Multi Media Investigation
Multi Media Investigation
Multi Media Investigation
OFFICE OF ENFORCEMENT
EPA-330/9-89-003-R
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Purpose and Scope of this Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
PROJECT REQUEST/IDENTIFICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
PROJECT PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
NOTIFICATIONS/SCHEDULING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
FIELD INSPECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Entry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Opening Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
General Facility Tour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Questioning Facility Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Document Reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Closing Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
i
Subtitle J - Medical Wastes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Pollution Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
CLEAN WATER ACT (CWA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Basic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Evaluating Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Basic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Evaluating Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Basic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Evaluating Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Basic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Evaluating Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Basic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Evaluating Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Basic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Evaluating Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
Field Citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Other Facility Material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Project Logbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Chain-of-Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Photographs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
INVESTIGATION REPORT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
ii
OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION . . . . . . . . . . . . . . 87
REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
APPENDICES
iii
INTRODUCTION
INTRODUCTION
This manual is intended as a guide for investigators who conduct multi-media
environmental compliance investigations of facilities that discharge, emit, prepare, manage,
store, or dispose of pollutants controlled by Federal, State, or local environmental laws and
regulations. Investigative methods are presented that integrate the enforcement programs for
air, water, solid waste, pesticides, and toxic substances. This manual describes general
activities and functions of multi-media investigations, and provides information on special
features of specific media and associated statutes. This manual is intended to supplement the
various media-specific investigation guides listed in the reference section.
The environmental laws which EPA administers and enforces are summarized ni
Appendix A. Emphasis is given to identifying violations of regulations, permits, approvals,
orders and consent decrees, and the underlying causes of such violations. Investigators
should thoroughly identify and document violations and problems that have an existing or
potential effect on human health and the environment.
All inspections can be grouped into four categories of increasing complexity, moving
from Category A (a program-specific compliance inspection) to Category D, (a complex
multi-media investigation) depending upon the complexity of the facility and the objectives
of the investigation. Factors in categorizing the investigation include the complexity of
pollution sources, facility size, process operations, pollution controls, and the personnel and
time resources which are required to conduct the compliance investigation. The four
categories of investigations are described below [Appendix B]:
1
INTRODUCTION
the inspector(s) screen for and report on obvious, key indicators of possible
noncompliance in other environmental program areas.
2
INTRODUCTION
Generally, all investigations will use essentially the same protocols, including pre-
inspection planning, use of a project plan, sampling, inspection procedures, and final report.
The major difference will be in the number of different regulations Categories C andD
investigations address.
3
INTRODUCTION
Branch Chiefs and Section Chiefs are important in implementing the multi-media
inspection program and identifying areas of responsibility and accountability. Some of their
duties include:
The roles and areas of responsibility and accountability of other managers, technical
staff, and team leaders must be defined. Participants need to identify and agree on what
4
INTRODUCTION
evidence is needed and the scope of work to be conducted. Next, a project plan and safety
plan that outlines the desired objectives and safety considerations must next be prepared by
the team leader. Other responsibilities for the technical staff, which often mirror or
complement those of managers, are as follows:
Multi-media investigations are carried out in response to specific requests from the
EPA program offices, legal staff, or state environmental offices. All investigations will result
in a written report that documents non-compliance or other areas of concern identified during
the investigation. Report guidelines for documenting a multi-media investigation are
discussed later in this document.
This manual provides guidelines for conducting Categories C and D multi-media
investigations, as well as, suggests principles and procedures which will also apply ot
Categories A and B or single media investigations. Moreover, this manual identifies multi-
media objectives and also focuses on specific environmental laws and associated statutes.
5
INTRODUCTION
These phases are depicted in Figure 1 and discussed in detail in the following sections. Each
phase is not necessarily a discrete step to be completed, in order, before initiating the next
phase. The background information review, for example, usually continues through
enforcement case support.
Where established policies and procedures do not exist, common sense, professional
judgment, and experience should be applied. Investigators need to collect valid, factual
information and supporting data to document violations adequately. The documentation must
be admissible as evidence in any subsequent enforcement action.
Since a multi-media investigation by its very nature probes into a facility's processes
under multiple environmental regulations, it provides a highly effective way of looking at a
non-complying facility. Overall objectives of a multi-media investigation include:
6
INTRODUCTION
7
PROJECT REQUEST/IDENTIFICATION
PROJECT REQUEST/IDENTIFICATION
The success of a multi-media investigation depends on thorough, up-front planning.
Coordination with all interested and knowledgeable parties [i.e., Region, State, National
Enforcement Investigations Center (NEIC), investigation team members, supervisory staff]
is essential to ensure an efficient and thorough investigation. Each program office should be
contacted to assure that all interested parties are aware of the planned multi-media
investigation. Furthermore, depending upon State/EPA agreements, the State should (may)
be notified of the pending investigation. All concerned parties should be involved as soon as
possible to facilitate coordination. Coordination with other Federal agencies, such as
Occupational Safety and Health Administration (OSHA) or Corps of Engineers, may be
needed in joint Federal investigations.
There must be agreement on the part of program and support offices and Regional
Counsel, and perhaps the State as well, on the overall scope of work for a particular
investigation. The scope must be clearly communicated to managers andthe investigators and
stated in the project plan. Clearly defined objectives are critical to the success of any
investigation; the objectives should be well defined at the time of the initial request. At the
time the project plan is developed, the objectives will be further refined (see section titled
Project Plan Formation). Communication among the involved parties should be the initial
step of pre-investigation planning but should also continue throughout the investigation,
because of unanticipated events often associated with field work.
8
PROJECT TEAM FORMATION
Most of the investigators on the team, including the team leader, should be current
field investigators who already possess most of the necessary skills and qualifications.
However, flexibility in team selection must exist in order to use skills in the organization and
ensure that the expertise is represented for a given situation. There may be circumstances
where a permit writer, hydrogeologist, toxicologist, or some other special discipline will be
needed on the team.
The team leader has overall responsibility for the successful completion of the multi-
media investigation. (Team leader responsibilities and authorities are presented in Appendix
C.) In addition, other investigators may be designated as leads for each of the specific
media/programs that will be addressed. These individuals may work alone or have one or
more inspectors/samplers as assistants, depending on workloads and training objectives.
However, all investigation team members should report directly to, and be accountable to, the
team leader.
Some of the more important skills and qualifications that are necessary for team
members, are as follows:
9
PROJECT TEAM FORMATION
Communication skills
EPA Order 3500.1 sets forth specific training requirements for any EPA investigator
who is leading a single media investigation. These training requirements include both general
inspection procedures and media specific procedures. While an individual leading a multi-
media investigation may not have had the media-specific training for each media covered
during that multi-media investigation, the team leader should have the media specific training
for at least two of the media. In addition, the team leader should have experience and skills
in the following areas.
Leadership
Project management
Lead for inspections in more than one program/media
Multi-media investigations
10
PROJECT TEAM FORMATION
INVESTIGATOR RESPONSIBILITY
Investigators should restrict their on-site activities to the normal working hours of the
facility, as much as possible. Investigators will need to keep abreast of specific program
regulations and should also coordinate, as necessary, with other EPA and State inspectors and
laboratory staff (if samples will be collected). The investigation team should implement
appropriate field note taking methods and proper document control procedures, particularly
when the company asserts a "confidential" claim. Investigators must assume that important
documents (e.g., project plan, safety plan, and logbooks) are not left unattended at the
facility. Sensitive discussions do not take place in front of facility personnel or on company
telephones.
*
Field conditions may dictate plan modifications. Reasons for modifications should b e
thoroughly documented.
11
BACKGROUND INFORMATION REVIEW
The investigation team must collect and analyze available background information in
order to better plan and perform the multi-media investigation. The objective of the review
is to allow EPA staff to (1) become familiar with the facility, (2) clarify technical and legal
issues prior to the inspection, (3) use resources wisely, and (4) provide information to allow
each inspector to develop a list of questions to be answered and documents to be obtained
during the on-site inspection. For example, the investigators should understand the facility's
process(es) to the extent possible and know where past problems have occurred, based on
file/data reviews. Much of the total time spent on an investigation should be spent on
planning and preparing for the investigation. This will prevent classic oversights such as being
on the road and not knowing where the facility is, or walking past the operation that received
a Notice of Violation in five previous inspections. Investigators should check with the
program staff (Federal/State/local, etc.) to gain as muchknowledge as possible about the site.
Federal/State/local file reviewers should pay particular attention to the following:
12
BACKGROUND INFORMATION REVIEW
A more detailed list of types of information which may be acquired and reviewed is
presented in Appendix D.
RECONNAISSANCE
13
BACKGROUND INFORMATION REVIEW
14
PROJECT PLAN DEVELOPMENT
The following generally form the outline for the project plan:
Objectives - This is probably the most important part of the project plan and should
be well defined, complete, and clear. The objectives should also have been discussed
and agreed upon by all appropriate management personnel. The objectives define
what the investigation is to accomplish (e.g., to assess environmental compliance with
the regulations that apply to the source--water, air, et al.).
Tasks - The plan defines tasks for accomplishing the objectives and spells out
procedures for obtaining the necessary information andevaluating facility compliance.
The tasks usually involve an evaluation of process operations, pollution
control/treatment and disposal practices, operation and maintenance practices, self-
15
PROJECT PLAN DEVELOPMENT
Safety - A safety plan attached to the project plan identifies safety equipment and
procedures which the investigation team must follow [Appendix F]. The safety
procedures and equipment are typically the more stringent of EPA or company
procedures. EPA procedures are documented in EPA Transmittal 1440 -
Occupational Health and Safety Manual dated March 18, 1986. Additional safety
issues for extensive or prolonged investigations, if necessary, should also be addressed
in the plan.
Resources - The plan describes special personnel needs and equipment requirements.
As noted earlier, experienced and knowledgeable personnel shall compose the
investigation team. An example of an equipment list is presented in Appendix G.
Schedules - The plan usually provides general schedules for investigation activities.
This information is important to the team members as well as Headquarters, Regional,
and/or State officials who requested the project. The dates for (a) starting and
finishing the field activities, (b) analytical work, and (c) draft and final reports should
be established and agreed upon by the participants.
The project plan will serve as the basis for explaining inspection activities and
scheduling to facility personnel during the opening conference. The company may be
provided general details but should not be provided with a copy of the project plan; it is an
internal document and usually considered an enforcement confidential document. (The
company may get a copy of the plan by court order.) Because conditions in the field may not
be as anticipated, the project plan is always subject to modification and so marked. Any
deviations from the plan should be well thought out, approved by the team leader, and fi
16
PROJECT PLAN DEVELOPMENT
NOTIFICATIONS/SCHEDULING
If a letter is prepared, it should cite the appropriate inspection authorities, the general
areas to be covered, and special informational needs/requests. By citing broad EPA
authorities, the investigation will not be restricted if investigators need to pursue additional
areas based on field observations. The notification should specify records to be reviewed/
collected/copied, address safety/security issues, and include any questions that need answering
to help facilitate the investigation. These issues and questions can also be addressed during
a reconnaissance inspection, if desired, or through telephone conversations with appropriate
facility personnel.
17
PROJECT PLAN DEVELOPMENT
18
FIELD INSPECTION
FIELD INSPECTION
Once the project plan is completed, the team's focus shifts to the on-site portion of the
investigation. This section first addresses developing a site-specific inspection strategy for
evaluating processes and regulated waste management activities, then discusses on-site
activities from entry through the closing conference.
The primary objectives of the field inspection are to determine whether the facility is
complying with environmental regulations, permits, etc., and to determine if facility activities
are creating environmental problems. The investigation team should also determine if the
facility has environmental management controls in place to maintain regulatory compliance
(i.e., a system for becoming aware of regulatory requirements, then implementing appropriate
compliance actions) and whether the controls are working. By satisfying these objectives,
areas of non-compliance, environmental problems, and insight into root causes can be
identified during the investigation. The information will be useful later in followup actions.
The process evaluation strategy to sequence inspections for major facility operations
and waste management activities may be based on:
Facility factors such as size, complexity, waste producing potential, and waste
characteristics
19
FIELD INSPECTION
The final strategy usually involves prioritizing the processes and waste management
activities, in consideration of all these factors, then systematically moving from the beginning
to the end of a process with emphasis on regulated waste stream generation and final
disposition. The strategy should be somewhat flexible so that "mid-course corrections" can
be made.
Figure 2 (Missing)
The strategy for process and compliance evaluations should be developed by the
project coordinator and discussed with inspection team members. This will serve as the basis
for explaining inspection activities and scheduling to the company during the opening
conference, as described below.
The strategy may also include checklists. Some may address potential process
wastestreams to be looked for, while others may address media-specific compliance issues.
Checklists can be a vital component of a compliance investigation to help ensure that an
investigator does not overlook anything important. Checklists serve as a reminder of what
needs to be asked or examined and to help an investigator remember the basic regulatory
20
FIELD INSPECTION
One of the unique benefits of the Category D approach with a cross-trained team is
that information obtained on processes, material and waste movements, and scale of
operations can later aid in focusing other program-specific compliance evaluations, such as
TSCA (Sections 5 and 8) and EPCRA. Like the project phases, the sequence of process and
compliance evaluations should not be considered as discrete steps to be completed, in order.
Information obtained during subsequent program-specific evaluations may also provide new
information regarding compliance in a program area already addressed or indicate a need to
inspect a process/support operation not previously identified [Figure 3] THIS ITERATIVE
PROCESS IS PURSUED UNTIL THE INSPECTION OBJECTIVES HAVE BEEN
ACCOMPLISHED.
At larger facilities, multiple site visits coordinated by the teamleader may be necessary
and desirable for completing the inspection. This approach can lead to a better inspection
because of the opportunity to review information obtained in the office, then refine the
inspection/strategy to "fill in the gaps" during a subsequent site visit.
21
FIELD INSPECTION
After the opening conference to explain inspection activities, the company would be
requested to provide an overview of facility operations to the entire team. A general
"windshield" site tour usually follows the overview presentation. Next, process operations
would usually be described in some detail; the order typically parallels the flow of raw
materials and intermediate products toward subsequent processes and the final product(s).
During these discussions, waste streams and respective management procedures and related
control equipment should be identified.
Process inspections to verify the information presented and discover "missing" details
are then conducted. These may be done after each process or group of processes si
described. The RCRA inspection begins while touring the processes by identifying any waste
generation and accumulation areas. The presence of wastewater sumps, separators, or trap
tanks in or near the process building may also result in initiating the CWA inspection.2 The
example plan indicates that the inspection team subdivided before proceeding with the
detailed process descriptions. This is because the people gathering process information were
beginning some of the compliance evaluations; other team members could begin concurrent
evaluations such as the laboratory inspection.
*
The CWA regulates outfalls from wastewater treatment plants and other point discharges. If
the sumps, separators, and trap tanks are used to manage hazardous waste, they may be exempt from
RCRA if they discharge to an on-site treatment plant that has a CWA permit. Part of the CW A
inspection, therefore, is identifying all treatment units related to the permitted (or unpermitted )
outfall.
22
FIELD INSPECTION
The evaluation of environmental management controlsis blended into the process and
compliance evaluations discussed above. Investigation team members should allow facility
personnel to explain their operations until the management system is understood. Document
the management system with narrative notes, gather copies of all documents used in the
processes, and formulate flowcharts to illustrate decision responsibilities, accountabilities, and
process matrices. Environmental regulations, permits,etc., are the standards, and the internal
management systems and procedures are the controls established to direct compliance or
conformance to the standards.
The system should be tested by tracking information from the internal management
systems through the regulated activity locations (i.e., follow known events through entire
processes). For example, if a facility's environmental coordinator states that a particular
waste analysis plan (a RCRA requirement) is being used at the facility, the investigation team
would "test" the system by verifying that personnel at the waste receiving station and
laboratory (1) had a copy of the plan, (2) were familiar with it, and (3) were following it.
The field portion of a multi-media investigation involves entering the facility and
conducting an on-site inspection. The following discusses several key inspection activities
including: entering the facility, conducting an opening conference, systematically gathering
pertinent information while on-site, and discussing findings in a closing conference.
Entry
23
FIELD INSPECTION
the team is then escorted into the facility to begin the inspection, usually with an opening
conference, where credentials are officially presented.3
Many facilities request inspection team members sign a visitor's log or some other
document that will provide a written list of inspectors to the
company. This is acceptable so long as there is no waiver of liability or restriction of
inspection statements contained on the document being signed (check both sides of the paper
for such statements, or the first page of a bound sign-in log). Liability waivers must not be
signed; signature documents containing any statements that appear to limit inspection
activities should be first discussed with Agency attorneys (if in doubt, consult), or sign ni
only on blank sheets.
If the team leader suspects that a warrant will be necessary before entry is attempted,
then actions to obtain a warrant (e.g., get attorney assigned to the project and prepare draft
affidavits) should be initiated well in advance to minimize the time between arrival at the
facility and entry.5* This would lessen the opportunity for the facility to take drastic, last-
3
In an unannounced inspection, it may be beneficial to immediately go to the regulated areas of concern
(drum storage, etc.) to conduct an inspection before the facility has time to make changes.
4
An attempt by the company to unreasonably limit legitimate team activities during the inspection is
tantamount to denial of entry and should be treated as such.
5
A warrant is only one of several legal vehicles that should be considered. A TSCA subpoena, issued to a
high-ranking corporate official, was used successfully in one instance as a vehicle to gain consensual entry; the
limitations imposed by a warrant were avoided.
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FIELD INSPECTION
minute corrective actions (e.g., improve "housekeeping") and thereby give the investigators
a false impression. If a warrant becomes necessary, it is obtained from a local magistrate or
judge; an EPA special agent, a Federal Marshal, or sheriff willbe needed to serve the warrant.
The team leader must be familiar with the warrant provisions and be aware of both
opportunities and constraints imposed on the investigation.
Opening Conference
The investigation objectives have been generally identified in the project plan;
however, the project plan should not be shown to the company. As noted
earlier, this is an internal document and not to be released by the field
investigation team to the company. Additionally, during the discussion of
investigation objectives, the investigators should take care not to limit the
investigation if as a result of their findings,a new objective becomes apparent.
Let the management know approximately how long the investigation will take
so they can assist with the least interruption of their regular schedules. This
25
FIELD INSPECTION
is often as long as it takes until we get the information requested from the
facility.
While the government has a right to inspect at any time during normal
working hours, it is appropriate to give some consideration to the needs of the
facility. For example, perhaps giving company personnel one half hour in the
morning to get their business in order would be beneficial and would win
"good will" for the investigators.
The government investigators may not have the same restraints as facility
personnel. However, it is prudent to determine what safety requirements the
facility personnel have to follow and to follow those if they are more stringent
than the government requirements. Of particular importance is to determine
emergency signals and escape routes if a plant emergency occurs. Commonly,
investigators may attend a short safety briefing and be asked to sign that they
attended that briefing. It is all right to sign an acknowledgement that a safety
briefing was attended; it is not all right to agree to anything else or to
relinquish any rights CHECK WITH THE GOVERNMENT ATTORNEYS
IF THERE ARE ANY QUESTIONS.
26
FIELD INSPECTION
Facility personnel may also request that photographs taken during the
visitation be considered confidential, and the Agency is obliged to comply,
pending further legal determination. Self-developing film, although often of
less satisfactory quality, is useful in these situations. A facility may refuse
permission to take photographs unless they can see the finished print.
Duplicate photographs (one for the investigator and the other for the facility)
should satisfy this need. When taking photographs considered TSCA
Confidential Business Information (CBI), self-developing film eliminates
processing problems; otherwise, the film processor must also have TSCA CBI
clearance. Note, however, that some self-developing film may contain
disposable negatives which must also be handled in accordance with the
TSCA CBI requirements. Giving the facility theoption of developing the film
may resolve national defense security problems when self-developing film is
not satisfactory.
The Federal statutes provide broad authorities for document review and
copying. If the investigators decide that documents need to be copied, then
the investigators should either attempt to use the facility's copier, paying a fee
if necessary, or come equipped with a portable copier (Note: renting a
portable copier from a local business store often requires advance
reservations). A company's refusal to provide documents or refusal to allow
copying can be considered similar to a denial of entry [note that the company
is NOT required to copy documents for the government without a court
order; refusal to copy even with payment is not the same as refusal to provide
the documents]. The investigators should note the refusal in log books
(including names, titles, and times) and continue with the on-site inspection.
27
FIELD INSPECTION
The purpose of the general facility tour is to provide investigation team members an
"on the ground" orientation and to identify/verify activities requiring further evaluation. The
team leader should compile a list of "must see" items, based on the background information
review and information obtained during the facility operations overview portion of the
opening conference. These could include key process/operations, waste management areas,
and areas where suspected violations are occurring. The facility tour (attended by all team
members) should include these items; whether facility personnel are provided the specific list
depends on whether the company could potentially hide or correct violations. It may be
prudent to present the list of specific items in terms of general plant areas to be toured.
The facility tour must be properly structured and knowledgeable facility personnel
must accompany the investigators. The route taken may be dictated by facility layout, but
material flow should be followed, to the extent possible. The tour should include, as a
minimum, raw material storage facilities, manufacturing areas, and waste management units.
Team members need to be constantly alert for operations, processes, materials, and waste
management activities not previously identified. If a potentially significantoperation, unit,
28
FIELD INSPECTION
or activity (e.g., a waste spill) is observed, "stop the bus" and take a closer look. Any
regulatory violations should be properly documented at that time.
The general site tour is also a good time to document conditions with photographs.
Once the general site tour is completed, the investigation team may split into smaller
units (usually two, sometimes three) that focus on the detailed process evaluations, specific
media compliance, or other activities such as laboratory inspection and sample collection.
This allows one team to gather process information and begin the compliance evaluation while
another team begins concurrent evaluations; all investigators should be watching for potential
problems in all media and possible regulatory implications throughout the investigation.
Two key techniques are employed during this part of the investigation: interviews and
visual observations. Investigators should employ good interviewingtechniques so that the
necessary information can be clearly and accurately obtained from facility personnel.
Appendix K gives interviewing techniques. Investigators should ask probing questions but
never leading questions. Often, the investigator is required to rephrase questions and ask
them many times until he/she gets a satisfactory and consistent answer. Body language
should also be observed for clues that the facility representative is hedging or that the
investigator is starting to key in on a particularly sensitive subject. The investigator should
always write down unexpected questions that occur to him/her, especially in situations where
these questions cannot be asked promptly. Special care should be taken so that one
investigator does not answer another investigator's questions. If the question is posed to a
company official, the official should answer even if another investigator knows the answer.
How you ask a question can be more important than the question itself. Try not to
give a possible answer when asking a question. For example, the following are poor ways to
phrase a question:
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FIELD INSPECTION
A conclusive question and follow up is often overlooked and taken for granted;
however, it is the meat of the inquiry. Without the affirmation of a direct answer to the
question at issue, the previous questions were of little value.
Sometimes it is useful to convey the impression that you are there to learn abouta
facility or its operations and are going to ask a lot of basic questions. This type of "help me
learn" attitude will often allow a better line of questioning and more persistence when things
become unclear or
contradictory. Generally ask open-ended questions first and then clarifying questions as
necessary.
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FIELD INSPECTION
addressed. Major items of interest include waste spillage/leaks/discharges, how the facility
differentiates regulated waste from unregulatedwaste, physical condition of pollution control
equipment, units out of service, operation and maintenance issues, diversions, bypasses and
overflows, emergency response capabilities, safety, secondary containment, overloads, waste
residuals management, and self-monitoring procedures.
Questions should also be asked about the environmental management program at the
facility. Process personnel should explain how they become aware of environmental
regulatory requirements and what support they get in taking required compliance actions.
Probing follow-up questions may be asked to determine corporate policy toward regulatory
compliance. Documenting recalcitrant behavior may have major ramifications in Agency
follow-up actions.
Process inspections are then conducted to verify the information presented and
discover/discuss "missing" details. These may be done after each process or group of
processes is described. Inspection of waste management units may be interspersed with
process inspections, depending on their location and facility complexity; a primary
consideration is the logical flow of information. Time must also be scheduled to review and
copy relevant records, and then for additional interviews to answer questions about the
records.
Document Reviews
Before the field investigation begins, each team member should know which
reports/records he/she will be responsible for reviewing. These may include inspection logs,
annual documents, operating reports, self-monitoring procedures and data, spill clean-up
reports, manifests, notifications/ certifications, emergency response plans, training records,
etc. However, some on-the-spot decisions may have to be made in situations where
unexpected information becomes available. The investigator should not limit review ot
documents specified during the notification or opening conference.
The document review should include determining whether (1) facility personnel have
prepared and maintained the required documents, (2) the documents contain all necessary
information, (3) the documents have been prepared on time, (4) the documents have been
distributed to all necessary parties, and (5) document information is consistent by cross-
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FIELD INSPECTION
checking information recorded on more than one document. Document reviews should be
done systematically. The investigator should always plan to make copies of documents that
cannot be reviewed on-site, or are vitally important in documenting or describing a potential
violation. The use of a portable copier should be considered to expedite this procedure.
Sampling
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FIELD INSPECTION
Closing Conference
The primary purpose of the closing conference is to provide an opportunity for the
investigators to discuss preliminary findings with facility representatives, including any
potential violations or problems that are uncovered during the investigation. Judgment must
be exercised in deciding what findings are presented and how they are represented to facility
personnel. Nearly any finding can be discussed if it is presented in the right context.
However, the less certain the team leader is about a specific violation or issue, the more
reason not to discuss it at the closing conference. In any case, the investigators must clearly
state that information provided during the closing conference is preliminary and may change,
as a result of additional review. Pollution prevention strategies can also be discussed.
Some additional paperwork may need to be completed during the closing conference.
This would include signing appropriate inspection forms such as receipt for samples or
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FIELD INSPECTION
documents received and declaration of TSCA CBI or the issuance of field citations. Multi-
media investigators must be CBI-cleared before they accept any company TSCA CBI
information.
Finally, the team leader should be prepared to discuss with facility personnel how and
when a copy of the final inspection report can be obtained (e.g., a FOIA request, etc.).
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Presented here, are many of the significant tasks that must be included in each of the
media specific inspections. Sample collection and inspection checklists are addressed
elsewhere in this manual (Appendix I lists media specific checklists). Media discussed include
hazardous waste, water, air, drinking water, toxic substances, pesticides, as well as emergency
planning/community right-to-know and Superfund issues. General information on each Act
is covered in Appendix A.
Basic Program
The Resource Conservation and Recovery Act (RCRA) of1976 is the primary statute
regulating the management and disposal of municipal and industrial solid and hazardous
wastes. In 1984, RCRA was amended by the Hazardous and Solid Waste Amendments
(HSWA) and in 1988 by the Medical Waste Tracking Act (Subpart J of RCRA). The
principal objectives of RCRA, as amended, are:
Promoting the protection of human health and the environment from potential
adverse effects of improper solid and hazardous waste management
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
(UST), and (4) Subtitle J - Medical Wastes. This section discusses evaluating compliance
under Subtitles C, I, and J.6
Evaluating Compliance
The investigator must clearly identify investigation objectives, the RCRA regulatory
authority (or authorities) with jurisdiction, and establish the facility status under RCRA.
RCRA investigations may be performed for several reasons, including:
The regulatory agencies with RCRA authority may be EPA, a designated State agency
with full or partial authority, local agencies working with the State, or a combination of the
three.
In determining the facility status under RCRA, the investigator must decide whether
the facility is a generator, transporter, and/or treatment,storage, and disposal facility (TSDF),
and whether the facility is permitted or has interim status. Generally, EPA Regional and State
offices maintain files for the facility to be inspected. Information may include:
*
The waste management programs are presented here out of alphabetical sequence because Subtitle D
contains the definition of "solid waste" which is helpful in understanding hazardous wastes in Subtitle C. Hazardous
wastes are a subset of solid wastes. Subtitle C hazardous wastes are defined specifically in Title 40 of the Code of
Federal Regulations (CFR), Part 261.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
A list of wastes that are treated, stored, and disposed and how each si
managed (for TSDFs)
A detailed map or plot plan showing the facility layout and location(s) of
waste management areas
Generators
Hazardous waste generators are regulated under 40 CFR Parts 262 and 268. These
regulations contain requirements for:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
The generator regulations vary, depending upon the volume of hazardous wastes generated.
The investigator must determine which regulations apply. Additionally, the investigator
should do the following:
Verify that the generator has an EPA Identification Number which is used on
all required documentation (e.g. reports, manifests, etc.)
Determine the length of time that hazardous wastes are being stored or
accumulated. Storage or accumulation for more than 90 days requires a
permit. Generators storing for less than 90 days must comply with
requirements outlined in 40 CFR 262.34.
Watch for accumulation areas which are in use but have not been identified by
the generator. Note: Some authorized State regulations do not have
provisions for "satellite storage" accumulation areas.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Transporters
Hazardous waste transporters (e.g., by truck, ship, or rail) are regulated under 40 CFR
Part 263, which contains requirements for:
Verify that the transporter has an EPA identification number which is used on
all required documentation (e.g., manifests)
Determine how long containers have been stored at a transfer facility. Storage
over 10 days makes the transporter subject to storage requirements
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Permitted and interim status TSDFs are regulated under 40 CFR Parts 264 and 265,
respectively. [Part 264 applies only if the facility has a RCRA permit (i.e., a permitted
facility); Part 265 applies if the facility does not have a RCRA permit (i.e., an interim status
facility)]. These requirements include three categories of regulations consisting of
administrative requirements, general standards, and specific standards (see Table on
following page). The investigator should do the following items to determine compliance
with Subparts A through E:
Verify that the TSDF has an EPA identification number which is used on all
required documentation.
Determine what hazardous wastes are accepted at the facility, how they are
verified and how they are managed.
Compare wastes managed at the facility with those listed in the Hazardous
Waste Activity Notification (Form 8700-12); the Parts A and B permit
applications; and any revisions, and/or the permit.
Verify that the TSDF has and is following a waste analysis plan kept at the
facility; inspect the plan contents.
Review inspection logs to ensure they are present and complete. Note
problems and corrective measures.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
For permitted facilities, verify compliance with permit standards with respect
to groundwater monitoring, releases from solid waste management units,
closure/post-closure, and financial requirements (Part 264).
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
For waste management units that undergo closure, review the closure plan
(including amendments and modifications), plan approval, closure schedule,
and facility and regulatory certifications. Examine response actions to any
release of hazardous waste constituents from a closed or closing regulated
unit.
For waste management units in post closure care, inspect security measures,
groundwater monitoring and reporting, and the maintenance and monitoring
of waste containment systems.
The technical standards in Part 264 (Subparts I through O and X) and Part 265
(Subparts I through R) govern specific hazardous waste management units used for storage,
disposal, or treatment (e.g., tanks, landfills, incinerators). Standards for chemical, physical,
and biological treatment at permitted facilities under Part 264 have been incorporated under
Miscellaneous Units, Subpart X.7 The investigator should do the following:
Identify all hazardous waste management areas and the activity at each;
compare the areas identified in the field with those listed in the permit or
permit application, as appropriate. Investigate disparities between actual
practice and the information submitted to regulatory agencies.
7
The regulations governing miscellaneous units are intended to address technologies that were difficult to fit into the
framework of prior regulations. Miscellaneous units, defined in 40 CFR 260.10, include but are not limited to:
open burning/detonation areas, thermal treatment units, deactivated missile silos, and geologic repositories.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Determine whether hazardous waste releases have occurred and how the
owner/operator responds to leaks and spills.
For landfills, determine how the owner/operator manages bulk and contained
liquids.
Determine what are the facility monitoring requirements (for air emissions,
groundwater, leak detection, instrumentation, equipment, etc.) and inspect
monitoring facilities and records.
When inspecting land treatment facilities, the investigator should also review the
following items:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
General procedures for operating the incinerator during start-up and shut-
down
For permitted incinerators, the investigator must evaluate the incinerator operation
against specific permit requirements for waste analysis, performance standards, operating
requirements, monitoring, and inspections. The investigator also should do the following:
Verify that the incinerator burns only wastes specified in the permit
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Waste analysis records, to ensure that (a) the wastes are suitable for thermal
treatment, and (b) the required analyses in Part 265.375 have been performed
Thermal treatment facilities permitted under 40 CFR Part 264 Subpart X will have specific
permit requirements.
Review trial treatment test methods and records to determine if the selected
treatment method is appropriate for the particular waste.
Chemical, physical, and biological treatment facilities permitted under Subpart X will have
specific permit requirements.
Owners/operators of TSDFs must also comply with air emission standards contained
in Subparts AA and BB of 40 CFR Parts 264 and 265. These subparts establish standards
for equipment containing or contacting hazardous wastes with organic concentrations of at
least 10%. This equipment includes:
Process vents
Pumps in light liquid service
Compressors
Sampling connecting systems
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Total organic emissions from process vents must be reduced below 1.4 kg/hr and 2.8 Mg/yr.
The other equipment types above must be marked and monitored routinely to detect leaks.
Repairs must be initiated within 15 days of discovering the leak.
Land disposal restrictions (LDR) in 40 CFR Part 268 are phased regulations
prohibiting land disposal8 of hazardous wastes unless the waste meets applicable treatment
standards [Appendix N].9 The treatment standards are expressed as (1) contaminant
concentrations in the extract or total waste, or (2) specified technologies.
8
Land disposal includes, but is not limited to, placement in a landfill, surface impoundment, waste pile,
injection well, land treatment facility, salt dome formation, salt bed formation, underground mine or cave, or
placement in a concrete vault or bunker intended for disposal purposes.
9
Treatment standards are in 40 CFR 268.40 through 43.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
standards and any prohibition levels (California List wastes) that apply to the waste.
Certifications are signed statements telling the treatment or storage facility that the waste
already meets the applicable treatment standards and prohibition levels.
The regulations divide hazardous wastes into restricted waste groups and applya
compliance schedule of different effective dates for each group (40 CFR 268, Appendix VII).
Determine who completes and signs LDR notifications and certifications and
where these documents are kept.
10
Prohibitions on land disposal are explained in 40 CFR 268, Subpart C.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Verify whether the treatment standards have been achieved for particular
wastes prior to disposal.
Evaluating Compliance
Three basic methods are used to determine compliance in most inspections: (1)
Interviews of facility personnel, (2) visual/field observations, and (3) document review.
Because the tanks are located underground, visual/field observations have limited application
in determining compliance for USTs. The UST program relies heavily on the use of
documents to track the status and condition of any particular tank.
Interviews with facility personnel are an important starting point when determining
compliance with any environmental regulation. Questions regarding how the facility si
handling its UST program will give the inspector insight into the types of violations that may
be found. Topics to be covered in the interview include:
Age, quantity, and type of product stored for each tank on-site
How and when tanks have been closed
Type of release detection used on each tank (ifany); some facilities may have
release detection on tanks where it is not required
Type of corrosion protection and frequency of inspections
Which tanks have pressurized piping associated with them
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Visual/field observations are used to determine if any spills or overfills have occurred
that have not been immediately cleaned up. The presence of product around the fill pipe
indicates a spill or overfill. Proper release detection methods can also be verified with field
observations. During the interviews, ask the facility if monthly inventory control along with
annual tightness testing is used. If monthly inventory control is used, check the measuring
stick for divisions of 1/8 inch. A field check of the entire facility can also be done ot
determine if any tanks may have gone unreported. Fillports and vent lines can indicate the
existence of a UST.
Documents take up the largest portion of time during a UST inspection. Documents
that should be reviewed include:
Document retention rules also apply, so be sure to get all of the documents a facility may be
required to keep. To determine if the implementing agency has been notified of all tanks,
compare the notifications to general UST lists from the facility. Usually, the facility will keep
a list of tanks separate from the notifications and tanks may appear on that list that do not
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
appear on a notification form. Also, compare the notifications to tank lists required in other
documents, like the Spill Prevention Control and Countermeasures Plan.
Subtitle J was added to RCRA in November 1988 to address concerns about the
management of medical wastes. EPA enacted interim final regulations in March 1989. The
regulations, found in 40 CFR Part 259, establish a demonstration program with requirements
for medical waste generators, transporters, and treatment, destruction, and disposal facilities
(TDDs). The demonstration program is effective in "Covered States" during the period June
22, 1989 to June 22, 1991. The regulations apply to regulated medical waste generated in
Connecticut, New Jersey, New York, Rhode Island, and Puerto Rico.
Basic Program
Medical waste is defined in 40 CFR 259.10 as any solid waste generated in the
diagnosis, treatment, or immunization of human beings or animals, in related research,
biological production, or testing. The following are exempt from 40 CFR Part 259
requirements:
Regulated medical waste is a subset of all medical wastes and includes seven
categories:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Mixtures of solid waste and regulated medical waste are also subject to the
requirements. Mixtures of hazardous and regulated medical waste are subject to the 40 CFR
Part 259 requirements only if shipment of such a mixture is not subject to hazardous waste
manifesting (e.g., the hazardous waste is shipped by a conditionally exempt generator).
A generator who either treats and destroys or disposes of regulated medical waste
onsite [e.g., incineration, burial, or sewer disposal covered by section 307(b)through (d),
of the Clean Water Act] is not subject to tracking requirements for that waste. However,
such on-site waste management may subject the generator to additional Federal, State, or
local laws and regulations.
Evaluating Compliance
The inspector should evaluate whether the generator has determined what regulated
medical waste streams are generated and/or managed. Generators of less than50 pounds
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
per month are exempt from certain transportation, and tracking requirements. Compliance
should also be evaluated by observing the following:
Prior to shipping waste off-site: Are wastes segregated? Are wastes packed
in the appropriate containers? If containers are reused, are they
decontaminated? Are containers properly marked?
Does the generator use tracking forms? Are copies of the forms and any
exception reports kept for 3 years? Does the generator export medical waste
for treatment, destruction, or disposal? If so,the generator must request that
the destination facility provide written confirmation that the waste was
received; an exception report must be filed if such a confirmation is not
received within 45 days. If the generator incinerates medical
waste on-site, are the recordkeeping and reporting regulations for on-site
incinerators followed?
The proper labeling and marking of regulated medical waste accepted for
transportation has taken place or has been done.
If the waste is handled by more than one transporter, did each transporter
attach a water resistant identification tag below the generator's marking? Is
the required information on the tag?
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
The requirements for treatment, destruction, and disposal facilities apply to owners
and operators of facilities that receive regulated medical waste generated in a Covered State,
including facilities located in non-Covered States that receive regulated medical waste
generated in a Covered State. The facilities include destination facilities, intermediate
handlers, and generators who receive regulated medical waste required to be accompanied
by a tracking form. The inspector should verify the following:
For rail shipments of regulated medical waste, the inspector should determine
whether the tracking forms are used properly.
Pollution Prevention
Evaluating Compliance
EPA has developed a policy regarding the role of inspectors in promoting waste
minimization (OSWER directory number 9938.10). As stated in the policy, to evaluate
compliance, the inspector should:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Check hazardous waste manifests for a correctly worded and signed waste
minimization certification.
Check the Biennial Report and/or Operating Record of generators and TSDs,
as appropriate. These documents are to contain descriptions of waste
minimization progress and a certification statement. If known omissions,
falsifications, or misrepresentations on any report or certification are
suspected, criminal penalties may apply and the case should be referred for
criminal investigation.
Check any waste minimization language included in the facility's permits, any
enforcement order, and settlement agreements. Verify that any waste
minimization requirements are being satisfied.
The policy also states that the inspector should promote waste minimization by:
Referring the facility to the appropriate technical assistance program for more
specific or technical information.
Providing limited, basic advice to the facility of obvious ways they can
minimize their waste. This advice should be issued in an informal manner
with the caveat that it is not binding in any way and is not related to
regulatory compliance.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
The multi-media inspection team can also document cross-media transfers of waste streams,
which can result in false claims of waste minimization. For example, a facility could treat a
solvent wastewater stream in an air stripper that has no air pollution control devices. On
paper, the amount of solvent discharged to a land disposal unit or sewer system could show
a reduction, but the pollutants are going into the air, possibly without a permit. Another
example would be a facility claiming a reduction in hazardous waste generated because the
waste stream was delisted.
EPA establishes national water quality goals under the CWA. Water pollution from
industrial and municipal facilities is controlled primarily through permits limiting discharges.
Permit limits are based on effluent guidelines for specific pollutants, performance
requirements for new sources, and/or water quality limits. Permits also set schedules and
timetables for construction and installation of needed equipment. Sources which discharge
indirectly to a municipal treatment plant are subject to pretreatmentstandards. Other key
provisions of the CWA require permits for discharge of dredged and fill materials into waters
(including wetlands) and requirements for reporting and cleaning up spills of oil or hazardous
material. Nonpoint sources of water pollution, such as runoff from agricultural fields, are
addressed through programs to implement Best Management Practices.
Basic Program
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Before the inspection, the investigators should determine the "yardstick" by which facility
compliance will be measured. To do so, the investigator must obtain and review copies of
the discharge permit, permit application, discharge monitoring reports (DMRs), treatment
facility plot plans, and any additional required plans (SPCC, etc.).
Evaluating Compliance
Wastewater control and treatment systems should be evaluated for adequacy and
compliance with permit or other requirements (consent decrees, etc.) through record review
and on-site inspection. This includes, but is not limited to, the following:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Self-monitoring Systems
Self-monitoring consists of flow and water quality measurements and sampling by the
facility in addition to laboratory analyses of water samples required by the NPDES permit
program. The NPDES/ pretreatment permits normally identifyself-monitoring requirements.
There are usually two components to the self-monitoring system evaluation, as discussed
below:
Field - Confirm that acceptable sampling and flow measurements, as specified by the
NPDES/pretreatment permits, are conducted at the correct locations, with the proper
frequency, and by acceptable equipment and methods. Determine if all necessary
calibrations and O&M are performed. Approved procedures are to be used in the
collecting, preserving, and transporting of samples [40 CFR 136.3(e)].
Evaluate how the data are entered into laboratory notebooks or computers; sign-off
procedures used; analysis of spikes, blanks, and reference samples; how the lab data
are transposed onto the official, self-monitoring report forms (DMRs) sent to the
regulatory agency; and the extent and capability of outside contract laboratories, if
used.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Most NPDES discharge permits have standard language that requires proper facility
operation and maintenance [40 CFR 122.41(e)]. The investigator should:
Observe the presence of solids, scum, grease, and floating oils or suspended
materials (pinpoint floc, etc.), odors, and weed growth in the treatment units.
Note appearance of wastewater in all units.
Determine if the facility handles toxic materials and if a BMP plan is required (40
CFR 125, Subpart K or by NPDES permit). If applicable, review BMP Plan or BMP Permit
requirements. Determine if facility is following required provisions. Review any records
required by the plan for adequacy.
SPCC Plan
Determine if the facility is required to develop and implement an SPCC Plan (40 CFR
112) for storage/handling and spill control of specified substances. A facility is required to
have an SPCC plan if it stores oil and/or oil products and:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Obtain a copy of the plan and required records to assess compliance with the plan provisions.
The plan should be certified by a registered professional engineer with approval and
implementation certified by the proper facility official. Identify and visually inspect all
regulated tanks and equipment including containment and run-off control systems and
procedures. Investigate any evidence of spilled materials. Discuss training and associated
procedures with facility personnel. Review applicable records (spill reports, tank and piping
inspection reports, and loading/unloading equipment inspection reports).
The Clean Air Act is the legislative basis for air pollution control regulations. It was
first enacted in 1955 and later amended in 1963, 1965, 1970, 1977, and 1990. The 1955 Act
and the 1963 Amendments called for the abatement of air pollution through voluntary
measures. The 1965 amendments gave Federal regulators the authority to establish
automobile emission standards.
Basic Program
The Clean Air Act Amendments of 1970 significantly broadened the scope of the Act,
forming the basis for Federal and State air pollution control regulations. Section 109 of the
1970 Amendments called for the attainment of national ambient air quality standards
(NAAQS, 40 CFR 50) to protect public health and welfare from the known or anticipated
adverse effects of six air pollutants (as of 1990 the standards were for small particulates,
sulfur dioxide, nitrogen dioxide, carbon monoxide, ozone, and lead). The states were
required to develop and submit to EPA implementation plans that were designed to achieve
the NAAQS. These state implementation plans (SIPs) contained regulations that limited air
emissions from stationary and mobile sources. They were developed and submitted to EPA
on a continuing basis and became federally enforceable when approved.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Performance Standards (NSPS, 40 CFR 60), limited air emissions from subject new sources.
The standards are pollutant and source specific. Appendix L contains a list of the NSPS
sources as of July 1, 1990 and also lists sources subject to NSPS continuous emission
monitoring (CEM) and continuous opacity monitoring (COM) requirements.
Section 112 of the 1970 Amendments directed EPA to develop standards for
hazardous air pollutants. These regulations, known as the National Emission Standards for
Hazardous Air Pollutants (NESHAPs, 40 CFR 61), limited hazardous air emissions from both
new and existing sources. (Appendix L) contains a list of sources subject to NESHAPs as
of July 1, 1990. These standards are incorporated into the SIPs, usually by reference to the
EPA standard.
The Clean Air Act Amendments of 1977 addressed the failure of the 1970
Amendments to achieve the NAAQS by requiring permits formajor new sources. The permit
requirements were based on whether the source was located in an area that met the NAAQS
(attainment areas, 40 CFR 81) or in an area that did not meet the NAAQS (nonattainment
areas). The permit program for sources inattainment areas was referred to as the prevention
of significant deterioration (PSD) program.
The Clean Air Act Amendments of 1990 significantly expanded the scope of the Act.
Section 112 amendments essentially replaced the NESHAPs with a new program called "Title
III - Hazardous Air Pollutants." Title III listed 189 hazardous air pollutants [Appendix O]
and required EPA to start setting standards for categories of sources that emit these
pollutants within 2 years (1992) and finish setting all standardswithin 10 years (2000). It also
contains provisions for a prevention-of-accidental-releases program.
Title VII of the 1990 Amendments gives EPA enhanced enforcement authority. The
Agency may initiate enforcement proceedings for SIP and permit violations if the state does
not take enforcement action. Title VII also provides for criminal penalties for Clean Air Act
violations.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Evaluating Compliance
The following procedures are used to evaluate compliance with the Clean Air Act.
Before an on-site inspection the documents listed below should be obtained from state
or EPA files and reviewed to determine what regulations apply and what compliance
problems may exist.
The state air pollution control regulations contained in the SIP (State
regulations and permits form the basis for the air compliance inspection and
will vary from state to state.)
The most current emissions inventory (check for sources subject to SIP,
NSPS, and NESHAPs requirements)
Process descriptions, flow diagrams, and control equipment for air emission
sources
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Facility plot plan that identifies and locates the air pollution emission points
The on-site inspection should include a review of the records and documents listed
below:
CEM reports to determine if NSPS and SIP reporting requirements are being
met (reported emissions should be checked against raw data for accuracy and
reported corrective actions should be checked for implementation)
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Basic Program
Public drinking water supply systems (i.e., serve at least 25 people) are regulated by
the Safe Drinking Water Act (SDWA), as amended. EPA sets standards for thequality of
water that can be served by public water systems, [known as Maximum Contaminant Levels
(MCLs)]. Public systems must sample their water periodically and report findings to the State
(or EPA, if the State has not been delegated the authority to enforce the SDWA). They must
notify consumers if they do not meet the standards or have failed to monitor or report. EPA
is on a statutory schedule for promulgating a large number of new MCLs.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Evaluating Compliance
The Underground Injection Control (UIC) program was developed pursuant to the
Safe Drinking Water Act (SDWA) (Public Law 93-523), Part C - Protection of Underground
Sources of Drinking Water (40 CFR Parts 124 and 144 through 148).
The UIC program regulates five classes of injection wells, summarized as follows:
Class II Oil- and gas-related wells used for produced fluid disposal, enhanced
recovery, hydrocarbon storage, etc.
Monitoring requirements for water supply systems and whether or not the system can
be reasonably expected to routinely provide safe potable water should be determined. Many
facilities purchase their potable water supply from a nearby municipality. If no further
treatment is provided (e.g., chlorination by the facility), the facility remains a "consumer"
rather than becoming a "supplier," and consequently does not have the monitoring or
reporting requirements that a supplier would have. Nevertheless, the facility does havea
responsibility to assure that their actions do not result in contamination of the municipal water
supply (e.g., through cross-connection). Theaudit team should be alert to these possibilities.
Inspectors should:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Several states and industries have requested approval of various alternative mechanical
integrity testing methods or variances to accommodate special local hydrogeological
conditions, historical practices, or industry interests. Inspectors and field investigators should
be cautioned to keep current with special permit conditions and the status of any pending
approvals/denials of alternative mechanical integrity testing procedures and variances.
This section describes those specific aspects of toxic chemical control that are
addressed by the Toxic Substances Control Act (TSCA) and its associated rules and
regulations (40 CFR Parts 702 through 799).
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Basic Program
The regulation of toxics under TSCA is subdivided into two components for Agency
enforcement program management purposes.
Before leaving the site, the following two forms [Appendix P] must be completed, as
appropriate.
1. Receipt for Samples and Documents - Itemizes all documents, photos, and
samples received by the investigator during the audit
*
All personnel handling material claimed as Confidential Business Information under TSC A
must be cleared for access to that material in accordance with Agency procedures. An annual update
is required.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Evaluating Compliance
Chemical Control
Facilities which store and/or dispose of PCBs and PCBitems should have EPA-issued
Letters of Approval which contain facility operating and recordkeeping requirements ni
addition to those specified in 40 CFR 761. The investigator must obtain a copy of these
approvals and any subsequent notifications to evaluate facility compliance. The inspector
should review Part 761.30 to identify uses of PCB transformers which are prohibited
beginning October 1, 1990, but with effective dates extending to October 1, 1993. The
inspector should also review the requirements found in Part 761.30 which allow the
installation of PCB transformers for emergency use.
*
These forms are generally completed during the closing conference. During the openin g
conference, facility personnel should be made aware that the latter form is used to itemize TSCA CB I
material.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
regarding material handling activity; examining facility records and inspecting material
handling units. Specific investigation tasks include:
If the above equipment includes any PCB transformers make certain that all
relevant prohibitions are being met, such as those involving enhanced
electrical protection, as well as other requirements in the Use Authorization
section of the PCB Rule. Likewise with large PCB capacitors. Make certain
that any hydraulic or heat transfer systemssuspected of containing PCB fluids
have been properly tested.
Determine whether the facility is involved with either the storage or disposal
of PCBs/PCB items. Inspect all storage for disposal facilities for proper
containment, leaking items, proper marking, dates/time limits, location,
protection from elements, and other necessary requirements. If the facility
disposes of PCBs, make certain that proper methods are being employed and
that design
and operation of disposal units is in accordance with regulatory requirements.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
- Annual documents
- Inspection logs
- PCB transformer registration letters
- Manifests/certificates of destruction
- Test data
- Spill clean-up reports
- EPA issued permits or Letters of Approval
- SPCC plan, if one is necessary
- Operating records
- Notification of PCB activity
Hazard Evaluation
Establishing compliance with the various hazard evaluation aspects of TSCA is best
accomplished through review and evaluation of the recordkeeping, reporting, and submittal
data required by the various regulatory components of Sections 5 and 8. In general, Section
5 addresses new chemicals (i.e., those not on the TSCA Chemical Substances Inventory) and
Section 8 provides for control of existing chemicals (i.e., those chemicals that are on the
TSCA Chemical Substances Inventory).
Much of the information obtained and reviewed under these two sections of TSCA
will be declared "TSCA Confidential Business Information" (CBI) by
company officials and, thus, special security procedures must be followed during review and
storage of the documents, as discussed elsewhere.
The glossary [Appendix Q] and 40 CFR Parts 703 through 723 should be consulted
for an explanation of TSCA terms and definitions. The followinglist summarizes the different
objectives for inspections of the key TSCA Sections 5 and 8 components.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
a. Verify that the conditions spelled out in the TME application are being
met, particularly with respect to dates of production, quantity
manufactured or imported, number of customers and use(s).
b. For an LVE, verify that the 1,000-kg limit per 12-month period has
not been exceeded. For a PE, assure that the chemical structure and
monomer composition(s) are accurate.
c. Verify that recordkeeping requirements for both LVEs and PEs are
being met.
a. Verify that all conditions of the order, rule, or injunction are being
followed, including use of protective equipment, glove testing,
training, and recordkeeping.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
b. Verify that SNUR notices have been submitted for all applicable
manufactured, imported, or processed chemicals.
Determine the commercial production (or import) status and R&D history of
those bona fide chemicals not found on the confidential 8(b) inventory. Verify
findings against applicable PMN, TME, or other exemption.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
a. Determine if the facility has a Section 8(c) file and that allegations of
significant health and environmental harm on record are properly filed
and recorded.
b. Determine that all applicable allegations have been recorded and filed.
c. Determine if the facility has a written Section 8(c) policy and if the
policy includes outreach to the employees.
Determine if copies (or lists) of all unpublished health effects studies have
been submitted by manufacturers, importers, and processors for any Section
8(d) listed chemical.
a. Verify that all Section 8(e) substantial risk reports to the Agency were
accurate and submitted within the required time frames.
b. Verify that all substantial risk incidents and/or test results have been
reported to EPA.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Basic Program
Pesticides are regulated by FIFRA and regulations developed under delegated State
programs. Under FIFRA, pesticide products must be registered by EPA before they are sold
or distributed in commerce. EPA registers pesticides on the basis of data adequate to show
that, when used according to label directions, they will notcause unreasonable adverse effects
on human health or the environment.
To ensure that previously registered pesticides meet current scientific and regulatory
standards, in 1972 Congress amended FIFRA to require the "reregistration" of all existing
pesticides.
Evaluating Compliance
The following list is for use in conjunction with specific storage/ use/disposal
requirements found on pesticide labels. FIFRA requires a written notice of inspection and
written receipt for samples and documents collected.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
- Check bulk storage areas for compliance with Federal/ State rules.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Basic Program
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
An EPCRA audit verifies that the facility owner/operator has notified State and local
agencies of regulated activities; has submitted information to specific State and local agencies;
and has prepared and submitted all other required reports.
Evaluating Compliance
EPA promulgated regulations which identify extremely hazardous substances and the
levels to be regulated under EPCRA. The inspector should determine whether the facility is
subject to EPCRA regulation. If the facility does meet the requirements, the inspector should
verify whether the facility owner/operator:
Notified the State emergency response agency and the local emergency
planning committee that the facility is regulated under EPCRA
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
requirements under CERCLA Section 103(a) or (c). The inspector should verify whether an
immediate notification was made to the:
Manufacturing facilities subject to the Occupational Safety and Health Act (OSHA)
Hazardous Communication Regulation (29 CFR Part 1910) are required to prepare Material
Safety Data Sheets (MSDS) for each hazardous chemical handled at the facility.
Manufacturing facilities covered are contained within Standard Industrial Classification (SIC)
Codes 20 through 39. OSHA revised its Hazardous Communication Regulation, effective
September 23, 1987, to require that MSDSs be prepared by nonmanufacturing facilities. The
inspector should verify that the facility owner/operator has sent
the following to the State emergency response commission, the local emergency planning
committee and the local fire department:
Covered facilities (40 CFR Part 372.22) that manufacture, import, process, or use
certain chemicals must annually report releases to the environment. The inspector should
determine whether the facility owner/ operator is required to submit a report (Form R) by July
1 for the preceding calendar year(s). All the following conditions must apply at the facility
in order to meet the reporting requirements:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
The Superfund law of 1980 (CERCLA) including the SARA amendments of 1986
authorizes EPA to clean up hazardous substances at closed and abandoned waste sites and
to recover the cost of cleanup and associated damagesfrom the responsible parties. EPA can
also take enforcement action against responsible parties to compel them to clean up sites.
Other provisions of CERCLA require releases of hazardous substances over a specified
amount ("reportable quantities") to be reported.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
The investigator should determine, through records review, interviews, etc., whether
all RCRA and CERCLA sites have been reported to the proper authorities. The investigator
should also evaluate assessment and response programs at a facility, if this objective is within
the scope of the audit.
Additionally, the facility should be evaluated concerning State and local requirements
controlling past and current disposal of municipal waste, nonhazardous industrial waste, and
construction debris. The information concerning such past disposal activities may lead ot
unreported RCRA and CERCLA sites.
Once regulated waste is identified, the investigator can track the material from
generation to final on-site disposition (on-site treatment/ disposal) or storage and transport
for off-site disposal and determine compliance with applicable regulations. Throughout the
investigation, the investigator must keep in mind that both past and present activities need to
be evaluated for compliance with applicable regulations.
13
Definitions, identification, and listing of Federally regulated waste are given in 40 CFR 260 and
261 and CERCLA § 101.
14
Nonhazardous solid waste is usually regulated by the State and these regulations must be
obtained to evaluate applicable facility activity.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
the approach to laboratory auditing under the CWA, RCRA waste handling, and RCRA
groundwater regulations.
Performance audits are independent checks made to evaluate the quality of data
produced by the total measurement system. This type of auditassesses the results and usually
does not examine the intermediate steps to achieve these results. One example is the
performance evaluation check sample which is used to validate calibration accuracy but
usually not the overall effectiveness of the methodology. Another exampleis an audit of a
particular measurement device using a reference device with known operational
characteristics.
A detailed list of items should be requested from the company and contract laboratory.
This list should include:
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
carefully examined for problems and if problems are found, a more careful examination of
these areas can be made on-site.
During the on-site visit, every component of sample handling, sample analysis, and
data reduction should be examined. The auditor starts with the laboratory supervisor and QA
officer to verify that the information supplied on personnel training, quality assurance/quality
control, and SOPs is correct. For each parameter determined, the individual or individuals
who actually make that determination are interviewed. The analyst is asked to detail exactly
what happens to each sample and demonstrate the use of equipment including instrument
calibration. Checklists are prepared as anaid to the inspector. Bench data (initially recorded
numbers, strip charts, etc.) is selected. Final results are calculated from the bench data by the
inspector and compared with the results reported to the agency. On-site personnel will be
asked to explain any discrepancies at this time. Other documents necessary to the case or as
potential evidence are copied.
The final assessment and data quality determination is normally performed following
the on-site audit. Critical data are re-examined for trends and anomolies. Where necessary,
data is computerized and analyzed using statistical software packages. Techniques such as
mass balance, solubility product determination, oxidation-reduction state consistency are
used, where applicable, to indicate data problems. A propagation of error treatment may be
used to establish data quality. Performance audit results are evaluated against reference
database statistics. Tasks for common laboratory audits are:
NPDES (Water)
Determine that the exact date, time, and person who takes each sample are
recorded.
Determine that the exact date, time, person, and method used for each type
of determination are recorded.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Ensure that methods used are in conformance with 40 CFR 136 unless
alternate approval has been obtained.
Determine which waste analysis plans (WAPs) were in effect during the time
of records and evaluation.
RCRA Groundwater
Determine that the laboratory follows the methodology specified in the SAP.
Calculate detection limits to ensure that they are adequate for groundwater
protection.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Field Citations
The use of field citations will be predicated on policies established by the individual
program offices. They will be used if appropriate forms exist and the universe of violations
for which they apply are well defined, unless specifically requested not to do so.
A serialized, document control system should be used to ensure that all facility
documents are readily available when preparing the investigation report, and that all will be
accounted for when the project is completed. All facility documents should be numbered,
logged in for accounting purposes, provided to the appropriate investigation personnel, and
ultimately filed or attached to the final investigation report, depending onthe nature of the
document. The team leader should have full responsibility for implementing this system for
his/her particular investigation(s).
Documents received from a facility should be inventoried and a receipt for documents
provided to the facility. EPA laws allow for the copying of documents. In some cases,
facilities may not provide copies of requested documents so the investigators will have ot
provide their own document copying equipment (e.g., a rental portable copying machine).
If the company provides copies, the investigator should offer and be prepared to pay a
reasonable cost for each copy (see FOIA guidance/procedures for guidance on typical costs).
Project Logbook
The team leader should provide a bound logbook to every individual participating in
the investigation. Each investigator should maintain his/her own investigation logbook, and
they will form the basis for preparing the written investigationreport. All logbooks issued
by EPA are the property of EPA and should be turned over to the team leader for filing, after
the final report is completed. In addition to documenting pertinent observations/
findings/comments, logbooks should also include any in situ measurements and descriptive
information relative to all sampling operations. Any change in the logbook should be initialed
and dated. It is important to remember that logbooks can end up in court, and therefore,
must only contain facts, figures, and observations.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Chain-of-Custody
The team leader should be responsible for taking an adequate number of sample tags
and chain-of-custody forms for the on-site investigation. If possible, these should be ni
serialized order. He/she should distribute them to the team members on an as needed basis.
Each investigator that collects samples must prepare and be custodian of all chain-of-custody
records for those samples until they are returned to the laboratory. When chain-of-custody
records are no longer needed by the sampler, the original copies should be given to the team
leader who will then file them for possible future use.
Photographs
All photographs should remain in the possession of the investigator that took them.
That person will also be responsible for properly labeling the photographs so that they can be
attached to the investigation report, and makinga copy of each so they can be included in the
master project file. Each photograph should be given a separate number for identification
purposes, when it is taken. Corresponding entries should also be made in the logbook. For
each numbered photograph, the photographer should include the following information ni
his/her logbook:
Name of photographer
Date
Time
Subject of photograph
Direction of photograph
INVESTIGATION REPORT
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
(client) review. Upon receipt of comments on the external review draft, a final report si
prepared. The final report is the basis for follow-up activities or enforcement actions that
might be initiated.
Many different formats are possible for the multi-media inspection report. Generally,
reports for the Categories C and D inspections are longer and require more effort to produce
a cohesive, readable document. The potential audience for a multi-media inspection report
may be diverse and includes not only technical peers but also managers, lawyers, judges,
reporters, informed citizens, and other non-technical readers; the reports are written for this
diverse audience.
Readability of the longer reports may be enhanced by organizing the report into two
major sections: the Executive Summary and the Technical Report. The Executive Summary
section clearly states inspection objectives, discusses relevant background information,
summarizes inspection methods, and, as appropriate, presents conclusions regarding facility
compliance which are supported by a brief summary of the findings. The Summary should
include enough specifics to accurately determine whether a violation has occurred (e.g.,
"insufficient aisle space" is not all right; "aisle space less than 15 inches" is all right). The
Technical Report section more comprehensively describes the inspection, giving specific
details about the findings, including sample collection and analysis, and other pertinent aspects
of the investigation. Findings in the Executive Summary must correlate to and be supported
by discussion in the Technical Report.
Distribution of final reports is coordinated with the requesting office, program office,
and Regional counsel. Reports containing confidential business information (CBI) may be
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
subject to distribution restrictions. EPA reports containing material asserted to be CBI by the
company may not be shared with non-Federal agencies without obtaining specific
authorization from the company.15
the Occupational Safety and Health Administration (OSHA) and EPA Office of Enforcement.
Although the two agencies have worked cooperatively together inthe past on a number of
issues and investigations, no comprehensive structure existed to focus that cooperative effort
nationally. Having such a comprehensive structure is particularly critical, given the need to
assure the most effective use of limited Federal resources and potential overlapping EPA-
OSHA responsibilities.
The MOU provides for coordinated and joint inspections of facilities believed to be
in violation of Federal workplace or environmental standards, facilitates the exchange of
technical information, computer data bases, and other information to allow for better targeting
of inspections, and provides for cross-training programs.
The MOU requires that a number of specific actions be taken, including the
development of a workplan for 1991 with subsequent annual workplans to be developed by
the beginning of each succeeding fiscal year. Separate agreements and data exchange will
also be developed in the future.
15
Restrictions on distribution of CBI information are presented in 40 CFR Part 2.
87
REFERENCES
2. U.S. Department of Health and Human Services. 1987. NIOSH Respirator Decision
Logic. DHHS Publication No. 87-108.
4. U.S. Environmental Protection Agency. A.D. Schwope, P.P. Costas, J.O. Jackson,
J.O. Stull, D.J. Weitzman. 1987. Guidelines for the Selection of Chemical Protective
Clothing. Prepared for the Office of Administration.
13. U.S. Environmental Protection Agency. Office of Pesticides and Toxic Substances.
1989. Pesticides Inspection Manual.
14. U.S. Environmental Protection Agency. Office of Solid Waste. 1984. Waste
Analysis Plans: A Guidance Manual. EPA/530-sw-84-012.
23. U.S. Environmental Protection Agency. Region X. 1990. KISS Manual. Prepared
for the Basic Inspector Training Course.
24. U.S. Environmental Protection Agency. Solid Waste and Emergency Response.
1989. Land Disposal Restrictions: Inspection Manual. OSWER 9938.1a.
25. U.S. Environmental Protection Agency. Solid Waste and Emergency Response.
1991. Land Disposal Restrictions: Summary of Requirements. OSWER 9934.0-1a.
26. U.S. Environmental Protection Agency. Office of Water Enforcement and Permits.
May 1988. NPDES Compliance Inspection Manual.
APPENDICES
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Appendix A
SUMMARY OF POLLUTION CONTROL LEGISLATION
National standards are established to control the handling, emission, discharge, and
disposal of harmful substances. Waste sources must comply with these national standards
whether the programs are implemented directly by EPA or delegated to the States. In many
cases, the national standards are applied to sources through permit programs which control
the release of pollutants into the environment. EPA establishes the Federal standards and
requirements and approves State programs for permit issuance.
The States can set stricter standards than those required by Federal law. Some of the
larger programs which have been delegated by EPA to qualifying States are the National
Emissions Standards for Hazardous Air Pollutants (NESHAP), and the Prevention of
Significant Deterioration (PSD) permits under the CAA, the Water Quality Standards, and
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the National Pollution Discharge Elimination System (NPDES) programsunder the CWA,
the Hazardous Waste Program under RCRA, and the Drinking Water and Underground
Injection Control (UIC) programs under the SDWA. Conversely, TSCA is administered
entirely by the Federal government; although, States may have their own program regulating
PCBs and asbestos.
Under certain statutes (e.g., SDWA) EPA may take whatever action is
necessary to protect the public health, in emergency situations, without first
obtaining a judicial order.
1
A concise written statement with factual basis for alleging a violation and a specific reference to
each regulation, act, provision, or permit term allegedly violated
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In addition, EPA may suspend and/or debar a company or party that fails to comply
with the environmental statutes by preventing it from entering into Federal contracts, loans,
and grants. In cases where the party has been convicted of certain criminal offenses under the
CAA or CWA, Federal agencies are expressly prohibited from entering into contracts, etc.,
with that entity.
The Clean Air Act (CAA), as amended in 1990, is one of the most comprehensive and
ambitious environmental statutes ever enacted. Through it's various programs, it is intended
to protect human health and the environment by reducing emissions of specified pollutants
at their sources, thus allowing the achievement and maintenance of maximum acceptable
pollution levels in ambient air. The CAA also contains provisions which seek to prevent
presently existing unpolluted areas from becoming significantly polluted in the future.
Regulations implementing the multitudeof amendments enacted in 1990 will be promulgated
pursuant to statutory deadlines for many years to come. Where regulations under the
amendments have not yet been promulgated, requirements which existed prior tothe 1990
amendments will continue to be enforceable until amended or new requirements are
promulgated.
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As in prior versions of the CAA, Section 109 continues to require that EPA establish
NAAQS to protect public health and welfare from air pollutants. These standards will apply
in all areas of the country. "Primary" NAAQS must be designed to protect human health
while building in an adequate margin for safety, whereas "secondary" NAAQS protect public
welfare, including wildlife, vegetation, soils, water, property, and personal comfort. EPA has
promulgated NAAQS for six air pollutants (criteria pollutants): ozone, carbon monoxide
(CO), particulate matter (PM-10), sulfur dioxide (S0),
2 nitrogen dioxide and lead.
The States, through adoption of plans known as SIPs, are required to establish
procedures to achieve and maintain all NAAQS promulgated by EPA. EPA has designated
247 Air Quality Control Regions (AQCRs). Each AQCR has beenevaluated to determine
whether the NAAQS for each of the criteria pollutants has been met. AQCRs which do not
meet the NAAQS for any of the criteria pollutants are designated as "non-attainment" for
those pollutants. Thus, one AQCR may be attainment for some pollutants and non-attainment
for others.
The SIP program dates back to the 1970 Clean Air Act, which required States ot
promulgate SIPs by 1972 to assure attainment of air quality standards by 1977. Having not
met that goal, the 1977 amendments continued the program, requiring additional controls
designed to achieve attainment by 1982, or at the latest 1987. While the goals of the SIP
program were again not reached, the 1990 amendments have further continued the effort,
adding several requirements which may increase the effectiveness of the program, including
the use of modeling and other specified analytical techniques to demonstrate the ability ot
achieve attainment and a wide range of specified control requirements. An additional
advantage of the new SIP program is that under the 1990 amendments it is no longer the
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A SIP must contain strategies designed to meet targets for attainment of any NAAQS
for which an area is non-attainment by prescribed dates. SIPs must meet Federal
requirements, but each State may choose its own mix of emissions for stationary and mobile
sources to meet the NAAQS. The deadline for attainment of primary NAAQS is no more
than five (5) years after the area was designated non-attainment, although EPA has the
authority to extend the deadline for up to five (5) additional years. Attainment for secondary
NAAQS must be achieved "as expeditiously as practicable."
Each State must submit a proposed SIP to EPA for approval within three (3) years
of designation as non-attainment. Failure to submit a SIP, failure to submit an adequate SIP
or failure to implement a SIP may subject a State to the imposition of sanctions such as
increased offset ratios for stationary sources, prohibition of Federal highway grants or a ban
on air quality grants. For ozone non-attainment areas, failure to attain the NAAQS will result
in reclassification of the area, thus imposing more stringent control requirements and
imposition of financial penalties on stationary sources in severe or extreme non-attainment
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areas. Where an acceptable SIP is not submitted by a State, EPA will be required to propose
and enforce a Federal Implementation Plan for that State. EPA and the States have
concurrent enforcement authority for SIPs.
The purpose of PSD, which remains largely unchanged by the 1990 amendments, is
to avoid significant future degradation of the nation's clean air areas. A clean air area is one
where the air quality is better than the ambient primary or secondary standard. Designation
is pollutant specific so that an area can be non-attainment for one pollutant but clean for
another. PSD applies only to new and modified sources in attainment areas. Clean air areas
are divided into three categories: Class I includes wilderness areas and other pristine areas,
where only minor air quality degradation is allowed; Class II includes all other attainment and
non-classified areas where moderate degradation is permitted; and Class III includes selected
areas that States designate for development where substantial degradation is permitted. In
no case would PSD allow air quality to deteriorate below secondary NAAQS.
"Baseline" is the existing air quality for the area at the time the first PSD permit si
applied for. "Increments" are the maximum amount of deterioration that can occur in a clean
air area over baseline. Increments in Class I areas are smaller thanthose for Class II areas and
Class II increments are smaller than those for Class III areas. For purposes of PSD, a major
emitting source is one which falls within 28 designated categories and emits or has the
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potential to emit more than 100 tons per year of the designated air pollutant. A source that
is not within the 28 designated categories is a major source if it emits more than 250 tons per
year. Modifications to major sources that will result in a "significant net emissions increase"
of any regulated pollutant are also subject to PSD. The amount of emissions which qualifies
as significant varies for the regulated pollutants.
Under this program, new "major stationary sources" and "major modifications" ot
such sources located in attainment areas must obtain a permit before beginning construction.
Permit requirements include installation of Best Available Control Technology (BACT) for
each regulated pollutant emitted in significantamounts, assurance that the new emissions will
not exceed NAAQS or any maximum allowable "increment" for the area, and assurance that
the new emissions will not adversely impact any other air quality related values, such as
visibility, vegetation or soils.
Prior to the enactment of the 1990 amendments, Section112 of the CAA required the
establishment of National Emission Standards for Hazardous Air Pollutants (NESHAPs) to
regulate exposure to dangerous air pollutants that are so localized that the establishment of
NAAQS is not justified. NESHAP standards were to be based on health effects, with strong
reliance on technological capabilities. They applied to both existing and new stationary
sources. During the 20 years in which this program existed, effective regulations for only
seven (7) substances were enacted: benzene, beryllium, asbestos, mercury, vinyl chloride,
arsenic, and radionuclide emissions.
As rewritten in 1990, the goal of Section 112 remains the same - to protect public
health and the environment from toxic air pollutants for which NAAQS will not be
established. While the new program requires standards to be set for categories and
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subcategories of sources that emit hazardous air pollutants, rather than for the air pollutants
themselves as under the NESHAP program, the seven (7) NESHAPs promulgated prior to
the amendments will generally remain applicable until they are revised pursuant to the
timetables established in the new Section 112.
Under the 1990 amendments, two types of sources have been identified for purposes
of establishing emission standards - "major sources", which include stationarysources or a
group of stationary sources within a contiguous area and under common control that emit or
have the potential to emit 10 tons per year of a single listed hazardous air pollutant or 25 tons
per year of any combination of listed hazardous air pollutants; and "area sources", which
include numerous small sources that may cumulatively produce significant quantities ofa
pollutant resulting in a threat of adverse effects on human health or the environment. An
initial list of 189 air pollutants requiring regulation was established by Congress and EPA has
been tasked with the responsibility for establishing lists of categories and subcategories of
major sources and area sources subject to emission standards.
Major Sources
EPA is required to set technology-based standards for sources of the listed pollutants
which are designed to achieve "the maximum degree of reduction in emissions" (Maximum
Achievable Control Technology - MACT) while taking into account costs and other health
and environmental impacts. The standards for new sources "shall not be less stringent than
the most stringent emissions level that is achieved in practice by thebest controlled similar
source" in the same category or subcategory. For existing sources, the standards may be less
stringent than those for new sources, but in most circumstances must be no less stringent than
the emissions control achieved by the best performing 12% of sources in the category or
subcategory [or five (5) sources in a category with less than 30 sources]. Existing sources
are given three (3) years following the promulgation ofstandards to achieve compliance, with
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the possibility of a one- (1)-year extension. Sources that voluntarily reduce emissions by 90%
before an applicable MACT is proposed (95% for hazardous particulates) may be granted one
(1) six- (6)-year extension from the MACT. Solid waste incinerators will be required ot
comply with both these hazardous air pollutant standards and thenew source performance
standards to be promulgated pursuant to Section 111 of the CAA.
The second provision of Section 112 relating to major sources sets health-based
standards to address situations in which a significant residual risk of adverse health effects or
a threat of adverse environmental effects remains after installation of MACT. Within six (6)
years of enactment of the CAA, and after consultation with the Surgeon General and
opportunity for public comment, EPA must report to Congress regardingthe public health
significance of the residual risks, technologically and commercially available methods and
costs of reducing such risks and legislative recommendations to address such residual risks.
If Congress does not act on the recommendations submitted by EPA, the EPA must issue
residual risk standards for listed categories and subcategories of sources as necessary ot
protect public health with an ample margin of safety or to prevent adverse environmental
effects.
Area Sources
The goal of the area source program is to reduce the incidence of cancer attributable
to stationary area sources by at least 75% through a comprehensive national strategy for
emissions control in urban areas. By November 15, 1995, EPA is required to identify the 30
hazardous air pollutants emitted from area sources that pose the most significant risks ot
public health in the largest number of urban areas and the source categories and subcategories
of those pollutants. Area sources representing at least 90% of the emissions of the 30
identified pollutants will be subject to regulations to be promulgated by EPA by November
15, 2000.
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As added by the 1990 amendments, Section 112 of the CAA imposes a general duty
on owners and operators of stationary sources which handlehazardous substances to: identify
hazards which may result from releases, design and maintain safe facilities, take action ot
prevent releases, and minimize the consequences of accidental releases that do occur. It also
requires EPA to promulgate a list of substances which, in the event of an accidental release,
may reasonably be anticipated to cause death, injury, or serious adverse health and
environmental effects, as well as threshold quantities for each of those regulated substances.
Requirements for release prevention, detection and correction of regulated substances must
be promulgated by EPA. Among the requirements will be preparation and implementation
of risk management plans by owners and operators of facilities with regulated amounts greater
than the threshold quantity.
Emergency policies and the opportunity to secure relief in the district courts si
provided to EPA to protect against an imminent and substantial endangerment to health or
the environment as a result of an actual or threatened release of a regulated substance. An
independent, five-member Chemical Safety and Hazard Investigation Board to be appointed
by the President will investigate any accidental release that results in a fatality, serious injury
or substantial property damage, and will issue a report to EPA and OSHA recommending
regulations for preparing risk management plans and general requirements for preventing and
mitigating the potential adverse effects of accidental releases.
With the exception of the extension and establishment of deadlines for EPA's proposal
of various regulations, the NSPS program remains largely unchanged by the 1990
amendments. NSPS establishes nationally uniform, technology-based standards for categories
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of new industrial facilities by providing maximum emission levels for new or extensively
modified major stationary sources. The emission levels are determined by the best
"adequately demonstrated" continuous control technology available, taking costs into
account. Regulations for source categories listed prior to November 15, 1990, must be
proposed in phases, beginning on November 15, 1992. Standards for new categories listed
after November 15, 1990, must be proposed within one (1) year of listing and must be
finalized within one (1) year after proposal.
Section 202 of the CAA directs EPA to regulate air pollutants emitted by motor
vehicles which "cause, or contribute to air pollution which may reasonably be anticipated to
endanger public health or welfare." In response, the Agency has set standards governing
motor vehicle emissions of carbon monoxide, hydrocarbons, oxides of nitrogen and
particulates. These standards have given rise to the emission control systems that first
appeared in automobiles in the early 1970s. The CAA generally prohibits the removal (or
rendering inoperative) of any emission control device that was installed by the vehicle
manufacturer in order to meet the applicable emission standards. Most States have enacted
similar laws enforcing this prohibition and/or have incorporated such prohibitions as part of
their SIP.
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The CAA provides EPA with the authority to control or prohibit the use of fuels
which pose a public health risk or which "impair to a significant degree the performance of
any emission control device or system." The Agency's regulations are based upon both of
these rationales. (The best example of this is the regulations governing the lead content of
gasoline.) Enforcement of the fuel standards is achieved through a combination of Federal
and State efforts, and is based, in part, upon SIP provisions and/or State laws.
The 1990 amendments tightened emission standards for both heavy duty and light duty
vehicles. These standards take effect at different times for different types of vehicles,
beginning in 1994.
Two "alternative fuel" programs are expected to reduce emissions in the most
seriously polluted areas. California will develop a program requiring introduction of low
emission vehicles and ultra low emission vehicles beginning in 1996. Additionally, in more
than 20 metropolitan areas, fleets of 10 or more vehicles are required to phase in usage of
"clean fuel vehicles" beginning in 1998.
The acid rain program, added to the CAA by the 1990 amendments, primarily impacts
emissions of sulfur dioxide (SO2) and nitrogen oxides (NOx) from powerplants. It requires
establishment of specific NOx emission rate limitations and implementation of a two-phase
reduction of SO2 emissions by the year 2000.
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Facilities are not allowed to emit more SO2 than the amount for which they hold allowances.
Penalties will be imposed at the rate of $2,000 per excess ton of SO2 on any facility
which does not have sufficient allowances to cover its SO2 emissions. Additionally, any
offending facility will be required to reduce its SO2 emissions by one ton the following year
for each ton of excess SO2 emitted.
Another program added by the 1990 amendments is designed to protect the earth's
stratospheric ozone layer by phasing out production and use of ozone-depleting substances,
providing limited exemptions for uses such as medical, aviation, and fire-suppression.
Production of Class I substances, those with the greatest depleting potential, will generally
be prohibited after January 1, 2000. Production of Class II substances, those with less
depleting potential, will be prohibited after January 1, 2030. EPA is required to promulgate
rules governing issuance of production allowances for Class I and II substances and banning
the production, after November 15, 1992, of non-essential products that release Class I
substances.
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Permitting
Under the Clean Air Act as it existed prior to the 1990 amendments, permits were
required for only a limited number of facilities. While these requirements will continue ot
apply until new regulations are promulgated, the 1990 amendments have expanded the permit
program to require most regulated stationary sources to have permits.
The new permitting program, patterned after the NPDES program, is designed ot
consolidate all operation and control requirements in one permit. However, unlike the
NPDES program which focuses on individual sources within a facility, air permits are
expected to be issued to a facility as a whole. As a result of this comprehensive program,
greater consistency is expected and facilities will notbe subjected to conflicting requirements.
Permits are required for any facility that qualifiesas a "major source", which generally
includes any source emitting more than 100 tons of pollutants per year, but extends to smaller
sources in the more seriously polluted non-attainment areas. Permits are also required for
major sources and area sources subject to regulation for emissions of hazardous air pollutants
under Section 112 and all sources subject to NSPS.
Regulations establishing the numerous requirements for state permit programs must
be promulgated by EPA by November 15, 1991. States must then develop and submit ot
EPA an operating permit program for approval by November 15, 1993. If all or any part of
the program is disapproved by EPA, the States mustcorrect the deficiencies and resubmit the
program. A failure to timely submit a program orcorrect deficiencies will result in sanctions.
If a program is not completely approved within 2 yearsafter initial submission of the program
to EPA or by November 15, 1995, whichever is earlier,EPA must promulgate and administer
a permit program for the State.
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Permit applications must be filed within 12 months after the permit program takes
effect and must include a compliance plan for the facility. The permits, as issued, will contain
enforceable emission limitations and standards, a schedule of compliance, and compliance
certification, inspection, entry, monitoring and reporting requirements. Compliance with a
permit will, to some extent, shield a source from enforcement actions. The extent of the
protection provided by compliance will be governed by EPA's permitting regulations to be
promulgated by November 15, 1991.
Enforcement
The 1990 Amendments greatly expanded enforcement options available under the
CAA and impose heavy penalties, both civil and criminal, for violations of the Act.
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day per violation. Penalties may be doubled for second convictions. The negligent release
of a hazardous air pollutant or extremely hazardous substance under SARA that puts another
person in imminent danger of death or serious bodily injury is punishable by fines and
imprisonment for up to 1 year, while knowingly releasing such substances is punishable by up
to $250,000 per day and 15 years imprisonment for individuals and up to $1 million per day
for businesses.
Through the 1950s and 1960s, emphasis was on the States setting ambient water
quality standards and developing plans to achieve these standards. In1972, the Federal Water
Pollution Control Act was significantly amended. These changes emphasized a new
approach, combining water quality standards and effluent limitations (i.e., technology-based
standards). The amendments called for compliance by all point-source discharges with the
technology-based standards. A strong Federal enforcement program was created and
substantial monies were made available for construction of sewage treatment plants. The
Federal Water Pollution Control Act was amended in 1977 to address toxic water pollutants
and in 1987 to refine and strengthen priorities under the Act as well as enhance EPA's
enforcement authority. Since the 1977 amendments, the Federal Water Pollution Control Act
has been commonly referred to as the Clean Water Act (CWA).
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Section 303 of the CWA authorizes the States to establish ambient water quality
standards and water quality management plans. If national technology standards are not
sufficient to attain desired stream water quality, the State shall set maximum daily allowable
pollutant loads (including toxic pollutants) for these waters and, accordingly, determine
effluent limits and compliance schedules for point sources to meet the maximum daily
allowable loads.
This program was established by Section 402 of the CWA and, under it, EPA and
approved States have issued more than 50,000 NPDES permits. Permits are required for all
point sources from which pollutants are discharged to navigable waters. An NPDES permit
is required for any direct discharge from new or existing sources. Indirect discharges through
POTWs are regulated under a separate program (see discussion of pretreatment standards
below). In 1979 and 1980, the permit program was revised and one of the new features was
the use of Best Management Practices (BMPs) on a case-by-case basis to minimize the
introduction of toxic and hazardous substances into surface waters. BMPs are industry
practices used to reduce secondary pollution (e.g., raw material storage piles shall be covered
and protected
against rain and runoff). BMPs do not have numerical limits and, therefore, are different from
effluent limits.
Section 304 of the CWA sets restrictions on the amount of pollutants discharged at
industrial plant outfalls. Amounts are usually expressed as weight per unit of product (i.e.,
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0.5 lb/1,000 lb product manufactured). The standards are different for each industry.
Effluent guidelines are applied to individual plants through the NPDES permit program.
There are three levels of technology for existing industrial sources: Best Practicable
Control Technology (BPT), Best Conventional Technology (BCT), and Best Available
Technology Economically Achievable (BAT). Under the 1972 Act, BPT was intended to be
put in place by industry in 1977 and BAT in 1983. These timetables have been modified by
subsequent amendments.
The 1987 CWA Amendments modified the compliance deadlines for the following:
For each technology the new deadline requires compliance "as expeditiously as practicable,
but in no case later than 3 years after the date such limitations are promulgated. . .and in no
case later than March 31, 1989."
New Source Performance Standards (NSPS) are closely related to BAT for existing
sources but are not quite the same. NSPS are different for each industrial category. These
standards must be achieved when the new industrial source begins to discharge. NSPS
permits will be effective for a period of 10 years vs. 5 years or less for the BPT and BAT-type
permits. This 10-year protection insulates against change in BCT or BAT requirements but
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does not hold against Section 307(a) toxic pollutant standards or against "surrogate"
pollutants that are used to control hazardous or toxic pollutants.
Applicants must conduct analytical testing for pollutants for BOD, COD, TOC, TSS,
ammonia, temperature, and pH. The applicant, if included within any of the 34 "primary
industry" categories, must sample for all toxic metals, cyanide, and phenols given in EPA
Application Form 2C and for specified organic toxic pollutant fractions.
The applicant must list hazardous substances believed to be present at the industrial
plant. Testing is not required but analytical results must be provided, if available.
NPDES Permit
The NPDES permit, issued by EPA or the State, enforces Federal effluent limitations
promulgated for individual industrial categories; NSPS; toxic effluent standards; State water
quality standards under Section 303 of the CWA, if any are applicable; and hazardous
substances otherwise regulated under Section 311 of the CWA that may be incorporated
under the NPDES permit instead. Permit elements include the amount of pollutants to be
discharged expressed in terms of average monthly and maximum daily loads; compliance
schedules, if applicable standards cannot be met now; and monitoring, testing, and reporting
requirements.
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The Discharge Monitoring Report (DMR) gives a summary of the discharger's records
on a monthly or quarterly basis for flow measurement, sample collection, and laboratory
analyses. Noncompliance reports must be submitted quarterly on the cause of noncomplying
discharges, period of noncompliance, expected return to compliance and plans to minimize
or eliminate recurrence of incident.
Emergency Reporting
The 1987 CWA Amendments establish a schedule for the regulation of municipal and
industrial stormwater discharges under NPDES permits. Initially, (before October 1, 1992),
only major dischargers and those who are significant contributors of pollutants will be
required to obtain permits.
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Coverage
New and existing industrial users who discharge to POTWs are subject to general and
categorical pretreatment standards. The categorical standards are primarily directed ot
control of toxic pollutants in specific industries. Note that localities with approved
pretreatment programs may have imposed local limits, which are enforceable by EPA.
Requirements
Categorical Standards
Reports
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Users shall submit sampling data for each regulated pollutant in discharge.
Progress Reports
Section 208 of the CWA provides for control of nonpoint source pollution and directs
States to establish planning bodies to formulate area-wide pollution control plans. NPDES
permits cannot be issued where the permit may conflict with an approved Section 208 plan.
The 1987 CWA Amendments require States or EPA to develop nonpoint source
management programs under Section 319.
For some time there has been considerable debate over whether permits should be
required for stormwater discharges from point sources, particularly those municipal or
industrial discharges which may well contain toxic and other pollutants. The 1987
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Amendments provide that five (5) types of stormwater discharges will be regulated under
NPDES:
Section 404 of the CWA regulates the discharge of dredged or fill material into waters
of the United States. Dredged material is excavated or dredged from a water body. Fill
material is that material used to replace water with dry land. The Section 404 permit program
is administered by the U.S. Army Corps of Engineers. EPA provides guidelines for the
issuance of permits by the Corps of Engineers. States may assume responsibility for portions
of the program.
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Over 300 substances have been defined as hazardous under Section 311 and each of
these substances has a "reportable quantity" (40 CFR, Parts 116 and 117, 1980).
Certain discharges of oil and hazardous material that flow from a point source may
be excluded from Section 311 liability if, during preparation of the NPDES permit covering
that facility, conditions are added to the permit to avoid the occurrence of a spill.
Enforcement
Section 309 of the CWA provides several enforcement options which can result ni
large penalties to violators.
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Administrative penalties may also be imposed against violators through the initiation
of an administrative penalty proceeding. Section 309(g) provide for two classes of penalties,
Class I and Class II, which differ with respect to the limits on the penalties which can be
imposed and the procedures which must be followed in order to impose those penalties.
*
43 U.S.C. §§6901 et seq. and Solid Waste Disposal Act amendments of
1980, P.L. 96-482, 94 Stat. 2334.
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actions. Although RCRA has been amended several times, the most significant amendments
are the Hazardous and Solid Waste Amendments (HSWA) of 1984. HSWA requires, among
other things, that regulations be promulgated to address underground storage tanks, ot
establish a schedule for restricting/prohibiting the land disposal of hazardous wastes, and to
revamp the toxicity characteristic as a means for determining whether a waste is hazardous.
(The process of promulgating implementing regulations in these areas is ongoing but almost
is complete.)
Solid wastes, if land disposed, are regulated through State programs under Subtitle
D of RCRA. Hazardous solid wastes are subject to regulation in their generation, transport,
treatment, storage, and disposal under Subtitle C of RCRA. Subtitle C of the statute
authorizes a comprehensive Federal program to regulate hazardous wastes from generation
to ultimate disposal. A waste is hazardous under Subtitle C if it is listed by EPA as
hazardous, or it exhibits a hazardous characteristic (corrosivity, reactivity, ignitability, and
toxicity) and is not delisted or excluded from regulation. There are special management
provisions for hazardous wastes created by small quantity generators and hazardous wastes
that are intended to be reused or recycled.
Solid waste includes garbage, refuse and sludge, other solid, liquid, semi-solid, or
contained gaseous material which is discarded, has served its intended purpose, or is a mining
or manufacturing byproduct. Most industrial and commercial byproducts can qualify asa
solid waste. Exclusions from solid waste include domestic sewage, irrigation return flows,
materials defined by the Atomic Energy Act, in situ mining waste and NPDES point sources.
Solid wastes excluded from regulation ashazardous solid wastes are household waste;
crop or animal waste; mining overburden and wastes from processing and benefication of ores
and minerals; flyash, bottom ash waste, slag waste and flue gas emission control waste and
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drilling fluids from energy development. A waste can be "delisted" from the hazardous waste
listing or excluded for other reasons. Some materials intended to be reused or recycled
re not fully regulated as solid/hazardous wastes, while others, depending upon the type of
waste generated and the recycling process used, are fully regulated.
Hazardous waste streams from specific major industry groups and some generic
sources (40 CFR, Part 261, Subpart D, §261.31 and 261.32) and well over 200 toxic
commercial chemical wastes (i.e., discarded commercial chemical products and chemical
intermediates) are included on the list of hazardous waste (40 CFR§261.33). If a commercial
chemical substance is on the list, its off-spec species is also considered hazardous when
discarded, as are spill residues. Some of the listed wastes are acutely toxic and are more
closely regulated than other hazardous wastes [see 40 CFR §§261.33(e), 261.5(e), and
261.7(b)(3)].
Small quantity generators are those that generate less than 1,000 kg per
month of hazardous waste. There are two classes of small quantity
generators:
1. Generators of between 100 and 1,000 kg per month that are subject
to most of the requirements of 40 CFR Part 262 which apply to fully
regulated generators, except that they are allowed to accumulate up
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2. Generators of less than 100 kg per month that are exempt from
regulation under 40 CFR Part 262 so long as they do not accumulate
greater than 1,000 kg of hazardous waste, properly identify their
wastes, and comply with the less stringent waste treatment, storage
and/or disposal requirements of 40 CFR §261.5.
Note that the classification of the generator is a function of the total wastes
generated in a calendar month, not each waste stream. In addition, for acutely toxic
wastes, if more than 1 kg per month of waste
or 100 kg per month of spill residues are generated, all quantities of that waste are
fully regulated.
Recycling or Reuse
The type of waste generated and/or the recycling process employed will
determine whether recycled/reused materials are a solid/ hazardous waste.
Some of these materials are not considered solid wastes, some are solid
wastes but not hazardous wastes, while others are hazardous but are not
subject to full regulation, and still other of these materials are both solid and
hazardous wastes that are fully regulated. The circumstances surrounding the
apparent recycling/ reuse of waste materials should be thoroughly documented
during inspection.
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A major feature of HSWA is the schedule for prohibiting the land disposal of
untreated hazardous wastes. The key dates and statutory/regulatory
requirements are as follows:
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Manifest System - Implement the manifest system and follow procedures for
tracking and reporting shipments. Beginning September 1, 1985, a waste
minimization statement is to be signed by the generator [see RCRA Section
3002(b)].
Exception Reports - When generator does not receive signed copy of manifest
from designated TSDF within 45 days, the generator sends Exception Report
to EPA including copy of manifest and letter describing efforts made to locate
waste and findings.
*
40 CFR Part 262
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Permit for Storage More Than 90 Days - If hazardous wastes are retained on-
site more than 90 days, generator is subject to all requirements applicable to
TSDFs and must obtain a RCRA permit.
Manifest System - The transporter must fully implement the manifest system.
The transporter signs and dates manifest, returns one copy to generator,
assures that manifest accompanies
waste, obtains date and signature of TSDF or next receiver and retains one
copy of the manifest for himself.
*
40 CFR Part 263
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*
40 CFR Parts 264 and 265
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- New facilities and facilities which do not qualify for interim status are
to receive a RCRA permit before construction can begin or a
hazardous waste can be handled.
Under RCRA, states can obtain approval from EPA to implement programs governing
hazardous wastes "in lieu of" the federal program administeredby EPA. State programs must
be "equivalent" to the federal program to obtain approval, and include the ability to enforce
program requirements. Once approved the state standards govern all regulated entities and
any assessment of a facility's compliance must be based upon those state regulations.
Thereafter, when federal standards change, each authorized state must submit a revised
program for EPA approval. Until such approval is received, those new standards generally
do not have any effect in those states. The major exception to this regulatory scheme is rule-
making based upon the HSWA of 1984. HSWAprovides that imple-menting regulations are
to take effect at the same time in all states. Authorized statesmust still modify their programs
to include HSWA requirements, but there is no gap in regulation between the time that the
Agency promulgates a final HSWA-based rule and the time that the state receives final
approval of the program revision which is equivalent to the federal HSWA rule. As a result,
until a revised state program addressing all HSWA requirements is approved for an
authorized state, the administration and enforcement of the overall hazardous waste program
will involve both EPA and the authorized state.
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Enforcement
EPA and authorized States may pursue enforcement actions based on administrative
orders, as well as judicial actions seeking civil and criminal penalties for RCRA violations.
The Superfund Act was enacted December 11, 1980. The Federal government si
authorized to clean up toxic or hazardous contaminants at closed and abandoned hazardous
waste dumps and the government is permitted torecover costs of this cleanup and associated
damages by suing the responsible parties involved. Cleanup monies come out of a
"superfund" created by taxes on chemicals and hazardous wastes.
The act provides that, when there is a release of hazardous substance, either real or
threatened, the parties who operated the vessel or facility which created the release are liable
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for the containment, removal, remedial action, response, and injury damages to natural
resources under Section 107(a). The act also establishes limitations on liability.
If claims are presented to the liable parties but are not satisfied, theact then allows
claims to be reimbursed from the Superfund.
Regulatory provisions under Sections 102 and 103 of the act require that release of
hazardous substances into the environment be reported unless the release is in accordance
with an established permit. Spills of any "reportable quantity," established pursuant ot
regulations promulgated under the Act, must be reported.
All owners or operators of any facility handling and disposing of hazardous substances
or that has handled hazardous substances in the past (including previous owners and
operators) were required to inform the EPA Administrator by June 1981 of their facility
activities unless they have a RCRA permit or have been accorded "interim status." Failure
of notification is a crime and, if the party knowingly fails to provide these data, they are not
entitled to the prescribed limits and defenses of liability.
On October 17, 1986, the Superfund Act was amended under the Superfund
Amendments and Reauthorization Act (SARA). Those amendments provide mandatory
schedules for the completion of various phases of remedial response activities, establish
detailed cleanup standards, and generally strengthen existing authority to effect the cleanup
of superfund sites.
Enforcement
Civil and criminal penalties and awards are available underCERCLA. Section 106
provides that failure or refusal to comply with an order directing immediate abatement of a
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Under Section 109(d), a "bounty" in the amount of up to $10,000 may be paid to any
individual who provides information leading to the arrest and conviction of any person for a
CERCLA violation.
Criminal penalties of up to $10,000 and imprisonment for 3 years are available under
Section 103 for various violations, including failure to notify of a release and falsification of
records. Second and subsequent violations may result in imprisonment of up to 5 years.
TSCA regulates existing and new chemical substances. TSCA applies primarily ot
manufacturers, distributors, processors, and importers of chemicals. TSCA can be divided
into five parts as follows:
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Conversely, EPA, in response, may reject PMN for insufficient data; negotiate for suitable
data, prohibit manufacture or distribution until risk data are available; or, pending
development of a Section 6 rule, completely ban the product from the market or review the
product data for an additional 90 days.
Testing
Under TSCA, Section 4, EPA can require product testing of any substance which
"may present an unreasonable risk of injury to health or to the environment." Some testing
standards are proposed, but no test requirements for specific chemicals are yet in effect.
TSCA, Section 8(a) deals with general reporting. The "first tier" rule (PAIR) now in
effect is a short form seeking production and exposure data on over 2,300 existing chemicals.
A "second tier" rule is expected to obtain more detailed data on a relatively small group of
chemicals that may become priority candidates for regulation.
Section 8(c) calls for records of significant adverse effects of toxic substances on
human health and the environment. It requires that records of alleged adverse reaction be
kept for a minimum of 5 years.
Section 8(d) allows EPA to require that manufacturers, processors, and distributors
of certain listed chemicals (designated under 40 CFR 716.13) submit to EPA lists of health
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and safety studies conducted by, known to, or ascertainable by them. Studies include
individual files, medical records, daily monitoring reports, etc.
Section 8(e) requires action upon discovery of certain data. Any person who
manufactures, processes, or distributes a chemical substance or mixture, or who obtains data
which reasonably supports the conclusion that their chemical presents asubstantial risk of
injury to health or to the environment, is required to notify EPA immediately. Personal
liability can only be limited if the company has a response plan in effect.
EPA can impose a Section 6 rule if there is reason to believe that the manufacture,
processing, distribution or use, or disposal of a chemical substance or mixture causes, or may
cause, an unreasonable risk of injury to health or to the environment. Regulatory action can
range from labeling requirements to complete prohibition of the product. Section 6 rules are
currently in effect for several chemicals including PCBs. A Section 6 rule requires informal
rulemaking, a hearing, and a cost-benefit analysis.
Imminent Hazard
Enforcement
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Criminal penalties for knowing and willful violations of TSCA may be imposed ni
amounts of not more than $25,000 per day of violation and/or imprisonment for up to 1 year.
Pesticides are registered for 5 years and classified for either general or restricted
usage. Restricted use means that they are to be applied either by or under the direct
supervision of a certified applicator. Pesticides must be labeled and specify ingredients, uses,
warnings, registration number, and any special use restrictions. Regulations also specify
tolerance levels for certain pesticide chemicals in or on agricultural commodities. These limits
apply to 310 different compounds and residue tolerances range from 0 to 100 ppm. A few
pesticides are also regulated as toxic pollutants under Section 307(a) of the CWA and by
Primary Drinking Water Standards under the SDWA.
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Enforcement
FIFRA provides for relatively low penalties when compared with many of the other
environmental statutes. Civil penalties range from as little as $500 for private applicators on
a first offense, to not more than $5,000 per violation for registrants, commercial applicators,
wholesalers, dealers, retailers, and distributors. Criminal penalties against private applicators
are misdemeanors punishable by fines of not more than $1,000 and/or imprisonment for up
to 30 days. Commercial applicators who knowingly violate FIFRA may be fined up ot
$25,000 and/or imprisoned for up to 1 year. Registrants, applicants for a registration and
producers who knowingly violate
this statute are subject to fines of up to $50,000 and/or imprisonment for up to 1 year.
Any person who, with intent to defraud, uses or reveals information relating o
t
product formulas acquired pursuant to FIFRA's registration provisions may be fined up ot
$10,000 and/or imprisoned for up to 3 years.
The SDWA of 1974 was established to provide safe drinking water to the public.
Both primary and secondary drinking water standards have been set by EPA regulations
which apply to water after treatment by public drinking water systems. National Interim
Primary Drinking Water Regulations were adopted in 1975 to protect public health (40 CFR,
Part 141). Regulations covering radionuclides were added in 1976. Regulations for
trihalomethanes were promulgated in 1979. Secondary regulations were established in 1979
as guidelines to States to protect the nonhealth-related qualities of drinking water. The 1986
amendments to the SDWA: (1) establish a mandatory schedule, requiring the promulgation
of primary drinking water regulations for 83 contaminants, (2) prohibit the use of lead ni
public water systems, (3) provide civil and criminal penalties for persons who tamper with
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public water systems, and (4) require closer scrutiny of State programs, including the direct
enforcement of drinking water standards, if necessary.
The SDWA also provides for protection of underground sources of drinking water.
Final regulations have been issued whereby States are to establish Underground Injection
Control (UIC) waste disposal programs to ensure that contaminants in water supplies do not
exceed National Drinking Water Standards and toprevent endangerment of any underground
source of drinking water. Injection wells are divided into five classes for regulatory handling.
Construction and disposal standards are established for the permitting of Class I to III wells.
Class I and IV wells are subject to RCRA requirements. Class IV wells are those used by
generators of hazardous or radioactive wastes to dispose of hazardous wastes into formations
within one-quarter mile of an underground source of drinking water. New Class IV wells are
prohibited and existing Class IV wells must be phased out within 6 months after approval or
promulgation of a UIC program in the State. There are numerous State regulatory
requirements affecting groundwater which should be consulted by multi-media compliance
inspectors. In addition, the 1986 amendments to SDWA strengthen EPA's enforcement
authority for UIC programs.
Enforcement
Civil penalties of not more than $25,000 per day of violation may be assessed for
failure to comply with national primary drinking water regulations [Section 300g - 3(b)],
failure of an owner or operator of a public water system to give notice to persons served by
it of failure or inability to meet maximum containment level requirements [Section 300(g) -
3(c)], failure to comply with an administrative order requiring compliance [Section 300g-
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Any person who fails or refuses to comply with an administrative order issued where
a contaminant is contaminating or is likelyto contaminate an underground source of drinking
water and may present an imminent and substantial endangerment to human health, is subject
to civil penalties of up to $5,000 per day of violation (Section 300i). Administrative orders
relating to violations of underground injection regulations may impose penalties of up ot
$5,000 per day of violation up to a maximum administrative penalty of $125,000.
Tampering with a public water system may result in a criminal fine and/or
imprisonment for up to 5 years. Threats to tamper carry fines and/or imprisonment of up to
3 years. Civil penalties may also be imposedagainst persons who tamper, attempt to tamper,
or make threats to tamper with a public water system. The maximum fine is $50,000 for
tampering and $20,000 for an attempt or threat to tamper.
EPCRA was enacted as a part of the Superfund Amendments and Reauthorization Act
of 1986, as a freestanding provision to address the handling of "extremely hazardous
substances" and to establish an extensive information collection system to assist in responding
to releases of those substances. EPCRA is comprised of three subtitles: (1) Subtitle A, which
establishes the framework for emergency response planning and release notification; (2)
Subtitle B, which contains reporting requirements; and (3) Subtitle C, which contains general
provisions, including enforcement, penalties, and trade secrets.
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A-44
The goal of Subtitle A is to provide States and local communities with the information
necessary to adequately respond to unplanned releases of certain hazardous materials.
Through the establishment of State Emergency Response Commissions(SERC) and Local
Emergency Planning Committees (LEPC), Subtitle A mandated the development and
implementation of emergency response plans. Subtitle A also requires facilities at which
certain "extremely hazardous substances" are present in excess of established threshold
planning quantities to notify the State Commission of the presence of the substances and to
report releases of those substances in excess of specified reportable quantities.
Sections 311 - 313 of EPCRA (Subtitle B) contain reporting requirements for facilities
at which "hazardous chemicals" are present in excess of specified thresholds or which
experience environmental releases of "toxic chemicals" in excess of the established threshold
quantities.
Section 311 requires facilities at which "hazardous chemicals" are present in amounts
exceeding threshold levels, to submit material safety data sheets (MSDSs) or lists of
substances for which they maintain MSDSs to the SERC, LEPC, and local fire departments
in order to give notice to those authorities of the types of potential hazards present at each
facility.
Section 312 requires submission of annual and daily inventory information on the
quantities and locations of the hazardous chemicals. "Tier I" reports provide the required
general information. "Tier II" reports providing chemical-specific information must be
submitted in place of Tier I reports upon request of the SERC, LEPC, or local fire
department.
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A-45
Section 313 requires annual reporting to EPA and the State of any environmental
releases of listed "toxic chemicals" in excess of specified threshold quantities. A facility si
required to submit a "Form R" Toxic Chemical Release Inventory Report in the event ofa
release if it has 10 or more full-time employees; is grouped in SIC codes 20 through 39; and
manufactures, processes, or otherwise uses a toxic chemical in excess of the established
reporting thresholds.
Enforcement
Section 325 of EPCRA sets forth the civil, criminal, and administrative penalties which
may be assessed for violations of that Act. Violation of an administrative order may result
in civil penalties of up to $25,000 per day. Penalties for violations of the emergency
notification provisions of Section 304 may be assessed through administrative or judicial
proceedings, with potential penalties ranging from $25,000 per violation to $25,000 per day
of violation. Any person who knowingly or willfully fails to provide emergency notification
may be assessed a criminal penalty of up to $25,000 and/or 2 years' imprisonment, ($50,000
and/or 5 years for second and subsequent convictions).
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APPENDIX B
MULTI-MEDIA INSPECTIONS
DEFINITIONS AND TRAINING
B-1
06/05/91
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B-2
Level 1 - The Level 1 (single program) inspector is a person who has been
trained to be a lead inspector per EPA Order 3500.1 (Basic Health
& Safety, Fundamentals curriculum, and program specific
minimum) for a single compliance program.
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B-3
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B-4
A summary in matrix form, of multimedia inspection and inspector training definitions are
shown in Figure 1.
PROGRAM GOALS
The overall goal of each region would be a multimedia compliance program with
inspectors in each region equipped to perform all four categories of inspections. The
specific goals of the FBCs is:
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B-5
These goals require a dedicated effort to develop and improve upon the skills that would
be required for a single program inspector. Regional compliance programs can be
aggressive in targeting multi-program and multimedia inspections to achieve
environmental results using TRI data, comparative risk, geographic, and other
enforcement initiatives. Similarly, the FBCs can take the initiative to identify overlapping
routine program inspection requests and flag potential multi-program enforcement
opportunities. Achievements of these goals would provide enhanced capability for
responding to special requests from the RA/DRA and providing support to the office of
criminal investigations.
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C-1
Appendix C
TEAM LEADER RESPONSIBILITIES AND AUTHORITIES
INTRODUCTION
The team leader is the lead person for a given project. The team leader for each
project is selected by the Branch Chiefs, based on factors such as project needs, employee
development opportunities, and personnel availability. In general, the team leader is a work
group leader, the central focal point for a particular project, responsible for ensuring that
project objectives are met in a timely manner. The team leader is given certain responsibilities
and authorities, as outlined below, and is expected to fulfill the responsibilities and exercise
authority to successfully plan, coordinate, conduct, and complete the project.
The extent of input and involvement by the supervisor in these team leader
responsibilities is dependent on the team leader's grade and experience. GS-12 and GS-13
team leaders should be able to perform most, ifnot all, required tasks. Team leaders of other
grades will require more assistance from their supervisor or mentor.
Team leader responsibilities and authorities may vary somewhat with unique
requirements of each project. However, general responsibilities and authorities for
conducting a complete and timely project are common for most projects. The following
discussion of team leader responsibilities is presented in two sections: responsibilities and
authorities. The discussion of responsibilities is presented by project phases (most projects
will involve some form of each project phase). The discussion of authorities follows.
Because the team leader has similar authorities for most project phases, the authorities are not
discussed in terms of project phases.
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C-2
As stated previously, the team leader is the central focal point for a given project
responsible for assuring that project objectives are met in a professional and timely fashion.
The team leader uses the media specific and Multi-Media Investigation manuals as guidance
for conducting environmental compliance investigations. General project phases and
associated team leader responsibilities follow. Phase 1 of any project begins with a request
for assistance. Depending on the specifics of the request, workis required to develop that
request into a project plan that addresses the requestor's needs.
The team leader, in conjunction with his/her supervisor, project requestor and, often
times, members of the project team, is responsible for:
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C-3
Ensuring that a comprehensive Project Plan is prepared (this task may bea
separate project phase - project phase 3 - depending on the extent of
information available during the project request)
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C-4
Providing guidance to project members and ensuring that any associated OJT
objectives are met
The project plan is a written document completed at some point prior to the field
work on most projects. The plan identifies work to be conducted to address project
objectives and includes a site safety plan. The team leader is responsible for:
Overall completion of a final project plan (including site safety plan, if site
work is required)
Providing all project team members with copies of the project plan
Ensuring that all project members are familiar with the contents of the plan,
including individual project responsibilities, project schedules, and safety
requirements
Ensuring that the project requestor receives the final project plan prior to any
on-site work
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C-5
Providing guidance to project members and ensuring that any associated OJT
objectives are met
This project phase involves the on-site field work and necessary logistics/personnel
actions to ensure that the field investigation is carried out in a complete, efficient, and timely
manner. During this project phase, the team leader is responsible for:
Ensuring that all project objectives are addressed during the on-site
investigation
Ensuring that the site safety plan is followed (or more stringent facility
requirements, if appropriate)
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C-6
Providing guidance to team members and ensuring that any associated OJT
objectives are met
A report of project activities, information evaluation, and findings is prepared for most
projects. The project report is usually the major conduit for presenting project findings to the
project requestor. In general, the coordinator is responsible for ensuring that the project
report addresses all the project objectives, is accurate, and is reviewed and completed ina
timely fashion.
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C-7
Providing guidance to project members and ensuring that all associated OJT
objectives are met
Project follow-up includes project activities that follow transmittal of the final report.
This normally includes providing input into legal action such as case preparation, court
testimony, settlement negotiations, and depositions. During project follow-up, the team
leader is responsible for:
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C-8
As the central focal point and leader of a team of employees, the team leader has some
"first-line" supervisor authorities for most project phases. Once project members are selected
and general responsibilities of each member are agreed upon (agreement between team leader
and project member's supervisor and often times the project member), the team leader has the
authority to:
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C-9
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D-1
Appendix D
TYPES OF INFORMATION
TECHNICAL INFORMATION
Facility Background
Aerial photographs
Correspondence between the facility and the local, State, and Federal agencies
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D-2
Emissions inventory
Annual reports by the facility (e.g., PCB annual documents and inventories,
Securities Exchange Commission §10K reports)
Description and design data for pollution control systems and process
operations
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D-3
Legal Information
Pesticide labels
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D-4
Federal and State classification of facility (e.g., Interim Status, Small Quantity
Generator)
Enforcement History
Information Sources
Laws and Regulations - Federal laws and regulations establish procedures, controls,
and other requirements applicable to a facility [Table 1] (Missing). In addition, State laws
and regulations and sometimes even local ordinances may be applicable, or take precedence.
*
Coordination should occur prior to the audit (in conjunction with the EPA Regional Office )
with the local Assistant United States Attorney or Justice Department attorney responsible for the civil
or criminal case and any consent decree.
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D-5
Regional and State Files - These files often contain grant records, applications, facility self-
monitoring data, and audit reports, as well as permits and permit applications pertaining to
individual facilities. These information sources can provide compliance, enforcement, and
litigation history; special exemptions and waivers applied for and granted or denied; citizen
complaints and action taken; process operating problems/solutions; pollution
problems/solutions; and laboratory capabilities. Consultant reports can provide design and
operating data and recommendations for processes; pollutant sources; treatment, control, and
disposal systems; and remedial measures.
The background information sources for overall program areas and those that apply
specifically to the water, air, solid waste, pesticides, and toxic substances programs are listed
in Table 2 (Missing).
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APPENDIX E
SOURCES OF INFORMATION
E-1
APPENDIX E
SOURCES OF INFORMATION
I. General References:
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E-2
A. Statutes at Large: The official publication of a public and private laws and
resolutions enacted during a session of Congress.
B. United States Code: A codification of the general and permanent laws of the
United States. New editions appear approximately every 6 years with
cumulative annual supplements.
C. Regulations
IV. Computer Data Systems - A description of the automated data systems accessed by
NEIC follows:
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E-4
CONTENTS
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E-5
CONTENTS (cont.)
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E-6 AGENCY INTERNAL INFORMATION SYSTEMS
NOT CURRENTLY ACCESSIBLE BY NEIC
Aerometric Information A national system in ADABAS maintained by the National Air Data Data currently available from AIRS consists of the ambient air quality
Retrieval System Branch which incorporates information from many of the Agency's air data collected by States, utilized for trends analysis and pollution control
(AIRS) databases. Emissions data (formerly in NEDS) is now available in strategies and emissions and compliance data collected by EPA and
AIRS. State agencies.
Chemicals in Commerce A national system containing the results of the 1977 TSCA inventory NEIC can access the system by company name and geographical area,
Information System and later cumulative supplement of approximately 60,000 unique generate listings by company name, CAS registry number or
(CICIS) chemical substances (7,000 claim confidentiality) used commercially in geographical area.
the United States.
AIRS Facility Subsystem A national system containing compliance information including NEIC can acquire the Significant Violators list and compliance event
(AFS) compliance status, agency actions (e.g., inspections), etc. for major data for individual sources, whole facilities, sources within a certain
sources of the five primary air pollutants. Recently converted from the geographical area and sources of a specific industrial classification.
Compliance Data System (CDS), AFS is one of five AIRS subsystems.
Comprehensive A national system containing names and locations of uncontrolled NEIC can generate site inventory listings for geographical area, the
Environmental hazardous waste sites in the U.S., summary response event status National Priorities List, technical event status reports, and enforcement
Response, Compensation information, alias names and site characteristic data. Recent history for any uncontrolled hazardous waste site and cleanup
and Liability Information modifications include provisions for tracking enforcement activities, and expenditure reports.
System technical and chemical information at CERCLA sites. Superfund
(CERCLIS) Comprehensive Accomplish Plan (SCAP) data is also available through
CERCLIS.
Consent Decree Tracking A national system containing a computerized inventory of consent NEIC can produce hard copies of all decrees in the inventory, and
System decrees to which EPA is a party, and computerized summaries of the produce computer reports of the inventory, the entire contents of
contents of decrees by facility. NEIC maintains a hardcopy library of all decrees, the milestones to be met in specific decrees or for decrees
consent decrees within the system. This repository has been converted within a Region and the contents of all decrees for a specific issue (e.g.,
to a full-text database on JURIS. groundwater monitoring).
Docket System A national system containing all pertinent information regarding a civil NEIC can access the entire system to produce reports of enforcement
or administrative enforcement action taken by EPA or designated States actions in a geographical area, for a specific statute or media or for a
against violators of all Federal environmental statutes. specific source classification.
DUNS Market Identifiers Leased by the Agency from Dun and Bradstreet, DMI contains basic NEIC can generate reports with business information such as number of
(DMI) business information for privately- and publicly-owned companies in employees, amount of sales, telephone number, principal officer title,
the United States. and line of business.
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AGENCY INTERNAL INFORMATION SYSTEMS E-7
CURRENTLY ACCESSIBLE BY NEIC
Emergency Response A national system containing information on reported releases of oil and Reports can be generated to identify specific releases and to aggregate
Notification System hazardous substances and responses by EPA, the U.S. Coast Guard and data on the number and types of releases throughout the country and in
(ERNS) others to the reported releases. specific states and regions.
Enforcement Document EDRS is a full-text national database of EPA enforcement documents EDRS can be used to retrieve all enforcement documents containing a
Retrieval System including the General Enforcement Policy Compendium and the Policy word like "landfill" or relevant to an issue, law, or regulation.
(EDRS) Compendiums for FIFRA, TSCA, RCRA, CERCLA/SARA, and
CWA/FWPCA.
Facility and Company A national database which provides basic business information for NEIC can generate facility listings for any geographical area, type of
Tracking System privately- and publicly-owned companies in the United States, and business, and/or corporation. DMI locates business information such as
(FACTS) facility information for EPA-regulated facilities. FACTS is comprised number of employees, amount of sales, telephone number, and principal
of the DMI and FINDS subsystems. officer. FINDS provides facility information for EPA-regulated
databases.
Facility Index System A national database which serves as a cross-reference index on a facility NEIC can generate facility listings for any geographical area, as well as
(FINDS) basis to point to media-specific EPA databases to acquire additional tabulated listing of whether other databases contain information about
data. This is the link with other EPA data systems. that facility.
Federal Reporting Data A national system containing an inventory of public water supplies in NEIC can acquire source information and location, service areas,
System support of the Safe Drinking Water Act. It contains identification and geographic areas, and historical information. Information on
(FRDS) statistical summary information for each public water supply including noncompliance and enforcement actions can also be obtained.
type of data collected or monitored, and analytical procedures.
NPDES Industrial Permit An NEIC-operated and maintained system which contains criteria, NEIC can access the specific data for any of 12 criteria, ranking factors,
Ranking System ranking factors and calculation mechanisms to rate (1) a facility's and resultant ratings for each of the 12, as well as the total ranking for
effluent discharge pollution otential, including toxics; (2) health impact any or all of the three potentials. NEIC can access the data by Effluent
potential; and (3) water quality impact potential which is then used in Guideline subcategory, as well as by Standard Industrial Classification
PCS for major/minor differentiation. Code.
Permit Compliance System A national computerized management information system containing an NEIC can acquire limit/measurement data for individual discharges or
(PCS) inventory of NPDES permits, milestone forecasts, inspection events, whole facilities, facilities within a geographic area, sources of a specific
effluent measurement data, effluent and compliance violations and industrial classification and the Quarterly Noncompliance Report
enforcement actions. (QNCR) by Region by State. Information on effluent and compliance
schedule violations and enforcement actions/tracking can be obtained.
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E-8 AGENCY INTERNAL INFORMATION SYSTEMS
NOT CURRENTLY ACCESSIBLE BY NEIC
Pollution Prevention A national computerized information network providing access to NEIC can use the system to stay abreast of policy and program activities
Information Exchange technical, programmetric, and legislative pollution prevention at HQ and the regions as well as industry specific technical information.
System information. Includes a calendar of events, case studies, directory of Case studies of enforcement settlements incorporating pollution
(PIES) contacts, an interactive message center, and document ordering prevention projects can be obtained.
capability.
Potentially Responsible An NEIC-automated system, which links PRPs from SETS, SFFAS, and This system is used as an inventory of specific generators or parent
Parties System Techlaw files. corporations identified at and among hazardous waste sites.
Records of Decision System A full-text national database of over 2,000 Superfund Records of NEIC can retrieve a specific ROD by searching onsite name or ID
(RODS) Decision number or can identify all RODS having selected media, contaminants,
or remedies.
Resource Conservation and Conversion to RCRIS from HWDMS is currently underway on a per NEIC is planning to use the RCRIS National Oversight Database, which
Recovery Information state basis. RCRIS is scheduled to be operating as the official is derived from the 10 regional RCRIS databases. Information available
System (RCRIS) automated source of information on RCRA program activities by will include handler identification, permitting/closure/post-closure,
January 1992. compliance monitoring and enforcement, and corrective action and
program management data.
Site Enforcement Tracking A centralized national database tracking notice letters which have been NEIC uses this database to supplement currently available responsible
System (SETS) sent to potentially responsible parties. party information.
STORET A national database containing water quality data for some 1,800 unique NEIC can access and produce reports of water quality, including
parameters from over 200,000 collection points including lakes, groundwater quality, for specific geographical areas, for specific
streams, wells, and other waterways. New STORET software provides parameters (e.g., organics), and for a specific station.
an interface between STORET and PCS data.
Superfund Financial Nationally available computer application designed to calculate the NEIC has used the SFFAS too provide financial assessments for
Assessment System remedial costs a responsible party can theoretically afford to pay for potentially responsible parties in response to HQ/Regional requests for
(SFFAS) cleanup of a site. Three common financial ratios are used to make this several sites including the following: Seymour Recycling (several
determination: (1) Cash flow to total debt, (2) total debt to equity, and hundred responsible parties), Re-Solve (more than 200 responsible
(3) the interest coverage ratio. parties), and MIDCO I and II (approximately 100 responsible parties).
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AGENCY INTERNAL INFORMATION SYSTEMS E-9
CURRENTLY ACCESSIBLE BY NEIC
TECHLAW Evidence Audit Under contract to NEIC, TECHLAW provides document inventories, NEIC can access the document inventories to substantiate the universe
System evidence profiles and generator transaction databases. TECHLAW has of information on which a case is based, to demonstrate the efficacy and
produced, for about 30 cases, document inventories containing key word utility of an evidence audit system in enforcement case preparation and
searching capability of all related records contained in Regional office, to provide demonstrative examples of actual applications to establish
Headquarters, Department of Justice and/or office files. For sample protocols and implementation procedures.
related activities, including those of the contractor laboratories,
TECHLAW produces sample tracking profiles. For hazardous waste
sites, TECHLAW has produced document inventories of available
records dealing with the generators, volume and type of water, etc.
Toxic Release Inventory A national database containing information directly related to the Toxic NEIC can generate reports for facilities, geographic areas, and chemical
System (TRIS) Chemical Release Inventory Report Form "R." Two types of compounds listing facility and chemical information with emissions,
submissions will be present: Partial (facility and chemical information) releases, activities, etc., for complete submissions.
and Complete (offsite transfers, emission and releases, waste treatment,
waste minimization, activities and uses, and maximum amount stored
onsite).
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E-10 AGENCY INTERNAL INFORMATION SYSTEMS
NOT CURRENTLY ACCESSIBLE BY NEIC
FIFRA/TSCA Tracking System A PC-based regional system that tracks FIFRA and TSCA NEIC has limited access through Headquarters. The national
(FTTS) inspections, samples, case reviews, enfrocement actions, referrals, database is used to produce facility listings showing inspections,
and State grants. A national database is planned for FY89. enforcement data, and product lists.
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PUBLICLY EXTERNAL INFORMATION SYSTEMS E-11
CURRENTLY ACCESSIBLE BY NEIC
Bibliographic Retrieval The BRS system contains more than 100 databases with unique files in BRS is used mainly as a backup when the DIALOG system is
System (BRS) the chemical technology and standards and specification areas. unavailable but is also used to obtain chemical manufacturing and
production information for specific compounds.
Chemical Information The CIS is a collection of scientific and regulatory databases containing NEIC uses the CIS to locate mass spectral information environmental
System (CIS) numeric, textual and some bibliographic information in the areas of fate information, formulation ingredients for commercially available
toxicology, environment, regulations, spectroscopy, and chemical and products such as pesticides and waste disposal methods for hazardous
physical properties. substances.
Colorado Alliance of The CARL system includes the catalogs of the member libraries, an CARL is searched by NEIC staff for general reference, to locate books,
Research Libraries index of over 10,000 periodicals, a full text encyclopedia, Choice book and to identify articles and documents.
(CARL) reviews, and a bibliography of GPO publications.
DataTimes DataTimes provides online access to numerous full-text databases, DataTimes is a source of national environmental news. Newspaper
including newspapers, wire services, and Dow Jones News/Retrieval. databases from all regions are updated daily.
DIALOG Information The DIALOG system contains more than 330 databases covering a NEIC uses the DIALOG databases to obtain: (1) expert witness
Services, Inc. variety of disciplines: Science, technology, engineering, social sciences, information, including biographies, publications authored, congressional
business, and economics. The databases contain more than testimony; (2) up-to-date pollution control technology for hazardous
120,000,000 records and are regularly updated to provide the most waste, air and water; and (3) business information such as corporate
recent information. officers, subsidiaries, and line of business.
Dun and Bradstreet Dun and Bradstreet, a credit-reporting firm, provides business NEIC uses the Dun and Bradstreet system to locate corporate
information reports for privately- and publicly-owned companies and information such as business done by the company, company history,
government activity reports which list Federal contracts, grants, fines, financial condition, subsidiaries, and corporate officers for privately-held
and debarments for specific companies. companies.
Groundwater On-Line The National Groundwater Information Center Database is a NEIC accesses GWOL to locate publications on groundwater topics and
(GWOL) bibliographic database containing references to materials on to verify or locate groundwater experts.
hydrogeology and water well technology with emphasis on reports or
projects sponsored by EPA.
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E-12 PUBLICLY EXTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
Justice Retrieval and Inquiry The Justice Retrieval and Inquiry System (JURIS) is a legal information JURIS is used to identify relevant caselaw and current statutory and
System (JURIS) system developed by the Department of Justice. It contains the complete regulatory environmental information.
text of Federal cases, statutes, and regulations in addition to selected
DOJ Appellate Court Briefs, trial briefs, and the full text of the U.S.
Attorneys' Manual. The full-text of the NEIC Consent Decree repository
has been added to JURIS. JURIS also contains comuterized legislative
histories of the environmental statutes, model pleadings, and other work
products of DOJ attorneys, and EPA General Counsel opinions from
1970 to the present.
NEXIS/LEXIS NEXIS/LEXIS contains the full text of more than 600 business and NEIC uses NEXIS/LEXIS to keep informed of the latest Agency and
general news files, including the Washington Post and New York Times. environmental news stories and to track corporate and financial status
Statutory and case law are provided for computer-aided legal research. of U.S. businesses involved in environmental litigation.
National Library of The National Library of Medicine system contains more than NEIC uses the NLM system to obtain: (1) toxicity and environmental
Medicine (NLM) 5,000,000 references to journal articles and books in the health health effects information for individual chemicals or groups of
sciences published since 1965. chemicals, (2) physical and chemical properties of specific
compounds, (3) analytical methodology references, and (4) National
Cancer Institute carcinogenic bioassay information.
Scientific and Technical The STN system contains databases covering chemistry, science, and NEIC uses the STN databases to obtain: (1) chemical structures and
Information Network engineering that are regularly updated to provide the most recent synonyms for a chemical compound, (2) analytical methods and
(STN) information. STN has strong coverage of European and Japanese techniques, and (3) toxicity of a chemical compound.
scientific databases.
NEIC can acquire source information and location, service areas,
geographic areas, and historical information. Information on
noncompliance and enforcement actions can also be obtained.
VU/TEXT VU/TEXT contains the full text of 30 daily newspapers, including NEIC uses VU/TEXT to keep informed of the latest Agency and
nationally recognized papers such as the Boston Globe, Chicago environmental news stories and to track corporate and financial status
Tribune, Detroit Free Press, Philadelphia Inquirer, and regional papers of U.S. businesses involved in environmental litigation.
such as the Orlando Sentinel, the Sacramento Bee and the San Jose
Mercury News.
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PUBLICLY EXTERNAL INFORMATION SYSTEMS E-13
CURRENTLY ACCESSIBLE BY NEIC
WESTLAW The WESTLAW system contains legal information, including the full NEIC uses WESTLAW toidentify precedent cases, to locate all cases
text of cases from the Supreme Court, U.S. Court of Appeals, U.S. decided by a certain judge or all cases represented by a certain
District Courts, and State Courts. It contains Shepards' Citations, attorney and to locate possible expert witnesses.
regulatory information froom the Code of Federal Regulations,
Federal Register, U.S. Code and the expert witness information from
Forensic Services Directory.
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F-1
INTRODUCTION
The XYZ Company operates a plant at 1234 Anywhere Road in the middle part of Midtown,
Anystate [Figure 1]. EPA Region XX requested that NEIC conduct a multi-media compliance
investigation of the XYZ plant. The specific objectives of the investigation are to determine
compliance with:
Water pollution control regulations under the Clean Water Act (CWA), including
wastewater pretreatment requirements and Spill Prevention and Control
Countermeasures (SPCC) regulations
Air pollution control regulations under the Clean Air Act (CAA), Federal
Implementation Plan (FIP), and the Federally approved portions of the State
Implementation Plan (SIP)
Compliance with other applicable environmental regulations may be determined by the NEIC.
Region XX personnel will evaluate compliance with TSCA Sections 5, 8, 12, and 13 during the NEIC
inspection, and report their findings separately.
BACKGROUND
XYZ began operating the plant in 1492. Compounds A, B, and C; chemicals D, E, and F;
pesticides G and H, and special containers for these materials have been manufactured on site. nI
1942, some operations (formerly under the Middle Division) were acquired by a company known as
"Newage, Inc." The remaining XYZ plant currently manufactures water soluble specialty items, and
conducts research and development.
The XYZ plant employs a total of about 1,300 people, in a Primary Division, a Secondary
Division, a Tertiary Division, and R and D Laboratory. The Primary Division manufactures
compounds A, B, and C (240 tons in 1990). Raw materials for the compounds are purchased from
*
Subject to revision
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F-2
an outside source. The Secondary Division makes chemicals and pesticides under numerous brand
names (180 tons in 1990), and the Tertiary Division makes special containers for these materials (3
million containers in 1990). Research and development are conducted by R and D Laboratory.
The EPA Region XX Environmental Compliance Division, Midtown District Office (MDO),
conducted a multi-media inspection of the XYZ plant during the first quarter of 1991. The MDO
inspection report identified concerns with wastewater control, hazardous waste management,
documentation, and spill prevention control.
Approximately 1.2 million gallons of wastewater per day are discharged to the Midtown
Wastewater Treatment Plant (MWTP) of Midtown, Anystate. There are two direct National
Pollutant Discharge Elimination System discharges (001 and 002) to the Midtown River at this
facility. Additionally, sewered plant effluent discharge is regulated by the MWTP pretreatment
standards, and the Federal effluent limitations and standards for the Compounds, Chemicals,
Pesticides and Containers point source category. The R and D Laboratory conducts the Company's
effluent analyses.
Violations of the MWTP pretreatment ordinance effluent limitations have occurred for solids,
and the toxic standards. MWTP is concerned with data indicating the discharge of solids and toxics
J, K, and L from the plant. XYZ also may have modified their pretreatment plant without obtaining
a construction permit required by the Anystate Environmental Resources Department (AERD).
XYZ submitted the original RCRA Part A permit application on November 15, 1980. The
application listed 19 hazardous waste management units, including 4 container storage areas, 10
storage tanks, and 5 storage surface impoundments. AERD is responsible for monitoring hazardous
waste activities.
The facility's June 1990 contingency plan lists 14 above ground and 22 underground tanks on
site. The tanks range in size from 2,000 to 50,000 gallons, with the majority between 5,000 and
20,000 gallons. These tanks are located in a tank farm area and near production areas.
The plant emits both volatile organics and particulates. There is no volatile organic
constituent emission control equipment. Particulate emissions are controlled by three dust collectors.
Five wet scrubbers are used to control fugitive particulate emissions when mixing bagsof dry raw
materials in reaction vessels. Air emissions are regulated by "Anystate Permits and Air Pollution
regulations including AERD Operating Permits. EPA also promulgated a FIP on February 14, 1991.
On August 31, 1983, EPA Region XX conducted a PCB sampling inspection at the plant.
XYZ was fined for violations, including cracks in the floor of the PCB storage area, not conducting
monthly inspections, no annual document, and not properly marking PCB transformers.
The Toxic Release Inventory (TRI) for this plant lists emissions of A, B, C, and D. The TRI
also lists various inorganics, including E, F, G, and H.
INVESTIGATIVE METHODS
(03/92)
F-3
Compilation and review of EPA, AERD, and MWTP database and file information
An on-site inspection
Meetings with Region XX personnel took place (date). The on-site inspection, scheduled to
begin (date), will include:
Visually inspecting plant facilities including processing, material storage, and waste
handling facilities
(a) MWTP will collect and analyze wastewater samples for organic constituents
during the week of (date). All QA/QC will be the responsibility of MWTP.
(b) NEIC will collect wastewater samples for volatile organic constituent analysis
during the on-site inspection. NEIC will conduct the associated analysis.
After completing the on-site inspection, NEIC investigators will brief appropriate EPA
Region XX Program and Office of Regional Counsel per-sonnel regarding preliminary
findings.
A draft report, including any analytical data, will be written by NEIC personnel and
transmitted to EPA Region XX personnel for review and comment. A final report will be
completed about two weeks after Region V comments arereceived. If analytical data are not
available by (date), they will be presented in an addendum to the report.
NEIC personnel will be available for any additional support required (negotiations,
litigation, etc.) until noncompliance issues are resolved.
NEIC document control procedures** will be followed during the investigation. TSCA
"Notice of Inspection" and "Confidentiality" forms will be completed during the opening
conference. Documents and records obtained from the Company will be uniquely numbered
*
NEIC Policies and Procedures Manual, revised August 1991
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F-4
and listed on docu-ment logs. Photograph logs will also be maintained. A copy of the
document and photograph logs, with a Receipt For Samples/Document form, will be offered
to the Company prior to completion of the on-site inspection. Any documents declared to
be confidential business information pursuant to 40 CFR Part2 will be so noted on the log
and secured appropriately.
SAFETY PROCEDURES
Safety procedures to be followed during the on-site inspection will comply with those
described in the attached safety plan [Appendix A], and established NEIC safety procedures.
These procedures are contained in EPA 1440 - Occupational Health and Safety Manual (1986
edition), Agency orders and applicable provisions of the NIOSH/OSHA/USCG/EPA Occupa-
tional Safety and Health Guidance Manual for Hazardous Waste Site Activities. The
Company's safety policies will also be reviewed and followed.
TENTATIVE SCHEDULE
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F-5
APPENDIX
NEIC
SAFETY PLAN
FOR
HAZARDOUS SUBSTANCES RESPONSES AND FIELD INVESTIGATIONS
The OSHA Hazardous Waste Site Worker Standards (29 CFR1910.120) and EPA protocols require
certain safety planning efforts prior to field activities. The following format is aligned with these
requirements. Extensive training and certifications are required in addition to this plan.
Approval: Date:
DESCRIPTION OF ACTIVITY
If any of the following information is unavailable, mark "UA"; if covered in project plan, mark "PP".
Site Name:
Location and approximate size:
Description of the response activity and/or the job tasks to be performed:
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2
Radioactivity:
Oxygen Deficiency:
(e.g., Confined Spaces)
Toxic Gases:
Heat Stress:
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3
CONTRACTOR PERSONNEL:
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4
Hospital Location:
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Appendix G
MULTI-MEDIA INVESTIGATION EQUIPMENT CHECKLIST
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G-3
Plastic Ziplocks
Glass thieves
Plastic/metal scoops
Shovel
pH paper/meter
HNu meter
Bacon bombs
Sampling gear
Media-specific sampling gear
(03/92)
H-1
Appendix H
SUGGESTED RECORDS/DOCUMENTS REQUEST
GENERAL PROCEDURE
The records evaluation generally will proceed in two stages. First, various
records to be reviewed will be identified. Generally, these records will date back 3years from
the present, but some of the records will be for specific time periods. Second, according to
a schedule to be developed onsite, the records will be reviewed and copies requested, as
needed. Alternately, document copies will be requested for later review after the
investigation.
GENERAL
1. Plot plan of the facility showing location and identification of all major
process area and stacks
6. Stack tests (most recent) and stack and ambient monitoring data (last2
quarters)
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H-2
11. Hours of operation and process weight rates for the automated multi-base
propellant (AMB) manufacturing facility (last 2 years)
12. Annual volatile organic compounds (VOC) emissions from the AMB
facility including associated VOC storage tanks (last 2 years). Describe
the method(s) used to determine emissions. If estimates have been made
show calculations and assumptions.
14. Annual AMB facility VOC emissions control reports (last 5 years)
16. List air pollution sources, not covered in items 1 - 8, such as combustions
units larger than 2.5 million BTUs/hr heat inputs and incinerators (other
than the RCRA incinerators)
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H-3
8. Employee training records for hazardous waste handlers, including job title
and description, name of each employee and documentation of the type
and amount of training each has received.
11. Copy of the Waste Analysis Plan (WAP) currently in use and effective date
of the plan. If the current WAP was not effective on January 1, 1986
provide copies of all WAPs and revisions.
15. Reports and analytical results of any groundwater quality and groundwater
contamination surveys
17. Inspection schedule(s) for all hazardous waste management units, such as
storage areas and tank systems, and all inspection logs, remediations
document, etc, for the last three years.
19. Copy of the annual report for the last three years
22. List of all identified or suspected Solid Waste Management Units on the
Base's property
23. List of all locations where hazardous wastesare generated including types,
quantity, and EPA hazardous waste codes of wastes
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H-4
28. Design specifications for any underground storage tanks installed after
May 1985
3. The SPCC plan prepared for storage areas subject to 40 CFR 761.65
5. Records of inspection and maintenance for PCB transformers for the last
3 years
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H-5
8. Description of waste water treatment plant, sewer system and storm water
by-pass system
4. Material Safety Data Sheet report to the Commission and fire department
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I-1
Appendix I
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
Multi-Media
Facility Multi-Media Survey Region I
Inspector's Multi-Media Checklist Region II
RCRA
Pre-Inspection Worksheet October 1993 RCRA Inspection Manual
Land Ban Checklist Questions October 1993 RCRA Inspection Manual
General Site Inspections Information October 1993 RCRA Inspection Manual Form
General Facility Checklist October 1993 RCRA Inspection Manual
Land Disposal Restrictions List October 1993 RCRA Inspection Manual
RCRA Hazardous Wste Tank Inspection October 1993 RCRA Inspection Manual
Transporter's Checklist October 1993 RCRA Inspection Manual
Containers Checklist October 1993 RCRA Inspection Manual
Surface Impoundments List October 1993 RCRA Inspection Manual
Waste Piles Checklist October 1993 RCRA Inspection Manual
Land Treatment Checklist October 1993 RCRA Inspection Manual
Landfills Checklist October 1993 RCRA Inspection Manual
Incinerators Checklist October 1993 RCRA Inspection Manual
Thermal Treat. List (part 264) October 1993 RCRA Inspection Manual
Groundwater Monitoring Checklist October 1993 RCRA Inspection Manual
Waste Information Worksheet October 1993 RCRA Inspection Manual
Comprehensive GW Monitoring Evaluation March 1988 RCRA GW Monitoring
Systems Manual
Comparison of Permit & Oper. Condition April 1989 RCRA Incinerator
Inspection Manual
Visual Assess. & Audit Activities April 1989 RCRA Incinerator
Inspection Manual
List-Inspection New RCRA Incinerators April 1989 RCRA Incinerator
Inspection Manual
Landfill and Dump Site Analysis April 1989 RCRA Incinerator
Inspection Manual
Chemical Facility Analysis June 1988 RCRA Incinerator
Inspection Manual
RCRA Land Disposal Rest. Gen. List Feb. 1989 RCRA Incinerator
Inspection Manual
Transporter Checklist Feb. 1989 RCRA Incinerator
Inspection Manual
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I-2
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
TSCA
TSCA Screening Inspection Checklist Region VI
Established Inspections Narrative Jan. 1989 Pesticides Inspection
Report Manual
CWA
Record, Report, & Schedule List 1985 CWA
Compliance/Enforcement
Guidance
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I-3
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
NPDES
NPDES Compliance Inspection Report NPDES Compliance
Monitoring - Overview
Mobile Bioassay Equipment List NPDES Compliance
Monitoring - Biomonitoring
Records, Reports, & Schedule List June 1984 NPDES Compliance
Inspection Manual
Facility Site Review Checklist June 1984 NPDES Compliance
Inspection Manual
Permittee Sampling Inspection June 1984 NPDES Compliance
Inspection Manual
Flow Measurement Inspection List June 1984 NPDES Compliance
Inspection Manual NPDES
Biomonitoring Evaluation June 1984 NPDES Compliance
Form Inspection Manual
Laboratory Quality Assurance List June 1984 NPDES Compliance
Inspection Manual
UIC
Inspections Checklist (UIC) Feb. 1988 UIC Inspection Manual
for U.S. EPA
Pressure Gauge Inspection List Feb. 1988 UIC Inspection Manual
for U.S. EPA
Flow Measurement Inspection List Feb. 1988 UIC Inspection Manual
for U.S. EPA
Inspections Checklist (UIC) Feb. 1988 UIC Inspection Manual
for U.S. EPA
Pressure Gauge Inspection List Feb. 1988 UIC Inspection Manual
for U.S. EPA
Flow Measurement Inspection List Feb. 1988 UIC Inspection Manual
for U.S. EPA
Air
Electric Arc Furnaces (I) List May 1977 Steel Producing Electric
Arc Furnaces
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I-4
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
Fabric Filter Collectors (VI) Checklist May 1977 Steel Producing Electric
Arc Furnaces
Scrubbers (VI) Checklist May 1977 Steel Producing Electric
Arc Furnaces
Electrostatic Precipitators (VIII) List May 1977 Steel Producing Electric
Arc Furnaces
Tank Inspection Checklist April 1977 Volatile Hydrocarbon
Storage Tanks
Sewage Sludge Incinerators - During Feb. 1975 Sewage Sludge Incinerators
Performance Test
Sewage Sludge Incinerators - After Feb. 1975 Sewage Sludge Incinerators
Performance Test
Municipal Incinerators - During Feb. 1975 Municipal Incinerators
Performance Test
Municipal Incinerators - After Feb. 1975 Municipal Incinerators
Performance Test
Secondary Brass & Bronze Smelters - Jan. 1977 Secondary Brass & Bronze
During Performance Test Ingot Production Plants
Secondary Lead Smelters - During Jan. 1977 Secondary Lead Smelters
Performance Test
Basic Oxygen Process Furnace - Jan. 1977 Basic Oxygen Process
During Performance Test Furnaces
Performance Test of Portland Cement Sept. 1975 Portland Cement Plants
Plants
Periodic Check of Portland Cement Sept. 1975 Portland Cement Plants
Plant
Steam-Electric Generators - During Feb. 1975 Fossil-Fuel Fired Steam
Performance Test Generators
Steam-Electric Generation - After Feb. 1975 Fossil-Fuel Fired Steam
Performance Test Generators
Municipal Incinerators Checklist June 1973 Combustion & Incineration
Sources
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APPENDIX I
MULTI-MEDIA CHECKLISTS
I-6
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
J-1
Table 1
INVESTIGATION AUTHORITY UNDER THE MAJOR ENVIRONMENTAL ACTS
CAA - § 114(a)(2)
". . .the Administrator or his authorized representative, upon presentation of his credentials - shall have
a right of entry to, upon, or through any premises of such person or in which any records required to be
maintained. . .are located, and may at reasonable times have access to and copy any records, inspect any
monitoring equipment and method. . .and sample any emissions. . .."
CWA - § 308(a)(4)(B)
". . .the Administrator or his authorized representative. . .upon presentation of his credentials - (i) shall
have a right of entry to, upon, or through any premises in which an effluent source is located or in which
any records required to be maintained. . .are located, and(ii) may at reasonable times have access to and
copy any records, inspect any monitoring equipment or method. . .any sample any effluents which the
owner or operator of such source is required to sample. . .."
RCRA - § 3007(a)
". . .any such person who generates, stores, treats, transports, disposes of or otherwise handles or has
handled hazardous wastes shall upon request ofany. . .employee or representative of the Environmental
Protection Agency. . .furnish information relating to such wastes and permitsuch person at all reasonable
times to have access to, and to copy all records relating to such wastes."
". . .such employees or representatives are authorized. . .to enter at reasonable times any establishment
or other place where hazardous wastes are or have been generated, stored, treated,or disposed of or
transported from; to inspect and obtain samples from any person of any such wastes and samples of any
containers or labeling for such wastes."
- § 9005(a)(1)
". . .representatives are authorized. . .to enter. . .inspect and obtain samples. . .
TSCA - § 11(a)(b)
". . .any duly designated representative of the Administrator, may inspect any establishment. . .in which
chemical substances or mixtures are manufactured, processed, stored, or held before or after their
distribution in commerce and any conveyance being used to transport chemical substances, mixtures, or
such articles in connection with distribution in commerce. Such an inspection may only be made upon
(03/92)
I-7
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
the presentation of appropriate credentials and of a written notice to the owner, co-operator, or agent
in charge of the premises or conveyance to be inspected."
FIFRA - § 8 and 9
". . .any person who sells or offers for sale, delivers, or offers for delivery any pesticide. . .shall, upon
request of any officer or employee of the Environmental Protection Agency. . .furnishor permit such
person at all reasonable times to have access to, and to copy: (1) all records showing the delivery,
movement, or holding of such pesticide or device, including the quantity, the date of shipment and
receipt, and the name of the consignor and consignee. . .."
". . .officers or employees duly designated by the Administrator are authorized to enter at reasonable
times, any establishment or other place where pesticides or devices are held for distribution or sale for
the purpose of inspecting and obtaining samples of any pesticides or devices, packaged, labeled, and
released for shipment and samples of any containers or labeling for such pesticides or devices."
"Before undertaking such inspection, the officers or employees must present to the owner, operator, or
agent in charge of the establishment. . .appropriate credentials and a written statement as to the reason
for the inspection, including a statement as to whether a violation of the law is suspected."
". . .employees duly designated by the Administrator are empowered to obtain and too execute warrants
authorizing entry. . .inspection and reproduction of all records. . .and the seizure of any pesticide or
device which is in violation of this Act."
SDWA - § 1445
". . .the Administrator, or representatives of the Administrator. . .upon presenting appropriate credentials
and a written notice to any. . .person subject to. . .any requirement. . .is authorized to enter any
establishment, facility, or other property. . .in order to determine. . .compliance with this title, including
for this purpose, inspection, at reasonable times, of records, files, papers, processes, controls, and
facilities or in order to test any feature of a public water system, including its raw water source."
require any person.. .to furnish. . .information or documents relating to. . .identification, nature, and
quantity of material. . .generated, treated, stored, or disposed. . .or transported.. .nature or extent of
a release. . .ability of a person to pay. . ."
". . .access. . .to inspect and copy all documents or records. . ."
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I-8
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE DATE SOURCE
". . .to enter. . .place or property where any hazardous substance or pollutant or contaminant may be or
has been generated, stored, treated, disposed of, or transported from. . .needed to determine the need
for response. . ."
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Table 2 J-2
SUMMARY OF FEDERAL ENVIRONMENTAL ACTS REGARDING RIGHT OF ENTRY, INSPECTIONS, SAMPLING, TESTING, ETC.
Clean Water Act - Yes, auth. by Required Not required Yes (effluents which the Yes Not required Not required Not required
§ 308(a) Administrator owner is required to sample)
FIFRA - § 8(b) Yes, designated by Required Written notice Access and copy records Yes N/A N/A N/A
(Books and Records) Administrator required with reason and
suspected violation note
FIFRA - § 9(a) Yes, designated by Required Written notice Yes See § 8 Required, if Required Required,
(Inspections of Administrator required with reasons for requested promptly
Establishments) inspection
Clean Air Act - § Yes, auth. by Required Not required except notify Yes Yes Not required Not required Not required
114(a) Administrator State for SIP sources
RCRA - Yes, designated by Not required Not required Yes Yes Required, if Required Required,
§ 3007(a) Administrator requested promptly
§ 9005(a)
SDWA - Yes, designated by Required Written notice required, Yes Yes Not required Not required Not required
§ 1445(b) Administrator must also notify State with
reasons for entry if State
has primary enforcement
responsibility
TSCA - Yes, designated by Required Written notice (The Act does not mention Yes N/A N/A
§ 11(a, b) Administrator required samples or sampling in this
section. It does state an
inspection shall extend to all
things within the premise of
conveyance.)
CERCLA - Yes, designated by Not required Upon reasonable notice for Yes Yes Required, if Required Required,
§ 104(e) President information request promptly
(03/92)
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K-1
Appendix K
PHOTOGRAPHS
When movies, slides, or photographs are taken which visually show the effluent or emission source
and/or any monitoring locations, they are numbered to correspond to logbook entries. The name of
the photographer, date, time, site location, and site description areentered sequentially in the logbook
as photos are taken. A series entry may be used for rapid the aperture settings and shutter speeds for
photographs taken within the normal automatic exposure range. Special lenses, films, filters, or other
image enhancement techniques must be noted in the logbook. Chain-of-custody procedures depend
upon the subject matter, type of film, and the processing it requires. Film used for aerial
photography, confidential information, or criminal investigations require chain-of-custody procedures.
Adequate logbook notations and receipts may be used to account for routine film processing. Once
developed, the slides or photographic prints shall be serially numbered corresponding to the logbook
descriptions and labeled.
MICROFILM
Microfilm is often used to copy documents that are or may later become TSCA Confidential
Business Information (CBI). This microfilm must be handled in accordance with the TSCA CBI
procedures (see Appendix I for additional information and forms). Table C-1 is the NEIC procedure
for processing microfilm containing TSCA CBI documents.
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K-2
Table K-1
1. Kodak Infocapture AHU 1454 microfilm shall be used for filming all TSCA CBI documents.
2. Obtain packaging materials and instructions from the NEIC Document Control Officer or Assistant, including:
4. Ship the film via Federal Express to the Springfield, Virginia Federal Express office and instruct that it is to be held for
pickup. USE SIGNATURE SECURITY SERVICE ONLY.
This practice requires the courier to sign, the station personnel to sign, and the delivery courier to sign.
Instruct the Springfield Federal Express office to hold the shipment for pickup and to notify:
5. Telephone Mr. Webb and inform him of the date shipped, the number of rolls of film, the air bill number, and your phone
number.
6. Telephone the NEIC Document Control Officer or Assistant and inform them.
7. Telephone Mr. Webb the following day and verify film quality to determine if repeat microfilming is necessary.
8. The pink copy of the Federal Express form, with the shipment cost and project number indicated, must be turned in to
the Assistant Director, Planning and Management. If you are in the field for an extended period of time (3 weeks or
more), the pink copies must be mailed to NEIC.
(03/92)
L-1
The list of principles and techniques presented below is intended to highlight methods which can
be used by auditors to conduct effective interviews.
Request a brief overview of the interviewee's responsibilities with respect to the audit
topic(s)
Ask open-ended questions (e.g., "what" or "how"), not obvious yes/no questions
(e.g., "do you", etc.)
Follow-up on issues which are unclear
Avoid making assumptions
Avoid leading questions
Provide feedback to interviewee questions, as appropriate, to ensure a level of
responsiveness to the interviewee.
Tolerate silences in order to allow the interviewee to formulate thoughts and
responses
Do not exceed the agreed-upon time limit without getting concurrence for an
extension
End on a positive note
Summarize your understanding of key points discussed to ensure accuracy
Establish the context of the interview (time, name of interviewee, protocol step)
Take notes of key points during the interview (do not attempt a verbatum transcript)
Summarize the outcome and overall conclusions at the end of the audit
Interpersonal Considerations
Interview Setting
Non-Verbal Communication
Shake hands
Maintain eye contact
Keep the right distance
Mirror the interviewee
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M-1
Appendix M
SAMPLING GUIDELINES
The value of samples as evidence to document/support a violationis contingent upon many factors
including: (1) the method by which samples are collected; (2) the selection of sample containers,
preserving samples after they are collected, and ensuring that proper holding times are adhered ot
between sample collection and analysis; (3) the accuracy or validity of field measurements that are
taken in conjunction with that sampling; (4) the adequate decontamination of field sampling
equipment; (5) the degree to which appropriate notes or other documentation pertaining to sampling
operations are logged in a notebook; and (6) the labeling of samples and employing a suitable chain-
of-custody system. Most of these topics will be discussed in a relatively brief fashion in this section
of the document. For additional details, the reader should refer to any of the SOPs currently being
used by the Regions or NEIC. Other useful documents are program specific sampling/analytical
protocols, such as 40 CFR Part 136 (NPDES), SW 846 (RCRA), and the Technical Enforcement
Guidance Document (RCRA).
SAMPLE COLLECTION
Samples can generally be divided into two separate and distinct categories: (1) environmental
samples and (2) source or waste samples. The collection of both will probably be necessary during
most multi-media inspections. Environmental samples can include surface/runoff water, groundwater,
sediment, surface wipes, soil, etc. Source or waste samples can include discharges from permitted
outfalls, PCB oil from electrical equipment, RCRA regulated "hazardous waste", treatment residues,
leachate, etc. In the case of any toxic/hazardous materials, the inspectors should make every effort
to have the facility collet the sample for them. Sampling of either category can be accomplished by
collecting grab samples, composite samples, or both. The type of sample ultimately obtained will be
predicated on satisfying a legal requirement such as a permit which specifies a type of sample,
laboratory requirements, or ensuring that representativeness is achieved. A time-based composite
sample will usually require the use of an automatic sampler set to collect a series of discrete samples,
over the time period of interest. A spatially-based composite sample (actually a series of grab samples
blended together) and grab samples are collected by more conventional means and during a much
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M-2
shorter time. Some type of dipper, scoop, auger, pump, corers, etc. can be used to collect a grab
sample.
Perhaps the two most important points, the investigators should keep in mind whenever sampling,
are identifying precisely where the sample will be collected and selecting the appropriate equipment
to collet the sample. From a collection standpoint, a sample must often be obtained suchthat it is
representative of the entire media. If the media is well mixed and homogenous, a single sample will
probably be adequate to ensure representativeness. If it is not well mixed, the investigator will have
to collect several samples at different locations, and composite them on an equally weighted or some
other basis or have each of the discrete samples analyzed. The total number of samples required will
largely depend upon the area/volume of the material and the degree of nonhomogeneity. Normally
in this case, the investigator will have to use a statisticallyrandom process to determine where the
samples should be collected. Laying out some type of imaginary grid to encompass the media to be
sampled and randomly selecting specific elements for sampling is one common method of ensuring
that bias is not introduced and that no other important statistic is compromised. In other cases, the
inspector must rely on a judgmental sampling approach, particularly in situations where a worst case
result is desired. In that situation, the inspector should look for signs of discoloration, wetness, waste
plumes or residue, dead vegetation, odor, or someother physical attribute or apply knowledge of the
situation (i.e., judgment) in an attempt too identify exactly where constituent concentrations are likely
to be highest. Other items that must be considered when selecting sampling sites are safety,
convenience, and accessibility. The investigatorsshould not collect samples until they have adequate
knowledge of the site, through touring/observing, interviewing, etc. too make prudent decisions
regarding selection of sampling sites.
The second important point the investigator should remember is to use the proper equipment to
physically collect the sample. The equipment should eitherbe unused or decontaminated to an extent
that it cannot impart any contamination to the sample itself. Moreover, it is important to select
sampling equipment made of the proper material. Wherever possible, the material should be inert
(i.e., teflon or stainless steel) and not contain, as its principal constituents, any of the same
constituents for which the samples will be analyzed. Lastly, the element of safety should not be
overlooked. One key example would be where the investigators need to sample a potentially
hazardous waste from a 55-gallon drum. Opening the drum must be carefully performed prior ot
sampling.
M-3
In order for the samples to be properly analyzed in the laboratory, the field investigators must
follow certain accepted procedures relative to the containers theyuse, the preservation of the samples
at time of collection, the holding time limits which dictate the quickness in which the samples must
be transported to the laboratory, and the use of field blanks for QA purposes. Each of these
procedures can vary from matrix to matrix, parameter to parameter,and in some cases, from program
to program. All of this information pertaining to sample collection/handling is summarized in the
following two tables. One table corresponds to liquid samples and the other to nonliquid samples.
FIELD MEASUREMENTS
The acquisition of field data is customarily required whenever sampling is performed. A number
of in situ monitoring devices/meters are used for this purpose, each of which have certain applications
and limitations. These instruments are designed to withstand some rough handling without affecting
their stability or reliability. Parameters normally measured in the field include but, are not limited to,
dissolved oxygen, pH, temperature, and chlorine residual.
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M-4
SAMPLE COLLECTION\HANDLING REQUIREMENTS - LIQUID SAMPLES
Bacteriological
Coliform, Fecal & T Grab 250 ml P,G 3/4 full Cool, 4 C - 0.2 ml, 10% 6-hr. Field (A)
sterilized Na2S2O3 added in lab
Inorganic
BOD 1000 ml P,G 400 ml Cool, 4 C 48-hr. None
COD 1000 ml P,G 200 ml Cool, 4 C - H2SO4 to pH<2 28-day Acid
TSS 1000 ml P,G 100 ml Cool, 4 C 7-day None
TKN 1000 ml P,G 200 ml Cool, 4 C - H2SO4 to pH<2 28-day Acid
Ammonia Cool, 4 C - H2SO4 to pH<2 28-day Acid
Nitrite 1000 ml P,G 400 ml Cool, 4 C 48-hr. None
Nitrate Cool, 4 C 48-hr. None
NO2 MO3 1000 ml P,G 200 ml Cool, 4 C - H2SO4 to pH<2 28-day Acid
Ortho Phosphorus 1000 ml P,G 200 ml Cool, 4 C 48-hr. None
Total Phosphorus 1000 ml P,G 200 ml Cool, 4 C - H2SO4 to pH<2 28-day Acid
Oil & Grease Grab 1000 ml G only 1000 ml Cool, 4 C - H2SO4 to pH<2 28-day Acid
Sulfide Grab 300 ml G Cool, 4 C - Zinc Acetate; NaOH to pH<9 7-day Field
Cyanide T & Amen Grab 1000 ml P 500 ml Cool, 4 C - NaOH to pH<123 14-day NaOH
Hex Chrome Grab 1000 ml P 300 ml Cool, 4 C 24-hr. Field
Mercury 1000 ml P 500 ml HNO3 to pH<2 28-day Acid
Other Heavy Metals 1000 ml P 500 ml HNO3 to pH<2 6-mo. Acid
Organic
Volatiles Grab 3-40 ml G vials1 40 ml Cool, 4 C-HCI to pH<2, Dechlor 7 day-Unpres. Field (3)
w/25 mg/40 ml Ascorbic Acid 14 day-Pres.
Extract, P.P.s 2-1/2 gl G(ambr)1 1000 ml Cool, 4 C-Dechlor w/1.0 ml Na2S2O3 7 day2
Extract Pest/Herb 2-1/2 gl G(ambr)1 1000 ml Cool, 4 C-Dechlor w/1.0 ml Na2S2O3 7 day2 Field (1)
Phenols 1-qt. G1 1000 ml Cool, 4 C - H2SO4 to pH<2 28 day Acid
PCB 1-40 ml G-vial4 2 ml4 Cool, 4 C 7 day2 None
TOC 1000 ml P 200 ml Cool, 4 C - H2SO4 to pH<2 28 day Acid
TCLP
Volatiles Grab 3-40 ml G vials1 40 ml Cool, 4 C 14 day2 None
Semi-Volatiles Qt. Mason Jar1 500 ml Cool, 4 C 14 day2 None
Mercury 1000 ml P 500 ml Cool, 4 C 28 day2 None
Other Metals 1000 ml P 500 ml Cool, 4 C 180 day2 None
Inorganic
Organic
TCLP
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M-6
The instruments most often utilized in the field are listed below:
Although the above parameter-specific instruments, or their equivalent, should be used almost
exclusive, field personnel may occasionally utilize a multi-parameter instrument for the measurement
of all the above mentioned parameters with the exception of chlorine residual. The instrument si
manufactured by the Hydrolab Corporation and is designed specifically for use in the "field."
EQUIPMENT DECONTAMINATION
When possible, the investigators should use new disposable sampling utensils such as plastic
scoops, stainless steel spatulas, glass colowassas or laboratory cleaned glass jars, since no additional
decontamination is needed for this equipment. Nonexpendable equipment must be decontaminated
before and after each use. This equipment includes, but is not limited to, shovels, teflon bailers, soil
augers (powered and hand operated), soil probes, buckets, automatic samplers, etc. The portion of
these sampling devices that come in direct contact with the sample must be washed with a soapy
water solution, using a non-phosphate laboratory cleaner and vigorous scrubbing (scrub brush). The
equipment may require disassembly to ensure that contamination is removed from all surfaces. Two
tap water rinses follow. A third and final rinse should consist of laboratory deionized organic free
water. In order to reduce the likelihood of cross-contamination due to equipment, sampling should
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M-8
proceed from cleanest areas first to dirtiest areas last, whenever possible. Between sampling stations,
the equipment is decontaminated, as described above. At some point during the sampling effort,
deionized organic free lab water should be passed through or over the newly decontaminated
sampling equipment and then sampled to ensure that the decontamination procedure was effective.
This so-called equipment blank should be preserved, returnto the laboratory using appropriate chain-
of-custody procedures, and analyzed for the same parameters as the actual samples. The above
decontamination procedure can be modified for specific parameters and condition, if deemed
necessary by the team leader.
Solvents should only be used if proper decontamination cannot be obtained with soapy water
(e.g., heavy petroleum products) or if specifically requested. If a solvent is used, the laboratory
analyzing the samples should be consult to ensure the solvent of choice will not interfere with the
analytical procedure or mask the results.
SAMPLE LOGGING
A sample log should be maintained in a bound log bookwhich documents all samples that are
collected. This log should include a unique sample number (if needed), date, time, sample medium
(soil, liquid, etc.), preservative (if any), parameters, and location. Included with the log are any
observations made by the sampler that would otherwise identify the sample or conditions at the time
of sampling. If photographs are taken, that should also be noted in the field log book.
SAMPLE SPLITTING
Often, it will be necessary to collect duplicate samples or to split a sample in order to provide
the facility with a separate sample it can analyze on its own. In these situations, every effort should
be made to ensure that both samples are as identical as possible and should theoretically yield the
same results. Bulk samples (liquid) for parameters such as extractable organics, cyanide, nutrients,
PCB, metals, etc. may be collected in a larger container and alternately poured into the appropriate
M-9
sample containers. However, the liquid should be well mixed during the transfer. EPA normally
provides the sample containers.
Certain parameters may not be split using the above method (e.g., volatile organics, semi-
volatiles, and oil and grease) since these samples must be collected and analyzed in their original
container. This type of sample should not be distributed by splitting since it may cause air stripping
of the volatiles or, in the case of the oil and grease, a residue may adhere to the sample container and
cause an erroneous measurement. These parameters will necessitate collecting duplicate samples,
virtually at the same time and at the same place to assure homogeneity.
Samples of solid matrices such as sludge, soil, or sediment may be placed into a sufficiently
large container and either hand agitated and/or mechanically mixed with a blender, etc. to achieve a
homogeneous consistency, except for volatile orsemi-volatile analyses. Individual samples may then
be placed in the appropriate containers.
Wipe samples (PCB), due to their nature, must be collected immediately adjacent to each
other with each party receiving a separate sample.
CHAIN-OF-CUSTODY
Since there are legal implications when sampling data is used as evidence, EPA must be able
to demonstrate that the samples were protected from tampering from the time of collection to the
time they are introduced as evidence. This demonstration is based on samples being in the possession
or custody of an EPA employee at all times, and it is documented by means of a chain-of-custody
record. Custody implies both physical possession as wellas controlled access by locking in a secured
area. The chain-of-custody record indicates who had possessio at any given point in time and how
and when transfer of custody from one individual to another occurred.
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Each sample container should be affixed with a sample tag to ensure chain-of-custody from
the sample location to the laboratory (see next section for further details). The tag contains the
sample location, the sampler's signature, preserved (Y or N), parameter(s), and sample type
(composite or grab) and it must be completely filled out using waterproof ink.
Pressure sensitive tape affixed to the container may also be used under certain circumstances
to identify the sample. Ink used to write on the container must be waterproof. At a minimum, the
label must contain the following information: location, date, time, sample number (if needed), and
preservative used. The sampler should be certain that the label is securely affixed to the outside of
the container and will not peel off during shipment.
The chain-of-custody record is comprised of sample tags and the record form itself. Both of
these are shown on the following pages. A sample tag should be completed for each sample by the
field sampler using waterproof ink, if possible. It should be affixed to ht e sample container in a secure
manner. The field sampler should also complete the chain-of-custody record form, appropriately
describing all samples that he/she was responsiblefor collecting. The same wording must be used on
both the tag and form, and care must be exercised to make sure that all the information in the chain-
of-custody record corresponds properly without discrepancies. While the samples are in his/her
custody, all necessary precautions should be taken by the field sampler to ensure that they are
adequately safeguarded. Whenever the possession of samples is transferred, the individuals
relinquishing and receiving will sign, date, and note the time on the record. The record will continue
to accompany the samples. At the completion of the process, a copy of all of the chain-of-custody
records will be provided to the team leader for filing.
TRANSPORTATION
All samples will be properly packed in suitable ice chests and transported back to the Regional
Laboratory via vehicle or private transport. Chain-of-Custody record forms should also be affixed
to the ice chests. The inspectors should always lock the vehicles in which samples are being
M-11
transported. There may be times when DOT regulations will have to be followed. At least one
member of the inspection team should review the DOT requirements prior to an inspection, and make
certain that they are complied with in cases where samples are unusually hazardous or travel through
tunnels or if confined/special areas are encountered.
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N-1
Appendix N
LAND DISPOSAL RESTRICTIONS PROGRAM
BASIC PROGRAM
Land Disposal Restrictions (LDR), 40 CFR 268, are phased regulations prohibiting land
disposal of hazardous waste unless that waste meets the applicable treatment standards.* Land
disposal includes but is not limited to placement in a landfill, surface impoundment, waste pile,
injection well, land treatment facility, salt dome formation, salt bed formation, underground mine or
cave, or placement in a concrete vault or bunker intended for disposal purposes. The applicable
treatment standards are expressed as either concentrations of contaminants in the extract or total
waste and as specified technologies.
Solvents and Dioxins: banned from land disposal (unless treated) effective November
8, 1986 and November 8, 1988, respectively
"California List" Waste: This group includes liquid wastes containing metals, free
cyanides, polychlorinated biphenyls, corrosives (pH less than 2.0) and certain wastes
containing halogenated organic compounds. Solid hazardous waste containing
halogenated organic compounds are also included. These wastes were banned
effective July 8, 1987
"First, Second, and Third Third" Wastes: The remaining listed and characteristic
wastes** were divided into thirds (see 40 CFR 268 for specific waste groupings). The
*
40 CFR 268.40, 41, 42, and 43 contain the treatment standards.
**
40 CFR 261 defines listed and characteristic wastes.
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first third wastes were banned effective August 8, 1988, second third June 8, 1989
and the third third May 8, 1990.
Newly Listed Wastes: New wastes that become listed after November 8, 1984 will
be banned on a case-by-case basis. There is no statutory deadline for determining
treatment standards.
The effective dates for banning these wastes from land disposal can be modified by several kinds of
variances. 40 CFR 268, Appendix VII includes all of the different effective dates for each type of
waste. Effective dates can be modified by any of the following:
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N-3
Certify that treatment standards have been achieved for particular wastes prior ot
disposal
To become familiar with all of the requirements of LDR, refer to 40 CFR 268 and the Land
Disposal Restrictions - Summary of Requirements, OSWER 9934.0-1A, February 1991 for a
complete discussion.
EVALUATING COMPLIANCE
LDR requires substantial documentation certifying waste types, required treatment, and
notifying waste handlers of the regulatory requirements. Interviews and field observations also may
be helpful.
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Storage
- Waste analyses and results
- Waste analysis plan (provision for determining whether a waste is prohibited)
Treatment
- Waste analysis plan
Refer to the Land Disposal Restrictions - Inspection Manual, OSWER 9938.1A, February
1989, for a complete discussion on how to conduct an LDR inspection. Keep in mind that this
document has yet to be updated with information regarding the Third Third wastes.
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O-1
Table 1
Fossil-fuel-fired steam generators D August 17, 1971 Particulate matter, sulfur dioxide,
constructed after August 17, 1971 nitrogen oxides
Fossil-fuel-fired-steam generator Da September 18, 1978 Particulate matter, sulfur dioxide,
constructed after September 18, 1978 nitrogen dioxide
Industrial-Commercial-Institutional steam Db June 19, 1984 Particulate matter, sulfur dioxide,
generating units constructed after nitrogen oxides
June 19, 1984
Municipal incinerators E August 17, 1971 Particulate matter
Portland cement plants F August 17, 1971 Particulate matter
Nitric acid plants G August 17, 1971
Sulfuric acid plants H August 17, 1971 Sulfur dioxide, acid mist (sulfuric acid)
Asphalt concrete plants I June 11, 1973 Particulate matter
Petroleum refineries J June 11, 1973 Particulate matter, carbon monoxide,
sulfur dioxide
Storage vessels for petroleum liquids K June 11, 1973 VOC
Ka May 18, 1978 VOC
Volatile organic liquid storage vessels Kb July 23, 1984 VOC
Secondary lead smelters L June 11, 1973 Particulate matter
Secondary brass and bronze ingot M June 11, 1973 Particulate matter
production plants
Iron and steel plants (basic oxygen furnace) N June 11, 1973 Particulate matter
Iron and steel plants (secondary Na Januray 20, 1983 Particulate matter
emissions from oxygen furnaces)
Sewage treatment plants (incinerators) O June 11, 1973 Particulate matter
Primary cooper smelters P October 16, 1974 Particulate matter, sulfur dioxide
Primary zinc smelters Q October 16, 1974 Particulate matter, sulfur dioxide
Primary lead smelters R October 16, 1974 Particulate matter, sulfur dioxide
Primary aluminum reduction plants S October 23, 1974 Fluorides
Phosphate fertilizer industry TUV October 22, 1974 Fluorides
(listed as five separate categories) WX
Coal preparation plants Y October 24, 1974 Particulate matter
Ferro-alloy production facilities Z October 21, 1974 Particulate matter, carbon monoxide
Steel plants (electric arc furnaces) AA October 21, 1974 Particulate matter
Steel plants, electric arc furnaces and AAa August 17, 1983 Particulate matter
argon-oxygen decarburization vessels
Kraft pulp mills BB September 24, 1976 Particulate matter, TRS
Glass plants CC June 15, 1979 Particulate matter
Grain elevators DD August 3, 1978 Particulate matter
Metal furniture surface coating EE November 28, 1980 VOC
Stationary gas turbines GG September 24, 1976 Nitrogen oxides, sulfur dioxides
Lime plants HH May 3, 1977 Particulate matter
Lead acid battery plants KK January 14, 1980 Lead
Metallic mineral processing plants LL August 24, 1982 Particulate matter
Auto and light-duty truck, surface MM October 5, 1979 VOC
coating operation
Phosphate rock plants NN September 21, 1979 Particulate matter
Ammonium sulfate plants PP February 4, 1980 Particulate matter
Graphic arts industry QQ October 28, 1980 VOC
Pressure sensitive tape manufacturing RR December 30, 1980 VOC
Appliance surface coating SS December 24, 1980 VOC
Metal coal surface coating TT January 5, 1981 VOC
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Table 1 (cont.)
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Table 2
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Table 3
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Table 3 (cont.)
* Volatile hazardous air pollutant (VHAP) means a substance regulated under this part for which a standard for
equipment leaks has been proposed and promulgated. As of February 1, 1989, benzene and vinyl chloride are VHAPs.
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O-6
Table 4
CAS CAS
Number Chemical Name Number Chemical Name
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O-7
Table 4 (cont.)
CAS CAS
Number Chemical Name Number Chemical Name
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O-8
Table 4 (cont.)
CAS CAS
Number Chemical Name Number Chemical Name
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O-9
Table 4 (cont.)
CAS CAS
Number Chemical Name Number Chemical Name
95476 o-Xylenes
108383 m-Xylenes
106423 p-Xylenes
* Unless otherwise specified, these listings are defined as including any unique chemical substance that
contains the named chemical (i.e., antimony, arsenic, etc.) as part of the chemical's infrastructure.
(03/92)
P-1
Appendix P
CONFIDENTIALITY NOTES AND DISCUSSIONS
The TSCA Notice of Inspection [Figure L-1] and Inspection Confidentiality Notice [Figure L-2] are
presented to the facility owner or agent in charge during the opening conference. These notices inform
facility officials of their right to claim as confidential business information, any information (documents,
physical samples, or other material) collected by the inspector.
The inspector must ascertain whether the facility official, to whom the notices were given, has the
authority to make business confidentiality claims for the company. The facility official's signature must be
obtained at the appropriate places on the notices certifying that he does or does not have such authority.
The facility owner is assumed too always have the authorityto make business confidentiality
claims. In most cases, it is expected that the agent in charge will also have such authority.
It is possible that the officials will want to consult with their attorneys (or superiors in the
case of agents in charge) regarding this issue.
If no one at the site has the authority to make business confidentiality claims, a copy of the
TSCA Inspection Confidentiality Notice and Notice and Declaration of Confidential
Business Information form [Figure L-3] are to be sent to the chief executive officer of the
firm within 2 days of the inspection. He will then have 7 calendardays in which to make
confidentiality claims.
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P-2
Appendix P (cont.)
The facility official may designate a company official, in addition to the chief executive
officer, who should also receive a copy of the notices and any accompanying forms.
Confidentiality Discussion
Officials should be informed of the procedures and requirements that EPA must follow in handling
TSCA confidential business information. The inspector should explain that these procedures were
established to protect the companies subject to TSCA and cover the following points during the discussion.
Data may be claimed confidential business information during the closing conference ifa
person authorized to make such claims is on-site at the facility.
It is suggested that a company official accompany the inspector during the inspection ot
facilitate designation (or avoidance, if possible) of confidential business data.
A detailed receipt for all documents, photographs, physical samples, and other materials
[Figure L-4] collected during the inspection will be issued at the closing conference.
An authorized person may make immediate declarations that some or all the information is
confidential business information. This is done by completing the Declaration of
Confidential Business Information form. Each item claimed must meetall four of the criteria
shown on the TSCA Inspection Confidentiality Notice.
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P-3
Appendix P (cont.)
If no authorized person is available on-site, a copyof the notices, along with the Receipt for
Samples and Documents, will be sent by certified, return-receipt-requested mail to the Chief
Executive Officer of the firm and to another company official, if one has been designated.
Four copies are made of the Declaration of Confidential Information form and distributed to:
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Q-1
Appendix Q
(Note: TSCA does not regulate chemicals such as pesticides, drugs, cosmetics, explosives,
etc., which are regulated under separate acts.)
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