lea evaluation process · what is the lea evaluation process? the evaluation process can serve as a...
TRANSCRIPT
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???