2019 CalRecycle Enforcement Report
CalRecycle has a variety of enforcement responsibilities and programs established under different laws.
CalRecycle has a variety of enforcement responsibilities and programs established under different laws.
CalRecycle uses several approaches to achieve and maintain compliance due to the wide range of laws CalRecycle enforces. CalRecycle focuses its resources on compliance assistance before taking formal enforcement action and imposing penalties. State laws require that CalRecycle enforcement programs have technical assistance, outreach, and training programs. Success depends on effective communication between CalRecycle and the regulated community.
CalRecycle created this report summarizing the department’s enforcement activities in part to comply with the reporting requirements for CalRecycle (Public Resources Code section 40507) and CalEPA (Government Code section 12812.2).
California's solid waste disposal infrastructure includes active, permitted solid waste facilities and operations. Operations are distinguished from facilities in that they do not require a permit. However, operations are required to send a notification to the Local Enforcement Agency (LEA) and are inspected by the LEAs, although less frequently than permitted facilities.
Solid waste enforcement programs protect public health and safety and the environment, and they ensure a level playing field for solid waste businesses. CalRecycle has oversight authority for solid waste handling, processing, and disposal facilities or operations. Sixty state-certified LEAs have direct authority to ensure proper operation of facilities and operations. CalRecycle is the enforcement agency (EA) for four cities and four counties with no designated LEA.
Each LEA or EA cite violations when a facility or operation does not meet the regulatory or statutory requirements. The LEA or EA also has the authority to write and enforce notice and orders to require compliance with regulatory or statutory requirements at solid waste facilities and operations. The enforcement order can include Cease and Desist Orders, Notice and Orders, Notice of Violation Letters, Stipulated Agreements, and Stipulated Notice and Orders.
CalRecycle publishes the Inventory of Solid Waste Facilities that Violate State Minimum Standards for facilities that repeatedly violate at least one state minimum standard for two consecutive months. CalRecycle issues a Notice of Intent (NOI) advising the operator of CalRecycle's intent to list the facility on the Inventory if the violations are not corrected within 90 days. CalRecycle works closely with the LEA to develop a strategy to bring facilities into full compliance.
Solid Waste Program
CalRecycle conducts LEA performance evaluations of the local enforcement agencies (LEAs) based on six statutory standards and reviews each enforcement agency on its implementation of the permit, inspection, and enforcement program. The evaluation is conducted on a three-year cycle. LEA evaluation cycles can overlap, as some evaluations require additional time to obtain documentation or allow for corrective actions. For those LEAs that required corrective action, staff also work with the LEA to establish Workplans and will prepare Workplan monitoring reports until compliance is met.
In addition to routine inspections, CalRecycle is required to conduct oversight inspections in conjunction with the LEAs. Inspections included mandated 18-month inspections of landfills, pre-permit concurrence inspections, and discretionary inspection of solid waste facilities. CalRecycle conducts these oversight inspections of solid waste facilities in order to evaluate the LEA and ensure that state minimum standards are met.
LEA Evaluations Update
There are more than 32,000 waste tire-related businesses in California. Of those, 40 are required to have a waste tire permit issued by CalRecycle to operate. Roughly 1,400 of those businesses are registered with CalRecycle and authorized to transport ten or more tires throughout the state. The remaining businesses are required to meet state standards for waste tire storage and handling and requirements for recordkeeping to assist with tracking movement of waste tires within the state. The entities that are enrolled with the CalRecycle Waste Tire Program include tire-related businesses such as new and used tire dealers, car dealers, fleet operators, repair shops, dismantlers, re-treaders, cement kilns, and agriculture users.
CalRecycle conducts all inspections of permitted tire facilities. Both CalRecycle and Local Jurisdiction Tire Enforcement Agent (TEA) Grantees inspect the remaining tire generator and registered waste and used tire hauler businesses.
Inspections ensure ongoing compliance with environmental laws and state standards during operation and prior to issuing waste tire facility permits. Inspection frequency is as follows:
Additionally, inspectors also respond to referrals and complaints from the public and partner agencies responding to illegal dumping or hauling or illegal storage of waste tires.
CalRecycle regulates waste tires to prevent or mitigate the negative impacts of tires on public health, safety, and the environment and to provide a level playing field for California businesses engaged in the collection, transportation, processing, storage, and disposal of waste tires. Enforcement efforts focus on two related fronts: waste tire haulers and handlers and waste tire storage/processing facilities. The regulated tire community documents transactions among the waste tire generator, hauler, and storage facilities on a manifest form and submits them electronically to CalRecycle. CalRecycle inspects over 20,000 program participants annually along with its Local Jurisdiction Tire Enforcement Agent (TEA) Grantees. CalRecycle is authorized to enforce, serve administrative complaint actions against violators, and levy penalties on noncompliance entities.
Waste Tires Update
The Recycling Program Enforcement Branch (RPEB) completed 8,807 cases in 2019; 5,612 cases had no violations which is a 63.7% compliance rate. RPEB staff identified 3,236 violations resulting in total assessments of $6,301,132.29; $294,625.00 in civil penalties and $6,006,507.29 in restitution/reductions/denials.
CalRecycle’s Division of Recycling as a continued partnership with California Department of Justice for criminal investigation services affecting the CA Beverage Container Recycling Fund. The partnership also extends to the CA Deputy Attorney General’s office who prosecutes such cases.
In 2019, there was a total of 29 individuals arrested with charges ranging from attempted grand theft, grand theft, conspiracy and recycling fraud. The arrests resulted in 96,555 lbs. of empty beverage material seized with a value of $144,094.00. These arrests as well as prior arrests made in the fiscal year resulted in 37 prosecutions by the Deputy Attorney General’s office.
Beverage Container Recycling Program: Reviews
Beverage Container Recycling Program: Inspections and Investigations
Department of Justice Update
Carpet, Mattress, and Paint Program Updates
The Carpet, Mattress, and Paint Laws require manufacturers, distributors, wholesalers, and retailers of covered products that are sold or offered for sale in California to comply with the individual program standards. Distributors, wholesalers, and retailers have requirements to verify that the products they sell or offer for sale are compliant. To support this requirement CalRecycle maintains lists of compliant manufacturers and brands on its website that must be monitored by these businesses. Should a non-listed manufacturer or product be observed during a CalRecycle inspection, the distributor, wholesaler, or retailer may be found in violation and CalRecycle may commence an investigation of the manufacturer.
To support implementation of the laws, consumers pay an assessment on carpet and paint when they buy a product covered by these laws, and they pay a recycling charge when they buy a mattress or foundation. The paint assessments are included in the purchase price. The carpet assessment and the mattress recycling charge are required to be clearly visible on the customer's receipt or invoice.
CalRecycle's enforcement role includes the review of Stewardship Organizations' (SO) plans and annual reports. Stewardship plans define how a manufacturer or stewardship organization intends to fulfill its responsibilities for end-of-life product management under the law and communicate with stakeholders and the public. Additionally, CalRecycle conducts inspections of regulated entities to ensure ongoing compliance with state standards. The frequency of inspections is not specified for any of the programs, instead CalRecycle reviews regulated entities throughout the State. When violations are identified, CalRecycle uses a progressive enforcement approach providing an opportunity for the violations to be corrected. Regulated entities that do not correct violations are subject to additional enforcement action including the issuance of penalties.
CalRecycle inspects program participants (manufacturers, wholesalers, and retailers) to verify compliance with program requirements. Manufacturers must be listed on CalRecycle’s website in order to sell or offer to sell carpet in California. CalRecycle verifies that manufacturers offering for sale or selling in California are participating in an approved product stewardship program or have their own approved plan. Wholesalers and retailers must meet several standards including the monitoring of CalRecycle’s website to ensure the carpet they sell is from compliant, registered manufacturers. If a manufacturer, wholesaler, or retailer is not in compliance, a Notice of Violation is issued. If the participant fails to achieve compliance after a follow-up review or inspection, enforcement actions may be taken including issuance of penalties.
CalRecycle inspects program participants (manufacturers, recyclers, renovator, wholesaler, and retailers) to verify compliance with program requirements. Manufacturers and renovators along with their brands must be listed on CalRecycle’s website in order to sell or offer to sell mattresses and foundations in California. CalRecycle verifies that manufacturers and renovators offering for sale or selling in California are participating in an approved product stewardship program or have their own approved plan. Wholesalers and retailers must meet several standards including the monitoring of CalRecycle’s website to ensure the mattresses and foundations they sell are from compliant manufacturers and renovators. If a manufacturer, recycler, renovator, wholesaler, or retailer is not in compliance, a Notice of Violation is issued. If the participant fails to achieve compliance after a follow-up review or inspection, enforcement actions may be taken including issuance of penalties.
CalRecycle inspects program participants (manufacturers, wholesalers, and retailers that are selling architectural paint in California) to verify compliance with program requirements. Manufacturers must be listed on CalRecycle’s website in order to sell or offer for sale architectural paints in California. CalRecycle verifies that manufacturers offering for sale or selling in California are participating in an approved product stewardship program or have their own approved plan. Retailers, wholesalers, and distributors must meet several standards including the monitoring of CalRecycle’s website to ensure the paint they sell is from a compliant manufacturer. If a manufacturer, wholesaler, or retailer is not in compliance, a Notice of Violation is issued. If the participant fails to achieve compliance after a follow-up review or inspection, enforcement actions may be taken including issuance of penalties.
EPR Program Facilities and Operations
EPR Program Inspections
Rigid Plastic Packaging Containers (RPPCs) Program Updates
CalRecycle oversees product manufacturers’ efforts to comply with California’s Rigid Plastic Packaging Containers ("RPPC") law, Public Resources Code sections 42300 through 42345. Manufacturer efforts can include use of postconsumer recycled plastic resin in the manufacturing of RPPCs or the reduction of total plastic used in product packaging. The law covers all products except food, infant formula, drugs, medical devices, cosmetics, toxic, and hazardous products. CalRecycle’s oversight is implemented through a three-phase process: registration, pre-certification, and compliance certification.
CalRecycle focused resources on increasing Pre-Certification and Compliance Certification reviews during 2019. As resources permitted, research to identify and register product manufacturers was conducted.
CalRecycle selected and notified 116 product manufacturers that they may be selected to certify compliance for the 2020 measurement period. This one-year advance notice provides product manufacturers the opportunity to review the RPPC requirements to ensure that their RPPCs comply with the law.
CalRecycle notified 40 product manufacturers of their requirement to submit a compliance certification for the 2019 measurement period (January 1, 2019, through December 31, 2019). Selected product manufacturers were to provide documentation (by April 1, 2020) that their RPPCs met at least one of the compliance options including, but not limited to, using 25 percent postconsumer material or reducing container weight by 10 percent.
In 2019, CalRecycle received 35 compliance certifications for the 2018 measurement period. Following receipt of the compliance certifications, CalRecycle determined five product manufacturers were compliant, and two product manufacturers were not regulated under California’s RPPC law. Staff compliance determination reviews are on-going, and results will be reported in a subsequent CalRecycle Enforcement Report.
Four referrals were made to CalRecycle’s legal office for preparation of an accusation. One noncompliance product manufacturer was levied penalties in 2019 in the amount of $50,000. The penalty was for failing to certify container compliance and submitting a compliance certification that was incomplete and inaccurate. The resolution of additional enforcement actions will be reported in a subsequent CalRecycle Enforcement Report.
RPPCs Program Updates
Local governments submit an annual report to CalRecycle summarizing the implementation of their waste diversion plans to comply with their respective per capita disposal targets. CalRecycle reviews each local government’s progress in implementing its unique diversion programs and its progress in sustaining or achieving compliance. Based on that review, CalRecycle may initiate an in-depth compliance evaluation. This effort generally occurs for less than 1 percent of all the local jurisdictions. The compliance evaluation can result in a finding of noncompliance, that a jurisdiction is not meeting the “good faith” standard for implementing its diversion programs or has not reached the jurisdiction’s per capita disposal target. Should noncompliance be determined, CalRecycle issues a compliance order. If the local government fails to fulfill the terms of the compliance order the local government may be subject to penalties.
CalRecycle oversaw 17 compliance evaluations during 2019 (this includes five local governments, the Cities of Brea, Compton, Ceres, Cudahy, and Seal Beach referred to enforcement). CalRecycle issued Compliance Orders to two local governments, including the Cities of El Segundo and Oxnard. Three compliance evaluations resulted in a finding of “good faith” to the Cities of Chino, Santa Ana, and San Bernadino. Six local governments including Inyo County and the Cities of Brea, Compton, Ceres, Cudahy, and Seal Beach were still undergoing a compliance evaluation review at the end of 2019. The remaining six local governments, the Cities of Commerce, Compton, Maywood, Tracy, Waterford, and Wasco are still under compliance orders. Ripon, Merced, and Calaveras fulfilled compliance for 2019.
Jurisdiction Compliance Unit Updates