New Base–Year/Generation Study Guidelines and Checklist for Jurisdictions

NoteThis page contains historical information for the California Integrated Waste Management Board, which as of January 1, 2010, has been replaced by the Department of Resources Recycling and Recovery (CalRecycle). The statewide goal measurement prior to 2007 was an estimated diversion percentage. The new formula for 2007 and subsequent years compares reported disposal tons to population to calculate per capita disposal (pounds per person per day). This new goal measurement system is described in the Goal Measurement: 2007 and Later page on the CalRecycle website. Using this new measurement system, CalRecycle will only accept new base year studies started prior to June 30, 2008. A jurisdiction may conduct a waste generation study for internal review purposes; however, CalRecycle will not review it for compliance determination.

The general guidelines are provided to assist you in the preparation and completion of the diversion study and the documents required to submit a new base year or a report year generation study. We recommend that you review the guidelines and the checklist before you begin your study and continue to refer to them as you complete the process. These guidelines are for a nonextrapolated study only.

The checklist is to be used during the completion of the nonextrapolated certification sheets and as a review tool for accuracy and completeness of the required documents. It is to be submitted with the certification sheets and other documentation.

New base year/generation study certification sheets are available as electronic documents. Submittal as an electronic document, including all attachments, is preferred. If you are unable to submit electronically, the certification sheets may be mailed or faxed to your local assistance staff representative.

If you have questions at any time during the study, please do not hesitate to contact your local assistance staff representative.

General Guidelines

  1. Determine if you will be establishing a New Base Year or if you are calculating the diversion rate for the report year using a Generation Study, and if you will be conducting a non—extrapolated or extrapolated generation—based study. There are differences between a report year Generation Study and a New Base Year. Both require a diversion study and a methodology used to quantify a jurisdiction’s existing diversion efforts. One important difference is that if you will be doing a Generation Study to establish a new base year, the new base year selected must be representative of the jurisdiction’s disposal and diversion. That is not required for a report year Generation Study.
  2. Contact your local assistance staff representative prior to the project and discuss the current guidelines for compiling information for diversion activities and for any other instructions that may be pertinent to the new base year or report year generation study you will be conducting.
  3. Prior to conducting your study, refer to the Board’s reference guide, Conducting a Diversion Study–A Guide for California Jurisdictions Diversion Study Guide (DSG), April 2001. You will find a jurisdiction checklist for base-year proposals in the DSG, as well as the checklist at the beginning of the certification sheets.
  4. If this will be a nonextrapolated study, you may use the New Base Year electronic formNote: These guidelines and the checklist are only for a nonextrapolated study. If this will be an extrapolated study, the New Base Year Extrapolation electronic form must be used.
  5. All of the diversion activities quantified in the diversion study should correspond to the ongoing programs described in the PARIS notations. If during the diversion study, you find programs that were not recorded in PARIS, please be sure to include these programs when submitting your next annual report.
  6. Diversion information will need to be categorized and entered according to whether it is a residential or non-residential activity. It will also be categorized according to whether it is source reduction, recycling, or composting. You may also need to provide information for ADC, sludge, landfill salvage, scrap metal, C&D, and other materials (e.g. agricultural waste).
  7. Diversion tonnages from residential curbside recycling programs, certified drop-off and buy-back recycling centers are to be considered residential activities.
  8. When completing the nonresidential sections, please note that there are different areas for entering diversion information gathered from surveys/audits and for “other” diversion activities such as reports from the hauler.
  9. As you conduct your diversion study it is important to avoid double counting the data. For example, if the California Redemption containers (CRV containers) are collected at the curbside recycling program and are then taken to a certified buyback center, you can only use the amount collected from the curbside program or the reported amount from the certified buyback center, but not both. Another potential area that can result in double counting can occur if a business survey is conducted and there is also supporting hauler data available for the same material recycling tonnage from the business survey.
  10. Please be aware the CRV materials redeemed at buyback centers are identified in the Department of Conservation/Division of Recycling Aggregate Volume Report. This report does not distinguish whether or not the buyback center is located within an incorporated or unincorporated area. Ask if the listed facilities in the “Aggregate Volume Report” are sited within the city limits or in the unincorporated county.
  11. Follow the checklist when completing the certification sheets because it provides instructions on what sections need to be completed first. The process of completing the certification sheets will flow more easily if you follow those instructions instead of completing the sections in numerical order. Some information from one section may be dependent on information in a different section. In addition, some data is electronically linked and will be automatically updated among sections.
  12. Portions of the certification sheets will be automatically calculated. The shaded boxes identify those areas that are automatically calculated and you will not be able to enter data into that particular cell. The data in the shaded areas will be automatically refreshed to adjust for any changes you make while you are completing the forms.
  13. For restricted waste material types, general documentation and quantification requirements are identified in the Diversion Study Guide in Appendix HContact your local assistance staff representative regarding any questions regarding these requirements and documentation.
  14. If you are requesting credit for biomass, you are required to complete a Biomass Diversion Claim. Instructions are on the Board’s website. All biomass documents must be submitted with the certification sheets.
  15. If you are requesting credit for sludge, you are required to complete a Sludge Diversion Claim. Please contact your local assistance staff Representative to request the forms and instructions. All sludge documents must be submitted with the certification sheets.
  16. If you are requesting to deduct some of the reporting year disposal amount, you should complete a Reporting Year Disposal Modification Request (RYDMR) (CalRecycle 876). All RYDMR documents must be submitted with the certification sheets.
  17. Board staff will review all of the documents submitted and will conduct a site visit. The site visit will involve verification of the data and interviews with several large generators and may not be limited to the top 10 nonresidential generators. The top 10 nonresidential generators’ survey/audit reports must be submitted with the certification sheets and names of generators.
  18. If you have questions at any time about the process, or would like to verify your steps, contact your local assistance staff representative.

Note: Use the checklist to review the certification sheets for completeness, including the shaded areas, and submit the completed checklist with all other documents.

For more information contact: Local Assistance & Market Development,