NJDEP-Compliance & Enforcement

Compliance Assistance Resources - Solid Waste Checklists

General Utility Requirements (SW31)
Requirement Description	Compliance Status	Compliance Comments
GENERAL SOLID WASTE UTILITY REQUIREMENTS
No vehicle which is registered pursuant to State solid waste laws and regulations for lawful solid waste transportation activities in this State shall be utilized for the transportation of fresh food or fresh food products, including meat, poultry, produce or other non-processed fresh food products intended for sale for human consumption, unless that vehicle has been appropriately cleaned and sanitized in accordance with rules and regulations adopted by the Department of Environmental Protection, after consultation with the Department of Health, prior to any use for the transportation of fresh food or fresh food products. The Department of Environmental Protection may adopt rules and regulations requiring notification, record-keeping or reporting of the use of registered vehicles for the transportation of fresh food or fresh food products. [N.J.A.C. 7:26-2.1(b)]
Did solid waste utility furnish safe, adequate and proper service, including furnishing and performing services in a manner that tends to preserve the quality of the environment? [N.J.A.C. 7:26H-1.14(a)]
Did solid waste collection or solid waste disposal utility not agree with any other collection or disposal utility or person to limit bidding or withdraw from a specific territory, or endeavor to eliminate competition? [N.J.A.C. 7:26H-1.15(a)]
Did solid waste disposal or solid waste collection utility not enter into a management agreement with another solid waste utility or other person without prior approval of the Department? Was filing for approval made in accordance with N.J.A.C. 7:26H-3.6 (Petitions for approval of management agreements)? [N.J.A.C. 7:26H-1.18]
GENERAL UTILITY - RECORD REQUIREMENTS
Did utility engaged in solid waste disposal file on or before the due date established by the Department each year an annual report summarizing its ownership, financial condition, contractual arrangements, and operations for the preceding calendar year on forms prescribed and furnished by the Department and did such report contain a statement of income and expenses for a calendar year period? Note: The due date for submission of the annual report is set by the Department, by notice to all solid waste utilities, at least 30 days before issuing the annual report forms for completion. [N.J.A.C. 7:26H-1.19]
Did utility engaged in solid waste collection or solid waste disposal keep books, records and accounts in accordance with generally accepted accounting principles as the Department may prescribe by regulation or administrative order? [N.J.A.C. 7:26H-1.20(a)]
Does solid waste utility maintain and submit, when required, records in accordance with the requirements of this section including all books, records, accounts, documents and other writings relating to the business of solid waste collection, including annual reports and customer lists, and are these records maintained at an office in the State of New Jersey or otherwise approved by the Department? [N.J.A.C. 7:26H-1.20(b)1]
Did petition for authority to keep books, records, accounts, documents and other writing outside the State conform to the provisions of N.J.A.C. 14:1-5.15 to the extent applicable? [N.J.A.C. 7:26H-1.20(b)2]
Did solid waste utility notify the Department of the location of the office or offices where records pertaining to the provision of solid waste services are maintained and were such records made available for examination by representatives of the Department anytime during normal business hours? [N.J.A.C. 7:26H-1.20(b)3]
Were all books, records, accounts, documents and other writings, including customer complaints, annual reports and customers lists, retained at the office of the solid waste utility for at least five years from the date that the documents were due or created, unless the Department specifically required an additional retention period and were such records made available for inspection by representatives of the Department at any time during normal business hours? [N.J.A.C. 7:26H-1.20(c)]
Did utility engaged in solid waste collection or solid waste disposal file with the Department evidence of insurance or self-insurance for which certificate or evidence was in a form prescribed by the Department? [N.J.A.C. 7:26H-1.21]
Was no person, corporation or partnership issued more than one certificate as a solid waste collection utility or solid waste disposal utility? [N.J.A.C. 7:26H-1.23(a)]
Does public utility engaged in the business of solid waste collection or solid waste disposal own and have title to all property, equipment and facilities used and useful in providing safe, adequate and proper service? [N.J.A.C. 7:26H-1.24(a)]
Did solid waste utility using property, equipment and facilities to which it does not have title enter into a written lease and file said lease with the Department? Did lease filing contain a statement therein whereby the lessor of the property, equipment and facilities becomes subject to the jurisdiction and regulation of the Department for term of said agreement? [N.J.A.C. 7:26H-1.24(b)]
GENERAL UTILITY - TRANSACTIONAL FILINGS REQUIREMENTS (SALES, MERGERS, MANAGEMENT AGREEMENTS)
Was there prior authorization of the Department for any sale or transfer or encumbrance of the assets of a solid waste collection or solid waste disposal utility or any change in majority control of such utility? [N.J.A.C. 7:26H-3.2(a)]
Was there prior approval by the Department for any agreements to sell or transfer any share or share of capital stock of a solid waste utility to another utility or agreements to sell or transfer shares of capital stock to a corporation or person, where such sale would, by itself or in connection with other sales or transfers, vest in such person or corporation a majority interest of the outstanding capital stock. [N.J.A.C. 7:26H-3.3(a)]
Was there prior Department approval to allow solid waste utility to consolidate or merge with another solid waste disposal or solid waste collection utility or be dissolved? Was there prior Department approval to allow solid waste collection utility to consolidate or merge with any other person or business concern? [N.J.A.C. 7:26H-3.4(a)]
Did management agreement for solid waste collection or disposal utility contain the following terms and conditions: 1. Grants general operational control to the managing company including but not limited to, the authority to hire or fire employees, purchase equipment, or maintain the books and records of the utility; or 2. Delegates to the managing company the responsibility to make any filings with the Department. [N.J.A.C. 7:26H-3.6(a)]
Was solid waste collection or disposal utility management agreement filed for Department authorization at least 30 days prior to the completion of the transaction? Note: Notwithstanding the notice provisions of this subsection, the Department may waive the 30 day notice requirement where extraordinary circumstance can be shown. Extraordinary circumstances may include, but are not limited to, the death, disabling disease or injury of an owner or key employee. In no event will the agreement take effect without Department approval. [N.J.A.C. 7:26H-3.6(b)]
Did solid waste collection or solid waste disposal utility place a notice in a newspaper or general circulation in its service territory, of its intent to enter into a management agreement with any person at least 30 days prior to the completion of the transaction? [N.J.A.C. 7:26H-3.6(c)]
Did solid waste collection or solid waste disposal utility which could no longer provide safe, adequate or effective service to its customers intending to enter a management agreement include with the notice of intent a petition to discontinue service and surrender its certificate of public convenience and necessity? [N.J.A.C. 7:26H-3.6(d)]
Did solid waste collection or disposal utility or other person, whether or not such person is engaged in the business of solid waste, not do the following without prior written approval of Department: 1. Bill customers under the name of the managing company whether on the utility's invoice or manager's invoice; 2. Dispose of the solid waste at the disposal facilities under the account of the managing company; 3. Provide written notice to the customers of the proposed purchase agreement or pending management agreement; or 4. Discontinue service to any customers. [N.J.A.C. 7:26H-3.6(e)]
GENERAL UTILITY TARIFF REQUIREMENTS
Did solid waste collection and disposal utilities file tariffs with the Department on forms provided by the Department, and keep a copy of all tariffs open to public inspection on the premises of the utility or at the office of a designated agent? Did tariffs show the service area, standard terms and conditions, and all general privileges and franchises granted? Were the tariffs available during office hours, and produced on demand for any Department official, local government official or any person for examination during normal business hours? [N.J.A.C. 7:26H-4.2(a)]
GENERAL REQUIREMENTS CONCERNING UTILITY TRANSACTIONS, SALES, MERGERS, CONSOLIDATIONS
Did facility seeking approval from Department pursuant to the provisions of N.J.S.A. 48:3-7 for the following transactions do the following: 1. All notices of intent to enter into a transaction listed at N.J.S.A. 48:3-7 shall be in the form prescribed by N.J.A.C. 7:26H-2, to the extent applicable. 2. The solid waste collector shall file a notice of intent no later than 30 days prior to the anticipated date of closing of the transaction. [N.J.A.C. 7:26H-5.11(a)]
GENERAL ACCOUNTING REQUIREMENTS AND ANNUAL REPORTS
Does solid waste collection and disposal utility keep their accounts in accordance with the applicable Uniform System of Accounts for Solid Waste Disposal and Collection Utilities; and are the prescribed accounts and details kept as are necessary to reflect accurately and clearly the operations and financial condition of the utility concerned, with sufficient particularity to permit a ready and intelligent analysis by the Department; and such systems of account shall supersede and take the place and stead of all present effective systems of accounts for solid waste collection and disposal utilities? [N.J.A.C. 7:26I-1.1(a)]
Did each solid waste collection or disposal utility, privately or municipally owned or operated, file a report of its finances and operations with the Department, on the form to be furnished by the Department in accordance with the requirements of N.J.A.C. 7:26H-1.19? [N.J.A.C. 7:26I-1.1(c)]
Was an original of this report properly filled in and verified and be filed with the Department, on or before the date established by the Department each year? [N.J.A.C. 7:26I-2.1(a)2]
Does utility keep its books of account, and all other books, records, and memoranda which support the entries in such books of account so as to be able to furnish readily full information as to any item included in any account? Is each entry supported by such detailed information as will permit a ready identification, analysis, and verification of all facts relevant thereto? [N.J.A.C. 7:26I-3.2(a)]
Do the books and records referred to herein include not only accounting records in a limited technical sense, but all other records, such as minute books, stock books, reports, correspondence, memoranda, and so forth, which may be useful in developing the history of or facts regarding any transaction? [N.J.A.C. 7:26I-3.2(b)]
Did utility not destroy any such books or records unless the destruction thereof is permitted by rules of the Department? [N.J.A.C. 7:26I-3.2(c)]
Note: In addition to prescribed accounts, clearing accounts, temporary or experimental accounts, and subdivisions of any account, may be kept, provided the integrity of the prescribed accounts is not impaired. [N.J.A.C. 7:26I-3.2(d)]
Are all amounts included in the accounts prescribed herein for utility property and operating expenses just and reasonable and any payments or accruals by the utility in excess of just and reasonable charges included in account 426, Other Income Deductions? [N.J.A.C. 7:26I-3.2(e)]