Objective

To determine whether the Department of Environmental Conservation (DEC) is adequately monitoring recyclables handling and recovery facilities to ensure recyclables are properly handled and recovered throughout the State. The audit covered the period from January 2021 through December 2023.

About the Program

Climate change refers to long-term changes in the average weather patterns that define the Earth’s global, regional, and local climates. Often, when we think of climate change, we think of the physical effects such as heatwaves, sea level rise, heavy rainfall, smoke from wildfires, and the impacts on communities and the environment, such as floods and droughts. While some climate change is influenced by naturally occurring changes in the Earth’s temperature, the international scientific community has found that human activities, principally through emissions of greenhouse gases, have unequivocally caused global warming and that the pace of warming is accelerating. The solid waste sector is a sizable contributor to greenhouse gas emissions, responsible for 12% of statewide emissions. Therefore, reducing the amount of waste sent to landfills and combustion facilities is an important strategy for achieving the State’s climate goals. Recycling and the use of recycled materials provide significant environmental and economic benefits. They conserve natural resources, reduce greenhouse gas emissions, save energy by decreasing the need for virgin material extraction and processing, and reduce waste and pollution.

DEC regulates several types of facilities, including Recyclables Handling and Recovery Facilities (RHRFs). RHRFs process source-separated non-putrescible recyclable materials. Non‑putrescible materials are materials that do not readily decompose or rot and therefore do not produce odors or attract pests. Source-separated materials are recyclable items that are separated from trash and other non-recyclable waste at the point of generation—such as in homes, businesses, or institutions—before collection. These materials include paper, cardboard, plastics, metals, and glass. At RHRFs, collected recyclables are received, sorted, cleaned, and processed into distinct material streams. Regulations require that RHRFs be registered or permitted by DEC to operate unless otherwise exempt. To be registered, RHRFs must generate less than 15% residue (materials that can’t be recycled but must be disposed of) based on their intake for a full year of operation. RHRFs that do not meet registration criteria (such as residue rate or storage requirements) must obtain a permit that authorizes the operation and closure of the facility in accordance with DEC regulations.

All registered and permitted RHRFs are required to submit an RHRF Annual Report (annual report) to DEC by March 1. Annual reports must include the type and quantity of recyclable materials received, processed, and shipped; service area of recyclables received; destination of recovered material; and residue rate to enable DEC to monitor operations and support statewide recycling and solid waste planning. Environmental Conservation Law gives DEC the power to impose fines if RHRFs do not submit an annual report. Regulations allow DEC to inspect RHRFs to ensure they are following regulatory requirements for proper recyclables handling and recovery. DEC staff manually enter and track RHRF permits and registrations, annual reports, and inspections in the Solid Waste Information Management System (SWIMS). SWIMS data is used not only internally but is also compiled with other recycling and materials management data DEC collects and publishes in aggregate form in the New York State Solid Waste Management Plan (Plan) that feeds into statewide efforts to mitigate the effects of climate change. During our 3-year audit scope, we identified 406 RHRFs operating in the State.

Key Findings

DEC’s oversight of RHRFs may be limited by weaknesses in how facilities are identified, reported, and monitored. Some of the information DEC maintains identifying which facilities operate as RHRFs is unreliable, which affects its ability to ensure all required facilities submit the appropriate annual reports. In addition, DEC does not consistently review annual reports submitted by RHRFs; therefore, many of the reports it receives are incomplete or contain inaccurate information. As a result, the data DEC relies on to understand RHRF activity may be unreliable, which could limit the data’s usefulness in the Plan. Unreliable data could also affect DEC’s ability to determine an accurate accounting of how much waste is being recycled in the State or decisions about the State’s overall climate mitigation efforts involving solid waste reduction. Additionally, DEC has not established written guidance or policies to direct enforcement and inspection efforts and documentation; therefore, we found inconsistencies in how facilities were inspected and how inspection results were recorded, potentially reducing the effectiveness of inspections as a mechanism to monitor RHRFs. We found similar inconsistencies with DEC enforcement activities, which also lacked written procedures. Our audit found:

• For the period January 2021 through December 2023, the 406 RHRFs operating in the State should have submitted a total of 1,065 RHRF annual reports. However, DEC did not receive 341 (32%) RHRF annual reports for 148 RHRFs. DEC instead received 308 non‑RHRF reports from facilities that also operated a different facility type, but had only submitted reports for the other type of operation, not their RHRF activities. The remaining 33 reports were not submitted at all.
• Of the 406 RHRFs, 389 (96%) were maintained in SWIMS data and 17 (4%) were not; therefore, SWIMS did not include data for all RHRFs.
• Quantities of recyclable materials that facilities reported were frequently inaccurate or not adequately supported. Notably, facilities were able to support only 21% of recyclable materials received, 9% of recyclable materials recovered, and 6% of residue reported. Also, we analyzed residue rates reported on 695 RHRF annual reports and found 443 of 695 (64%) annual reports were missing information. For example, 433 (62%) annual reports were missing the residue rate.
• Using SWIMS data, we assessed whether and how frequently DEC conducted inspections of RHRFs during the period January 1, 2021 through December 31, 2023. Of the 389 registered and permitted RHRF facilities, 138 (35%) were not inspected. We selected a sample of 16 of the 251 facilities that were inspected and reviewed their corresponding inspections reports. For the 16 facilities, there were 21 inspection reports on file with DEC; however, only 15 (71%) of the reports were for RHRFs during the period we selected. Five (24%) were reports for other types of facilities (e.g., transfer stations) and one (5%) was the correct type of report but for a date other than the one recorded in SWIMS.

Key Recommendations

• Develop a reliable means of determining what type of operations facilities are performing and make corrections to the SWIMS data as necessary.
• Develop and implement procedures to determine the accuracy of residue rates and that, at a minimum, require staff to follow up as appropriate with facilities that leave residue rates blank and document these efforts.
• Develop procedures to guide inspectors during inspections and document the work they perform during an inspection, which may include, but not be limited to: implementing a review of data submitted to DEC, including annual report information for completeness and accuracy, and supporting documentation from facilities to determine if the residue rate reported is accurate; applying follow-up and enforcement actions for non-compliance; and establishing written procedures for inspection frequency.