local agency which results in the separation of HW and/or HHW from the solid waste stream. An HHW Program may include, but is not limited to, the following activities:
(A) Load Checking Programs;
(B) Collection Programs
1) Periodic
2) Permanent
3) Mobile Collection Program
4) Residential Pick-up Service;
(C) Waste Control and Enforcement Programs;
(D) Educational Programs; and/or
(E) Other program activities incorporating reuse, reduction, or recycling of HW and HHW.
(14) "Jurisdiction" means a city, county, or local agency with responsibility for waste management.
(15) "Load Checking Program" means a program which provides for physical inspection and removal of hazardous wastes from the incoming waste stream at any solid waste facility, as defined in section 40194 of the Public Resources Code.
(16) "Local agency" means any public agency which is responsible for waste management and which sponsors a program(s) to prevent the disposal of H and/or HHW at a solid waste disposal facility.
(17) "Local Funding" means those monies originating solely from a jurisdiction which are to be used or were used to conduct a HHW collection program.
(18) "Mobile Collection Program" means two or more permanent household hazardous waste collection sites utilizing at least one transportable container for the sites and operated on an intermittent schedule.
(19) "Periodic HHW Collection Program" means a program in which a jurisdiction sponsors HHW collection activities at least once a year with each collection event beginning and ending within a one week period (seven days).
(20) "Permanent HHW Collection Program" means a program in which a jurisdiction sponsors the maintenance of a permanent HHW collection program at a specific site which is open to the public at least for one day, or a portion of that day, each week.
(21) "Proposal" means that part of a discretionary grant application from a jurisdiction specifying its intent to establish or implement a HHW Program, commencing in the fiscal year following the application period, which consists of a newly established program or incorporates a new or added service or capability to an existing HHW program.
(22) "Recycling Activities" means those projects which divert hazardous materials from non-hazardous solid waste landfills; and which utilize one or more of the processes for collecting, sorting, cleansing, treating, and reconstituting materials that would otherwise become solid waste, and returning them to the economic mainstream in the form of raw material for new, reused, or reconstituted products which meet the quality standards necessary to be used in the market place. "Recycling" does not include transformation, as defined in section 40201 of the Public Resources Code.
(23) "Reduction" means to use only the required amount of a product which contains a hazardous ingredient(s) for a specific task; and/or to use a product containing a lesser amount of a hazardous ingredient(s) in comparison with other brands of the same type of product.
(24) "Regional" means any area which included two or more jurisdictions responsible for waste management. This includes two or more cities, two or more counties, or two or more local agencies, or the combination of a city (cities), a county (counties) and/or local agency (agencies).
(25) "Residential Pick-up Service" means the service sponsored by a city, county or local agency for the residents of a community whereby HHW is picked up from each resident's home.
(26) "Reuse" means the use of a product containing a hazardous ingredient after it is no longer needed by the person who originally purchased and/or used the product.
(27) "Waste Control and Enforcement Programs" means a program as provided in section 46400(b) of the Public Resources Code.
Note: Authority cited: Sections 40502, 46205 and 46208, Public Resources Code. References: Section 40180, 40201, 46400 and 46401, Public Resources Code.
s 18504. Scope and Applicability.
a) The regulations contained in this article set forth the criteria needed by cities, counties and local agencies responsible for waste management to apply for and receive a grant of funds from the Solid Waste Disposal Site Cleanup and Maintenance Account (Account).
b) This article applies to all cities, counties and local agencies which are either:
1. currently implementing a program or activity which prevents the disposal of HW, including HHW into solid waste landfills, or
2. proposing the establishment of programs or services to prevent the disposal of HW; including HHW; into solid waste landfills.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18505. Programs Eligible for Funding.
HHW Programs eligible for funding from the account include, but are not limited to, the following activities:
(a) Load Checking Programs;
(b) Collection Programs
1) Periodic
2) Permanent
3) Mobile
4) Residential Pick-up Service;
(C) Waste Control and Enforcement Programs;
(D) Educational Programs; and/or
(E) Other program activities incorporating reuse, reduction, or recycling of HW and HHW.
Note: Authority cited: Sections 46205, 46208, 46400 and 46401, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18506. Grant Application Process.
a) A jurisdiction, with an eligible program, shall submit the documents specified in section 18515 of article 2.1 or sections 18533 and 18533.1 of article 2.2, whichever are applicable, in order to apply for a grant award.
b) Documents required in (a) of this section shall be submitted to the principal place of business of the California Integrated Waste Management Board, in care of the HHW Management Program.
c) An original and three (3) copies of the documents required in (a) of this section shall be submitted to the Board. All materials submitted will become the property of the Board and will be retained for a minimum of three years.
d) The required application documents shall be received by the Board on or before the close of the application period specified in either section 18511 of article 2.1 or section 18531 of article 2.2, whichever is applicable.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18510. Grant Eligibility.
Note: Authority cited: Sections 46205, 46208 and 46401, Public Resources Code. Reference: Section 46401, Public Resources Code.
s 18511. Grant Application Period.
Note: Authority cited: Sections 46205, 46208 and 46401, Public Resources Code. Reference: Section 46401, Public Resources Code.
s 18512. Grant Amount.
Note: Authority cited: Sections 46205, 46208 and 46401, Public Resources Code. Reference: Section 46401, Public Resources Code.
s 18515. Contents of the Grant Application.
Note: Authority cited: Sections 46205, 46208, 46400 and 46401, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18520. Review of Grant Application.
Note: Authority cited: Sections 46205, 46400 and 46401, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18521. Payment of Grant Funds.
Note: Authority cited: Sections 46205, 46208, Public Resources Code. References: Sections 46401 and 46810, Public Resources Code.
s 18522. Auditing Requirements.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Section 46401, Public Resources Code.
s 18530. Grant Eligibility.
a) A jurisdiction which has not received a non-discretionary grant in accordance with Article 2.1, Section 18512, and which submits a grant application for a HHW program to ensure that HW, including, but not limited to, HHW, is not disposed of in a solid waste landfill, and which meets the definition of a HHW Program under Section 18502(a)(13) and that of a proposal under Section 18502(a)(21) of this Chapter, is eligible for a discretionary grant.
b) A jurisdiction which has received a non-discretionary grant in accordance with article 2.1, section 18512, remains eligible to receive a discretionary grant under this article for the following:
1) A HHW program which meets the definitions under Section 18502(a)(13) and Section 18502(a)(21) of this Chapter; and/or
2) a portion of an HHW program which was not funded under article 2.1 of this chapter in the same grant year.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18531. Grant Application Period.
Applications for discretionary grants will be accepted beginning on the first Monday in December of each year commencing in December, 1990, until 4:00 p.m. on the last Friday in February of the next calendar year. Applications received after that date will be returned to the applicant.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Section 46401, Public Resources Code.
s 18532. Grant Amount.
The Board may award a discretionary grant to an eligible jurisdiction in an amount to determined by the Board, but the amount shall not exceed $120,000 for any individual grant. The award amount will be based upon the amount of monies remaining in the Account after all non-discretionary grants have been awarded for the previous calendar year.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18533. Contents of the Grant Application.
Any jurisdiction which applies for a discretionary grant shall submit an application to the Board which includes, but is not limited to, the following:
a) An application cover sheet, CIWMB Form 302, 3/90 which is incorporated by reference.
b) A grant application shall, at a minimum, incorporate the following elements describing the proposed or implemented program:
1) A description of the HHW disposal problem in the applicant's jurisdiction, including, the amount of HHW generated in the geographic area to be serviced. Include a discussion of the jurisidiction's Waste Generation Study as it relates to the identified HHW disposal problem.
2) The HHW Element of the Countywide Integrated Waste Management Plan prepared pursuant to Public Resources Code section 41750.
3) A general description of program goals or objectives for the proposed or completed program, including specific actions which will be taken or have been taken to mitigate the HHW disposal problem. This section must include a description of the program being proposed and discuss the proposed program in relation to the applicant's HHW Element.
4) An identification of the tasks necessary to complete the proposed program and an implementation schedule for the proposed tasks.
5) The geographic area to be serviced, or the geographic area that was serviced.
6) A budget report describing the costs for each completed program or proposed project within the overall HHW program. This shall include the actual or projected costs of staff, hazardous waste contractor fees, and the actual or projected costs for education, public awareness and/or advertising.
7) A description of funding sources other than the Account, which will be used, or which have been used for the program.
8) A report on insurance coverage for the project(s) as required by title 22, California Code of Regulations, section 66264.147, if applicable.
9) A copy of or status report on any required variances or permits from the DTSC, and the federal Environmental Protection Agency generator identification number.
10) A description of any recycling and/or reuse efforts for HHW which will be, or which have been, utilized in conjunction with the proposed project, or completed program, whichever is applicable.
11) A description of public education and awareness efforts to be utilized or which have been utilized.
12) A description of cooperative efforts between local government agencies and interested citizen associations and groups, if any, regarding implementation of the program.
13) Methods of jurisdiction plans to use to evaluate the success of the program, or methods which were used to evaluate the success of the program, whichever is applicable.
14) A resume of management personnel for the program, detailing their qualifications and experience.
15) A resolution from the jurisdiction's governing body authorizing submittal of the grant application and identifying the individual authorized to execute all necessary applications, contracts, agreements and amendments to carry out the purposes specified in the application.
c) The grant application for a discretionary grant may be accompanied by a list of the costs associated with the implementation of specific tasks of the grant application required by (a)(3) in order for the Board to provide partial funding for the program.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 41750, 46400 and 46401, Public Resources Code; section 25135.1(d)(4), Health and Safety Code.
s 18533.1. Contents of the Grant Proposal.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 41750 and 46401, Public Resources Code; Section 25135.1(d)(4), Health and Safety Code.
s 18534. Review of Grant Application.
a) The Board shall review a discretionary grant application for the following:
1) to verify that the application is complete; and
2) to verify that the grant proposal incorporates the elements required by sections 18533 and 18533.1 of this article; and
3) to evaluate the application to determine its eligibility for partial funding of an HHW Program.
b) The Board may request additional information related to the discretionary grant application required pursuant to section 18533 of this article. The applicant will have 10 (ten) working days, or as specified by the Board, to submit the requested information to the Board or it will be disqualified from consideration for a discretionary grant.
Note: Authority cited: Sections 46205 and 46208, Public Resources Code. Reference: Sections 46400 and 46401.
s 18534.1. Selection of Grant Recipient.
a) The Board shall select one or more grant recipients based upon the recipient's satisfaction of the grant proposal elements required pursuant to section 18533.1 of this article.
b) The Board shall give lower priority for grant awards to grant applicants who have received funding for non-discretionary grants under article 2.1 of this Chapter in the same grant year; and for those applicants who had received discretionary grant funding in the year prior to the current grant year cycle.
Note: Authority cited: Sections 46208, Public Resources Code. Reference: Sections 46400 and 46401, Public Resources Code.
s 18535. Payment of Grant Funds.
Discretionary grant recipients will be awarded grant funds no later than June 30 of each year, commencing in June, 1991.
Note: Authority cited: Sections 46208 and 46400, Public Resources Code. Reference: Section 46401, Public Resources Code.
s 18536. Grant Agreement.
a) The grant recipient and the Board shall enter into a written grant agreement which contains the grant proposal as approved and which identifies and ensures compliance with the terms and conditions specified in section 18536.1 and any other special conditions or terms which the Board may deem necessary.
b) Written Approval of Changes to Grant Agreement. The recipient shall obtain prior written approval from the Board, or its designated representative, for any changes to the grant agreement. All requests shall include a description of the proposed change(s) and the reason(s) for the changes.
Note: Authority cited: Section 46208, Public Resources Code. Reference: Section 46205, Public Resources Code.
s 18536.1. Terms and Conditions of a Grant Agreement.
The grant recipient shall comply with the following terms and conditions:
a) Quarterly Progress Reports. The grant recipient shall submit a quarterly progress report to the Board within 30 days following the end of each quarter. The report shall include, but not be limited to:
1) A statement that the program(s) is or is not on schedule, and a description of the program tasks or milestones and the status of each. Pertinent reports or interim findings shall be appended.
2) A discussion of any difficulties or special problems encountered in accomplishing the project tasks.
3) A financial report comparing costs to date with the approved scope of work and the original budget. The report should state whether the program(s) is progressing within the approved budget, and an explanation of any current or anticipated deviations. The report shall include a Balance Sheet showing the program's current assets and liabilities as well as a Statement of Expenditures.
4) A report of any changes in management personnel.
5) The report for the fourth quarter will be the Final Report required pursuant to (e) of this section.
b) Compliance. Grant recipients shall comply with all applicable federal, state and local laws, ordinances, regulations and permits. The recipient shall secure any permits or variances required by the DHS and EPA and any other authorities having jurisdiction over the program(s) including but not limited to, the California Integrated Waste Management Board and the appropriate Regional Water Quality Control Boards. The grant recipients shall maintain or revise all applicable permits, such as solid waste facility permits, as needed.
c) Auditing.
1) All grant recipients shall maintain an accounting system for the program that utilizes generally accepted accounting principles and practices. The Board, the State Controller's Office and the State Auditor General's Office or their designated representative(s) shall have absolute right of access to all of the grant recipient's records pertaining to the grant agreement in order to conduct reviews and/or audits.
2) In addition to accounting records, all source documents associated with the accounting records shall be maintained. Source documents include, but are not limited to, bid summaries, contracts with the grant recipient, change orders showing approval by a city or county engineer, purchase orders, invoices, paid warrants, time sheets, labor distribution reports and payroll registers.
3) The accounting records and source documents shall be retained by the grant recipient for at least three (3) years after expiration of the grant agreement, or until the completion of a Board action and/or resolution of issues which may arise as a result of any litigation,claim negotiation or audit. (continued)