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Subpart 360-15:Comprehensive Solid Waste Management Planning

(Statutory authority: Environmental Conservation Law, Sections 1-0101, 3-0301, 8-0113,19-0301, 19-0306, 23-2305, 23-2307, 27-0101, 27-0106, 27-0107, 27-0109, 27-0305, 27-0703, 27-0704, 27-0705, 27-0911, 27-1317, 27-1515, 52-0107, 52-0505, and 70-0107)

[Effective Date December 31, 1988]

[Amendment Dates:
Revised Effective March 27, 1990; with promulgation of new Subpart 15: Grants for Comprehensive Solid Waste Management Planning.
Revised Effective May 28, 1991; With repeal of existing Subpart 9 and promulgation of new Subpart 9: State Assistance for Municipal Landfill Closure Projects
Revised Effective January 25, 1992; With repeal of existing Subpart 10 and promulgation of new Subpart10: Regulated Medical Waste Storage, Transfer, and Disposal, and new Subpart 17 Regulated Medical Waste Treatment Facilities.
Revised/Enhanced Effective October 9, 1993; with adoption of amendments to existing Subparts 1 through 17
Revised Effective December 14, 1994; with adoption of amendments to existing Subpart 9: State Assistance for Municipal Landfill Closure Projects
Revised Effective January 14, 1995; With repeal of existing Subpart 14 and promulgation of new Subpart 14: Used Oil.
Revised Effective November 26, 1996; With adoption of amendments to existing Subparts 1, 2, 3, 7, 11, 14, and 17

Revised Effective September 29, 1997; With adoption of amendments to existing Subpart 9
Revised Effective November 21, 1998; With adoption of amendments to existing Subpart 2
Revised Effective November 24, 1999; With adoption of amendments to existing Subparts 2, 3, 4, 5, 9, 11, 14, and 16]

[This is page 1 of 1 of this Subpart. A complete list of Subparts in this regulation appears in the Chapter 4 contents page. A list of sections in this subpart appears below.]

Contents:

Sec.

§360-15.1 Purpose and overview.

The purpose of this Subpart is to establish procedures to apply for a State grant pursuant to ECL 27-0109, to develop standards for the content and for the review and approval of a local solid waste management plan acceptable to the department under section 27-0107 of the ECL with or without a solid waste management planning grant, to develop standards for the content and for the review and approval of plan modifications and updates, and to develop standards for the content and the review of plan compliance reports. Since applications for such grants or for plan approval under this Subpart are not for permits to construct and operate a solid waste management facility, review of grant applications and plans are not subject to Part 621 of this Title.

§360-15.2 Definitions.

The following terms have the following meanings when used in this Subpart:

(a) Compliance report means a planning unit's accounting to the department of the progress of implementation of a department-approved plan.

(b) Integrated system means the solid waste management program selected in the plan to manage the planning unit's solid waste, including, but not limited to its minimization at point of generation and its collection, treatment, transfer, storage, processing, energy recovery, and disposal of materials.

(c) Modification means a revision to a department approved plan which is initiated by a planning unit, or by request of the department, due to a significant solid waste issue that was not identified at the time of plan approval.

(d) Planning unit means a county; two or more counties acting jointly; a local government agency or authority established pursuant to State law for the purposes of managing solid waste; any of the above in combination with one or more neighboring cities, towns, or villages; or two or more cities, towns, or villages, or any combination of them, that the department determines to be capable of implementing a regional solid waste management program (i.e., an integrated system for those cities, towns, or villages). Some of these determining factors include planning unit population, political boundaries, transportation systems, current waste management system, and other relevant factors. In order for a county to be a planning unit for purposes of this Subpart, it must include all cities, towns, and villages within its borders; and a county not including same shall be, for purposes of this Subpart, a planning unit consisting of two or more cities, towns, or villages that the department must determine to be capable of implementing a regional solid waste management program.

(e) Plan means a local solid waste management plan prepared by a planning unit pursuant to section 27-0107 of the ECL.

(f) Update means a revision to a department-approved plan that is required by the department as a condition of approval due to one or more specific solid waste issues identified at the time of plan approval.

§360-15.3 Grant application.

(a) A planning unit may apply to the commissioner, on forms provided by the department, for a grant to pay up to 90 percent of the costs of preparing its plan, which grant shall not exceed the greater of $25,000 or $1 per person in the planning unit (based on the 1980 federal census). The application must contain the following:

(1) a listing of the municipal corporations, agencies and authorities constituting the planning unit;

(2) a certified copy of the following:

(i) for a county or a local government agency or authority established pursuant to State law for the purposes of managing solid waste, a resolution, law or ordinance authorizing its status as a planning unit for purposes of this Subpart;

(ii) for two or more counties acting jointly, a copy of the resolution, law, or ordinance from each county that authorizes the creation of the planning unit for purposes of this Subpart and its participation in the planning unit and in the plan's preparation;

(iii) for two or more cities, towns, or villages, a copy of the resolution, law, or ordinance from each participant in the planning unit that authorizes the creation of the planning unit for purposes of this Subpart and its participation in the planning unit and in the plan's preparation; and

(iv) for a county, two or more counties acting jointly, or local government agency or authority established by State law for managing solid waste in combination with one or more neighboring cities, towns, or villages, a copy of the resolution, law, or ordinance from each participant that authorizes the creation of the planning unit for purposes of this Subpart and its participation in the planning unit and in the plan's preparation; and

(3) a statement that the planning unit agrees to proceed expeditiously with preparation of the plan and with the implementation of the plan as approved by the department, and that it will abide by the procedures, policies and requirements of the State concerning hiring, affirmative action, accounting, contracting and recordkeeping; and

(4) a scope of work identifying the proposed contents of the detailed plan, a timetable for preparation of the plan, an estimate of the costs to prepare the plan, a statement that either there is no existing plan, or if there is, that it is inadequate and a description of what is necessary to make it adequately address the requirements of section 360-15.9 of this Subpart, and a description of the process that will be used to inform the public of the planning unit's planning process and of the opportunity for the public to participate in the plan's development and in the implementation of the integrated system.

(b) No initial application for a grant under this Subpart shall be accepted by the department if the department receives the application later than 4:30 p.m., eastern time, June 30, 1989. Subsequent applications will be accepted by the department only if and when additional solid waste management planning grant funding becomes available.

§360-15.4 Department grant application review.

(a) Except as provided in subdivision (b) of this section, the department will, within 30 days of its receipt, review each application in order of receipt to determine its acceptability pursuant to this Subpart. The department will approve or disapprove the application consistent with this Subpart and the availability of grant monies; and if it disapproves the application, the department will set forth its reasons for disapproval. Within 20 days of receipt of the department's comments, the planning unit may resubmit its application addressing the deficiencies noted by the department; however, for purposes of priority of review, the department shall consider the application as having been received on the date the department receives the revised application. If the planning unit's revised application does not fully address the department's comments, the application will be disapproved. Once disapproved, no new application from the same planning unit will be received after 4:30 p.m., eastern time, June 30, 1989. Subsequent applications shall be accepted by the department only if and when additional solid waste management planning grant funding becomes available.

(b) In the case of a planning unit consisting of two or more cities, villages or towns, or any combination of them, for purposes of priority of review, the department must first determine whether the applicant is capable of implementing a regional solid waste management program (i.e., an integrated system for those cities, towns, or villages); and if determined capable, the department will consider the application as having been received on the date of that determination. Two or more cities, towns, or villages that have already been included in another planning unit that has applied for a grant under this Subpart are not a planning unit for purposes of this Subpart.

§360-15.5 Contract content.

Upon approval of the grant application, the planning unit will be so notified and must enter into a contract with the commissioner that must include, but not be limited to or exemplified by, provisions to implement the plan (and any amendments thereto), as approved by the department; and relating to competitive bidding procedures, protests, awarding of contracts, inspection of records, grant money disbursements, audits, plan preparation schedules, project management and recoupment of grant monies. Notwithstanding the provisions of subdivision 360-1.7(c) of this Part, no modification to any application will be approved if that modification has the effect of decreasing the size of the planning unit, except as provided for in subdivision 360-15.11(a) of this Subpart.

§360-15.6 Payments under contract.

Grant payments under the contract described in section 360-15.5 of this Subpart will be made according to the following schedule:

(a) fifty percent of the grant, based upon the estimated cost to prepare the plan, will be awarded upon the approval by the State Comptroller;

(b) twenty-five percent of the grant, based upon the estimated cost to prepare the plan, will be awarded when a complete draft of the plan is submitted to the department that contains those provisions included in the scope of work approved by the department; and

(c) the balance of the grant will be awarded upon the department's approval of the final plan based upon, final computation of actual costs and determination by the department of eligible costs; payment of the balance of the grant will not exceed 90 percent of the actual eligible costs.

§360-15.7 Eligible costs.

The following costs are eligible for funding under this Subpart:

(a) any costs incurred by the planning unit's consultants or employees that are directly attributed to the plan's preparation or to management of the plan's preparation on or after February 14, 1989; and

(b) any costs incurred to prepare the plan that are not identified in section 360-15.8 of this Subpart.

§360-15.8 Ineligible costs.

The following costs incurred to prepare the application for a grant under this Subpart or to prepare the plan are ineligible planning costs under section 27-0109 of the ECL:

(a) any costs incurred by the planning unit, its consultants, or employees before February 14, 1989. However, such costs may be applied toward the 10 percent share of the planning unit's costs;

(b) any costs incurred to prepare the grant application or to obtain a grant under this Subpart;

(c) any costs incurred to implement the plan, including, but not limited to or exemplified by the following:

(1) costs for site evaluation and development, such as soil borings, monitoring well installation or sampling, surveys, fencing, road building, clearing, soil testing and engineering;

(2) costs to design solid waste management facilities, such as preparation of design drawings, specifications, and engineering plans and reports;

(3) costs to implement a recyclables recovery program, including the purchase of containers, equipment, or vehicles; and

(d) any costs incurred in any enforcement proceeding regarding solid waste management facilities, plans or programs;

(e) any costs that have been the basis for specific grants received by the planning unit from any source for preparing any portion of the plan (nonspecific grants, such as amounts paid pursuant to section 54 of the State Finance Law, shall not be considered as having been received for preparing any portion of the plan); and

(f) all costs of developing the plan, if the planning unit does not submit a plan according to the schedule contained in the grant contract identified in section 360-15.5 of this Subpart, or implement the plan as approved by the department.]

§360-15.9 Plan contents.

A plan must take into account the objectives of the State's solid waste management policy set forth in section 27-0106 of the ECL and provide for the management of all solid waste within the planning unit for at least a 10-year period. It also must reflect and employ sound principles of solid waste management, natural resources conservation, energy production, and employment-creating opportunities. The plan must include, at a minimum, the following:

(a) a description of the planning unit, including:

(1) size of the planning unit;

(2) municipalities, agencies, and authorities included in the planning unit;

(3) population of the planning unit; and

(4) significant circumstances pertaining to the planning unit, such as, but not limited to or exemplified by, major population centers, State or federal parks, seasonal usage, large or significant industries, etc.; and

(b) identification of the quantity and types of solid waste that are being generated in the planning unit, as identified in existing reports, studies or other available sources, as appropriate;

(c) identification of proposed or existing solid waste management facilities used to process, store, treat, or dispose of the solid waste generated within the planning unit, their expected life and current operating status, and proposed or existing solid waste management facilities that have capacity to manage solid waste from outside the planning unit, and their expected life and current operating status;

(d) projections of future population, waste generation, changes to the planning unit, and special conditions that may affect any of these characteristics;

(e) projections of changes to the waste stream, and the effects of the changes on the current and proposed management practices in the planning unit;

(f) a comprehensive recycling analysis for the planning unit, to include those items identified in subdivision 360-1.9(f) of this Part;

(g) evaluation of the various technologies for storage, treatment, and disposal of solid waste within the planning unit, including:

(1) determination of appropriate sizing of solid waste management facilities, based on projected quantities and composition of the solid waste to be treated, stored, or disposed of within the planning unit and waste generation minimization/recyclables recovery efforts;

(2) costs of the various alternatives; and

(3) an assessment of the potential environmental, economic and social impacts associated with each technology; and

(h) selection of an integrated system for managing each of the various types of solid waste to be treated, stored, or disposed of within the planning unit. If the plan relies on the private sector to manage a specific waste stream, the plan must address how this waste stream will be managed if the private sector does not adequately manage this waste stream. Additionally, the plan must specify how the private sector is to be notified of the responsibility for management of a specific waste stream and, if the planning unit proposes to provide technical, administrative and financial assistance to the private sector in meeting this responsibility, how it will provide that assistance;

(i) certification of disposal capacity when exporting waste out of the planning unit. If exportation for less than five years is proposed as part of the integrated system, the planning unit must certify capacity for disposal or treatment of the planning unit's solid waste for that entire time period. When waste exportation for five or more years is proposed as part of the integrated system, the planning unit must certify a minimum five years of capacity for disposal or treatment of the planning unit's solid waste;

(j) a timetable to implement the integrated system, to close existing inadequate solid waste management facilities or bring them into conformance with appropriate statutory and regulatory requirements, and to identify major events and milestones to achieve implementation;

(k) identification of measures to manage each of the various types of solid waste to be treated, stored, or disposed of within the planning unit, until the integrated system is completely implemented;

(l) identification of the administrative structure that will be responsible for implementing each element of the integrated system and for operating the various portions of the integrated system;

(m) identification of any new local laws, ordinances, regulations, or amendments to existing local laws, ordinances, or regulations that may be required to fully implement the integrated system, including those changes made pursuant to section 120-aa of the General Municipal Law;

(n) an analysis of the costs of implementing the integrated system (including capital investments, insurance, operation, maintenance, administration, and financing) and the financing mechanisms that will meet the anticipated costs;

(o) a description of the measures used to secure participation of neighboring jurisdictions, any limitations which the plan's implementation would impose on the neighboring jurisdictions' solid waste management programs, and the effects of including the jurisdiction in the plan, including additional viable alternatives; and

(p) an accounting, to the maximum extent practicable, for the comments and views expressed by concerned governmental, environmental, commercial, and industrial interests, the public, and neighboring jurisdictions.

§360-15.10 Plan approval

(a) All plans prepared pursuant to this Subpart must be submitted to the department in draft form for approval. The department, within 60 days of its receipt, will review the draft plan to determine whether or not it contains all matters identified in section 360-15.9 of this Subpart, and, in the event that it does not, the department will specify the matters in which the draft plan is deficient.

(b) The planning unit must, within 60 days of receipt of the department's comments, revise the plan (addressing in full the department's comments) or remit all grant monies received. The department, within 30 days of receipt of the revised plan will review the revised plan and inform the planning unit in writing that the plan either contains those matters identified in section 360-15.9 of this Subpart, or that it does not, and in the latter event, will specify the matters in which the revised plan is deficient. If the plan does not contain the elements set forth in this Subpart, the planning unit must, within 60 days of receipt of the department's comments, revise the plan (addressing in full the department's comments) or remit all grant monies received. If the plan, as revised again, does not address in full the department's comments, the plan will not be determined to contain all matters identified in section 360-15.9 of this Subpart, and the planning unit must remit all grant monies received within 60 days of being will be notified in writing of the department's determination.

(c) Once the department has determined that the draft plan contains a substantive consideration of those elements identified in section 360-15.9 of this Subpart, the department shall provide written notification to the planning unit of its intent to approve the plan.

(d) Within 60 days of receipt of the notice that the draft plan is satisfactory, the planning unit must submit to the department the following:

(1) a final plan which is a stand-alone document containing all elements identified in section 360-15.9 of this Subpart and all corrections, changes and revisions resulting from department comments;

(2) a resolution of adoption that must state that the planning unit will:

(i) adopt the integrated solid waste management plan;

(ii) implement the solid waste management programs, projects and plans as identified in the local solid waste management plan;

(iii) submit compliance reports to the department every two years as required by section 360-15.12 of this Subpart;

(iv) submit a plan modification to the department when required by section 360-15.11 of this Subpart; and

(v) submit updates to the department-approved solid waste management plan when required by the department pursuant to section 360-15.11 of this Subpart; and

(3) if the planning unit has determined that an environmental impact statement is necessary for the development and adoption of the plan, a State Environmental Quality Review findings statement prepared in accordance with section 617.10(i) of this Title.

(e) Once the department has determined that the final plan, adopting resolution, and, if applicable, State Environmental Quality Review findings statement are complete and acceptable, the department shall approve the plan. The plan, as approved, will then become the plan in effect for the planning unit.

(f) If a planning unit does not submit a plan according to the schedule contained in the grant contract identified in section 360-15.5 of this Subpart, the planning unit must remit to the department all grant monies paid pursuant to this Subpart within 60 days after written demand therefor is made by the department.]

§360-15.11 Plan modification/update.

(a) Modifications to plans approved pursuant to this Subpart must be submitted to the department for approval. An application for a permit to construct which is pending before the department on the effective date of this Part and an application for a permit to construct and operate a solid waste management facility by, or on behalf of, a municipality which is not described by an approved plan may not be determined by the department to be complete until the department approves a modified plan describing such a facility. However, notwithstanding the provisions of subdivision 360-1.7(c) of this Part, no modification to any plan will be approved if that modification has the effect of decreasing the size of the planning unit unless each municipality withdrawing from the planning unit joins with or forms a second planning unit and the department determines in writing that each planning unit is capable of implementing a regional solid waste management program.

(b) A planning unit must undertake a plan modification pursuant to subdivision (a) of this section if there is:

(1) a significant change in the method of managing all or any significant portion of the solid waste generated within the planning unit;

(2) a significant change in the management or administration of the planning unit; or

(3) a change of more than one year to any significant component of the solid waste management plan implementation schedule.

(c) A planning unit must undertake a plan update if the department has approved an interim solid waste management plan for the planning unit while the planning unit develops a long-range solid waste management plan.

(d) The planning unit must modify the plan pursuant to this Subpart or update the plan pursuant to this Subpart consistent with a schedule approved by the department. The department may, where the planning unit fails to modify or update a plan in a manner that is consistent with the requirements of this Subpart, withdraw its prior approval of the plan.

(e) A plan modification or plan update must contain the following components:

(1) a detailed description, acceptable to the department, of the modification or update proposed by the planning unit;

(2) reasons for the proposed modification or update;

(3) a revised implementation schedule;

(4) a State Environmental Quality Review determination, if any;

(5) an accounting of comments as required in subdivision 360-15.9(p) of this Subpart;

(6) a description of how the planning unit will ensure that the modification or update, upon department approval, will be made to all official copies of the existing department-approved plan;

(7) a resolution by the planning unit adopting the modification or update that satisfies the requirements of paragraph 360-15.10(d)(2) of this Subpart; and

(8) additional items as deemed necessary by the department for the development of an integrated solid waste management plan that takes into account the objectives of the state solid waste management policy.

(f) The plan modification or update must be formatted according to guidance developed by the department.

(g) The plan modification or update must be submitted by the planning unit for review and approval by the department in accordance with section 360-15.10 of this Subpart.

(h) Plan modifications or plan updates may, at the discretion of the department, be submitted concurrently with compliance reports required by section 360-15.12 of this Subpart.

§360-15.12 Plan compliance reports.

(a) All planning units with a department-approved plan must submit initial compliance reports to the department no later than March 1, 1995, and no later than March 1st every two years thereafter. This schedule supersedes all previous schedules for submitting compliance reports.

(b) Compliance reports must be submitted on a form prescribed by or acceptable to the department, and contain the following components:

(1) a brief narrative of the current status of the implementation schedule for the plan including:

(i) the status of compliance with the milestones identified in the plan and plan updates;

(ii) the identification of obstacles to reaching those milestones, and the planning unit's attempts to overcome those obstacles;

(iii) deviations from the plan, the reasons for each deviation and the effect of each deviation on other aspects of the plan; and

(iv) a discussion of solid waste issues not previously addressed in the plan;

(2) a new implementation schedule, if appropriate, which includes all plan milestones (i.e., those previously identified and any revised or added milestones);

(3) a description of planning unit resources including, at a minimum:

(i) a discussion of whether or not funding and staffing levels are adequate for implementation of the plan; and

(ii) a list of actual or proposed changes to the financial mechanisms presented in the plan;]

(4) a waste and recyclables generation/disposal and treatment inventory for each year covered by the report using forms prescribed by, or acceptable to, the department; and

(5) additional items deemed necessary by the department to demonstrate progress in the implementation of the integrated solid waste management plan.