California Department of Resources Recycling and Recovery (CalRecycle)

Local Government Assistance Library

Model Source Reduction and Recycling Element (SRRE) Guidelines

Note: This page contains historical information from the California Department of Resources Recycling and Recovery's (CalRecycle) statewide goal measurement prior to 2007 that estimated a diversion percentage. For 2007 and subsequent years, CalRecycle compares reported disposal tons to population to calculate per capita disposal expressed in pounds/person/day. This new goal measurement system is described in CalRecycle's Goal Measurement: 2007 and Later web page.

With the implementation of this measurement system, CalRecycle will only accept new base year studies commenced prior to June 30, 2008. A jurisdiction may conduct a generation study for internal review purposes; however, CalRecycle will not review it for compliance determination.

If you are a newly incorporated city or are a jurisdiction that is joining or leaving a regional agency, please contact your LAMD representative to determine what you would need to submit and to determine how your 50 percent equivalent per capita disposal target will be calculated.

Introduction

The California Integrated Waste Management Act (AB 939, Sher, Chapter 1095, Statutes of 1989 as amended [IWMA]) requires each California city and county to prepare, adopt, and submit to the California Department of Resources Recycling and Recovery (CalRecycle) a source reduction and recycling element (SRRE) that demonstrates how the jurisdiction will meet the IWMA's mandated diversion goals of 25 percent by January 1, 1995, and 50 percent on and after January 1, 2000. (Regional agencies may utilize the SRREs prepared by their individual cities or counties.)

Each jurisdiction's SRRE must include specific components, as defined in Public Resources Code (PRC) sections 41003 and 41303. In addition, the SRRE must include a program for management of solid waste generated within the jurisdiction that is consistent with the following hierarchy: (1) source reduction, (2) recycling and composting, and (3) environmentally safe transformation and land disposal. Included in this hierarchy is the requirement to emphasize and maximize the use of all feasible source reduction, recycling, and composting options in order to reduce the amount of solid waste that must be disposed of by transformation and land disposal (PRC sections 40051, 41002, and 41302).

The jurisdiction may use CalRecycle's model SRRE template, designed for use by either a newly incorporated city that needs to submit a SRRE or a jurisdiction that needs to revise its SRRE. The model SRRE template contains nine parts, seven of them designed to address specific statutory and regulatory requirements, as well as to provide information for CalRecycle's current planning and assistance databases (Parts III-IX).

Statutes and Regulations

The basic statutory requirements for the content and format of the SRRE are found in PRC sections 41000-41260 for a city, and sections 41300-41460 for a county. PRC sections 41780-41794 contain the requirements and procedures for preparation and submittal of the SRREs to CalRecycle. These statutes are available on the CalRecycle's Web site.

In addition to the statutory requirements, CalRecycle adopted regulations further guiding the development, adoption, and submittal of the SRRE. Regulations outlining SRRE content and development are found in Title 14 of the California Code of Regulations (14 CCR), Division 7, Chapter 9, Articles 6.1 and 6.2. Regulations guiding SRRE preparation, adoption, and submittal are found in 14 CCR, Division 7, Chapter 9, Article 7.0.

Definitions and Required Information for SRRE

Statute and regulations require that specific components and additional information be included in the SRRE before final submittal to CalRecycle for approval. The following is a brief description of each component required by statute and regulations:

  1. Waste Characterization. SRRE must identify the solid waste generated within the city. This information shall represent the solid waste generated within, and disposed of by, the city and shall reflect seasonal variations. The material shall be identified by volume or weight, material type, and source of generation (residential, commercial, industrial, governmental etc.).
  2. Source Reduction. SRRE must include a program and implementation schedule showing how the city will reduce the creation of solid waste, thereby preventing it from entering the waste stream.
  3. Recycling. SRRE must include a program and implementation schedule showing how the city will recycle a portion of its waste.
  4. Composting. SRRE must include a program and implementation schedule describing the types of materials to be composted.
  5. Education and Public Information. SRRE must describe how the city will increase public awareness of, and participation in, source reduction, recycling, and composting.
  6. Funding. SRRE must describe costs, revenues, and revenue sources the city will use to implement all components of the SRRE.
  7. Special Waste. SRRE must describe existing waste handling and disposal practices for special waste, including, but not limited to, asbestos and sewage sludge, which are not hazardous waste. SRRE must identify current and proposed programs to ensure proper handling, reuse, and long-term disposal of special waste.
  8. Facility Capacity. SRRE must project the amount of disposal capacity needed to accommodate the waste generated within the city for a 15-year period.

The regulations further define the information that must be included as part of each of the components identified above.

Main Parts of Model SRRE Template

The model SRRE template (MS Excel, 205 KB) has been developed so that the component information required by statute and regulations is incorporated into the following seven main parts.

  1. Characterization of Disposal and Existing Diversion Activities (Part III of model SRRE template). This section characterizes the jurisdiction's existing disposal.
  2. Existing Diversion Activities (Part IV of model SRRE template). This section identifies existing diversion activities in the jurisdiction.
  3. Evaluation Criteria (Part V of model SRRE template). This section identifies the criteria the jurisdiction used to evaluate both existing and planned programs.
  4. Identification of New or Expanded Diversion Programs (Part VI of model SRRE template). This section documents the expansion of existing programs and new programs that the jurisdiction plans to implement to meet the diversion goal.
  5. Projection of Disposal Capacity (Part VII of model SRRE template). This section includes the jurisdiction's projection of the disposal capacity needed to accommodate the portion of solid waste generated within the jurisdiction over the next 15 years that will not be diverted.
  6. Identification of Projected Costs and Revenue Sources (Part VIII of model SRRE template). This section includes an identification and description of projected costs, revenues, and revenue sources needed to implement all the programs existing and selected for implementation.
  7. Identification of Market Development Activities (Part IX of model SRRE template). This section includes an identification of methods to increase the markets for recycled materials, including evaluating the feasibility of procurement preferences for the purchase of recycled products.

Within each of these sections is an explanation of the information required and guidelines on the format for providing the information.

Note: For Jurisdictions that incorporated since 2007 or left a Regional Agency and need to prepare their own planning documents:

With the implementation of new disposal measurement system (Chapter 343, Statutes of 2008 [Wiggins, SB 1016]), only new base year studies commenced prior to June 30, 2008 will be accepted. A jurisdiction may conduct a generation study for internal review purposes; however, it will not be reviewed for compliance determination or for establishing a new per capita target.

If, after 2007, you are a newly incorporated city or are a jurisdiction that is joining or leaving a Regional Agency, please contact your LAMD representative to determine what you would need to submit and to determine how your 50 percent equivalent per capita disposal target will be calculated for your jurisdiction.

Since base year studies are no longer required, there are sections of the model SRRE that will not need to be completed by jurisdictions that either incorporated in 2007 or later, or for those jurisdictions that left a Regional Agency in 2007 or later, and as a result will need to prepare their own planning documents. To provide some initial guidance for these jurisdictions please note the following sections of the model SRRE that you should or should not complete:

  • Part I: Please complete.
  • Part II: Do not complete.
  • Part III-7: Do not complete.
  • Part III-8: Please complete utilizing statewide characterization data estimates—contact your LAMD representative for assistance.
  • Part IV-9: Complete the columns for Start Date, Materials Targeted and Program Description and Notes for each existing program. Do not complete the columns for Tonnage, Relative Percent, Specific Conversion Factor, Type of Record.
  • Part IV-10: Do not complete.
  • Part IV-11: Do not complete.
  • Part V-12: Please complete.
  • Part VI: Please complete all of the information, but do not complete the column for Estimated Percent of Diversion.
  • Part VII: Please complete.
  • Part VIII: Please complete.
  • Part IX: Please complete.

SRRE Preparation and Guidelines

In preparing the SRRE, please refer to the definitions set forth in statute and regulations. In addition, it may be helpful to refer to CalRecycle's online local government glossary containing definitions of terms used in statute and regulation, as well as those commonly used in the waste management industry.

Characterization of Disposal and Existing Diversion Activities

To develop a successful diversion plan, a jurisdiction must understand the composition as well as the origin of its waste stream. In order to determine how a jurisdiction will reach the mandated solid waste diversion requirement of 50 percent on and after January 1, 2000, a jurisdiction must first conduct a solid waste generation study to quantify the amounts and types of waste it generates. Total generation is calculated by determining the amount of waste the jurisdiction disposes of and adding it to the amount it diverts (Generation = Disposal + Diversion). Based on the study results, the jurisdiction then evaluates and selects needed additional diversion programs that target those sectors generating the largest waste types. Parts III and IV of the model SRRE template pertain to characterization of disposal and existing diversion activities.

Note: With the implementation of new disposal measurement system (Chapter 343, Statutes of 2008 [Wiggins, SB 1016]), only new base year studies commenced prior to June 30, 2008 will be accepted. A jurisdiction may conduct a generation study for internal review purposes; however, it will not be reviewed for compliance determination or for establishing a new per capita target.

If after 2007 you are a newly incorporated city or are a jurisdiction that is joining or leaving a Regional Agency, please contact your LAMD representative to determine what you would need to submit and to determine how your 50 percent equivalent per capita disposal target will be calculated for your jurisdiction.

Disposal Characterization (Part III, Model SRRE Template)

To plan programs that will best divert the various types of waste generated within the jurisdiction, the jurisdiction must identify the amount of waste that is being disposed of by the jurisdiction, as well as the materials that compose its waste stream. The materials must be identified by volume, percentage in weight or its volumetric equivalent, material type, and source of generation, which includes residential, commercial, industrial, governmental, or other sectors. The information must be statistically representative of solid waste disposal within that area and must reflect seasonal variations.

A jurisdiction may determine its total amount of disposal using CalRecycle's Disposal Reporting System. The total disposal amount should be entered into section 7 of the model SRRE template.

CalRecycle's waste characterization information helps jurisdictions understand what their waste streams contain, a first step in devising ways to reduce waste and cut disposal costs.

To further assist jurisdictions in preparing a SRRE and to help them assess their waste stream, CalRecycle offers the following online resources:

Once a jurisdiction identifies its waste stream characterization, the information should be included in section 8 of the model SRRE template.

Existing Diversion Characterization (Part IV, Model SRRE Template)

Note: With the implementation of SB 1016, CalRecycle will only accept new base year studies commenced prior to June 30, 2008. A jurisdiction may conduct a generation study for internal review purposes; however, CalRecycle will not review it for compliance determination. For details on goal measurement for 2007 and subsequent years, the new goal measurement system is described in CalRecycle's Goal Measurement: 2007 and Later web page. For assistance or questions during the preparation of your jurisdiction's planning documents, please contact your Local Assistance and Market Development staff representative.

In addition to determining the amount and types of waste the jurisdiction disposes of, the SRRE needs to identify and measure the diversion taking place in the jurisdiction. CalRecycle-approved Diversion Study Guide helps jurisdictions identify their existing diversion activities. The guide covers the following topics:

  • Benefits of conducting a diversion study.
  • Determining if a base-year problem exists (for jurisdictions with an existing base-year).
  • Designing a diversion study.
  • Conducting a diversion study.
  • Addressing restricted wastes.
  • Analyzing data and calculating diversion.
  • Submitting a new base year to CalRecycle.

In addition to the diversion study guide, CalRecycle offers several resources located on its website:

Section 9 of the model SRRE template provides a format for documenting the various diversion programs existing within the jurisdiction. These programs include source reduction, recycling, composting, special waste, public education, policy incentives, recovery facilities, and transformation. Combined with a primary focus on feasibility, they can be used to achieve the goal while adhering to the hierarchy of waste diversion.

When describing your jurisdiction's programs in section 9 of the SRRE template, refer to the programs code glossary for a description of all typical diversion programs. To make sure all programs get reported, include all programs and facilities used by your jurisdiction's residents and private businesses (also government facilities), not just those that are funded by or operating within your jurisdiction (e.g., indicate in section 9 of the SRRE template if the jurisdiction uses a materials recovery facility located in another jurisdiction).

Note: With the implementation of new disposal measurement system (Chapter 343, Statutes of 2008 [Wiggins, SB 1016]), only new base year studies commenced prior to June 30, 2008 will be accepted. A jurisdiction may conduct a generation study for internal review purposes; however, it will not be reviewed for compliance determination or for establishing a new per capita target.

If after 2007 you are a newly incorporated city or are a jurisdiction that is joining or leaving a Regional Agency, please contact your LAMD representative to determine what you would need to submit and to determine how your 50 percent equivalent per capita disposal target will be calculated for your jurisdiction.

Evaluation Criteria (Part V, Model SRRE Template)

After specifying diversion of its existing programs, the jurisdiction should evaluate the effectiveness of these programs to determine if it should implement new or expanded programs. If the diversion requirements are being met, the jurisdiction should include a strategy for ensuring the programs are institutionalized for ongoing diversion. CalRecycle's regulations (14 CCR, Division 7, Chapter 9, section 18733.3) specify criteria that each jurisdiction must use to evaluate diversion programs. These criteria are included in section 12 of the model SRRE template; however, the jurisdiction may also develop and include additional criteria to evaluate program effectiveness.

Identification of New or Expanded Diversion Programs (Part VI, Model SRRE Template)

As a result of the evaluation of existing diversion programs, a jurisdiction should determine whether new or expanded programs are necessary to meet and maintain the diversion requirements. A jurisdiction may find it useful to examine its waste characterization study and initially target its largest waste streams for diversion. Additional information on waste diversion program implementation may be found on this web site, including examples of successful model programs in other cities, as well as links to other CalRecycle programs targeting specific waste (e.g., construction and demolition, food waste).

If a jurisdiction needs help determining whether its programs are effective or whether there are areas of its waste stream for which programs are lacking, the jurisdiction should contact its Local Assistance and Market Development staff representative at CalRecycle to visit the jurisdiction and conduct a "needs assessment." During a needs assessment, the LAMD representative will collaborate with the jurisdiction to assess if new or expanded programs are necessary, and provide needed technical assistance and resources. The Local assistance staff representative can also answer any questions the jurisdiction may have in filling out the model SRRE template.

The jurisdiction should use section 13 of the model SRRE template to identify new or expanded programs it plans to implement.

Projection of Solid Waste Disposal Facility Capacity (Part VII, Model SRRE Template)

In completing the SRRE's solid waste facility capacity component, the jurisdiction must project how much disposal capacity will be needed to accommodate solid waste generated over the next 15 years that cannot be diverted from landfill disposal, or that does not currently have secured disposal capacity (PRC sections 41260, 41460). In addition, the following information is required to for each permitted solid waste disposal facility within your jurisdiction: identification of the owner and operator of the facility, quantity and waste types of solid waste disposed of, permitted site acreage, permitted capacity, current disposal fees, and for solid waste landfills, remaining facility capacity in cubic yards and years. Please provide this information using sections 14 and 15 of the model SRRE template.

Identification of Projected Costs and Existing/Planned Revenue Sources (Part VIII, Model SRRE Template)

The jurisdiction should identify the projected costs for implementing selected diversion programs, as well as revenue sources (including rate structures and fees) that will be, or are being, used to implement existing and planned programs identified in its SRRE (PRC sections 41230, 41430). Revenue sources may include, but are not limited to, the following: rate structures, tipping fees, business license fees, refunds, rebates, loans, loan guarantees, grants, quantity-based residential collection fees, surcharge at disposal facilities. Please provide this information using sections 16 and 17 of the SRRE template.

Identification of Market Development Activities (Part IX, Model SRRE Template)

Market development activities are a key component in ensuring the longevity and stability of existing and selected diversion programs. The model SRRE template therefore includes a section for identifying and describing methods to increase markets for recycled materials (including evaluating the feasibility of procurement preferences for the purchase of recycled products). In addition, the jurisdiction must identify methods for increasing public awareness and participation in existing and planned diversion programs. Please provide this information using section 18 of the model SRRE template.

SRRE Adoption and Submittal

For assistance or questions during the preparation of your jurisdiction's SRRE, please contact your Local Assistance and Market Development staff representative.

The procedures for the SRRE adoption process are outlined in 14 CCR, Division 7, Chapter 9, Article 7.0). These basic steps are listed below. (The steps for preliminary draft SRREs apply to initial SRREs for newly incorporated cities, not to revised SRREs.)

  • The SRRE must comply with the California Environmental Quality Act (CEQA) through completion of a negative declaration or an environmental impact report (EIR).
  • The preliminary draft SRRE should be reviewed by adjoining jurisdictions and the county within which the jurisdiction is located, the local task force, and CalRecycle.
  • The jurisdiction must hold at least one public hearing (noticed at least 30 days in advance in a paper of general circulation) to receive public testimony on the preliminary draft SRRE.
  • The local task force should review final draft of the SRRE.
  • The jurisdiction must adopt (by resolution) the SRRE at a public hearing (noticed in a paper of general circulation at least three days prior to adoption).
  • Within 30 days of local adoption, the jurisdiction must submit the following to the county in which it is located: one copy of the SRRE, a signed copy of the resolution, and proof of compliance with CEQA.
  • The jurisdiction should submit the SRRE and the additional required documentation (see next section) to CalRecycle.

Within 120 days after CalRecycle determines the SRRE is complete, CalRecycle must review the SRRE to determine whether the element is in compliance with statute (PRC sections 40050-40063, sections 41000-41460, and sections 41750-41770); based upon that determination, CalRecycle must approve, conditionally approve, or disapprove the plan.

SRRE Submittal Checklist

To ensure your SRRE submittal is complete, please use the following checklist:

  • Three copies (3) of the SRRE. Note: The jurisdiction may submit its SRRE and associated documentation electronically to its Local Assistance and Market Development staff representative.
  • A copy of the notice for each public hearing regarding the SRRE (if a new SRRE, submit notices for hearings on preliminary and final SRRE).
  • A copy of the resolution adopting the SRRE.
  • Comments on the final draft from the local task force.
  • A copy of the notice of determination verifying CEQA compliance.

Submit your jurisdiction's SRRE to CalRecycle (to the attention of your jurisdiction's local assistance contact) at:

California Department of Resources Recycling and Recovery (CalRecycle)
Local Assistance and Market Development (MS-25)
Attn: [name of Local Assistance and Market Development staff representative]*
P.O. Box 4025
Sacramento, California 95812-4025

*Or, call (916) 341-6199 to find your local assistance contact.

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Local Government Library | Model SRRE Template

Last updated: August 20, 2009
Local Government Library http://www.calrecycle.ca.gov/LGCentral/Library/
Local Assistance & Market Development: LAMD@calrecycle.ca.gov (916) 341-6199