United States
Environmental Protection
Agency
Office of Water Enforcement
Enforcement Division (EN-338)
Washington, DC 20460
-R-8L-100
January 1981
Water
v>EPA
IMPDES
Compliance Evaluation
Inspection Manual
MCD - 75
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NOTES
To order this publication, MCD-75 "NPDES Compliance Evaluation
Inspection Manual", write to:
General Services Administration (8BRC)
Centralized Mailing Lists Services
Building 41, Denver Federal Center
Denver, Colorado 80225
Please indicate the MCD number and title of publication.
Multiple copies maybe purchased from:
National Technical Information Service
Springfield, Virginia 22151
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NPDES COMPLIANCE EVALUATION
INSPECTION MANUAL
JANUARY 1981
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF WATER ENFORCEMENT
COMPLIANCE BRANCH
TECHNICAL EVALUATION AND SUPPORT SECTION
EN-338
WASHINGTON, D.C. 20460
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DISCLAIMER
This manual has been reviewed by the Office of Water
Enforcement, U.S. Environmental Protection Agency, and approved
for publication. Mention of trade names or commercial products
does not constitute endorsement or recommendation for use.
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NPDES COMPLIANCE EVALUATION INSPECTION MANUAL
TABLE OF CONTENTS
INTRODUCTION
ADMINISTRATION
I. Work Ethics
II. Disclosure of Official Information
III. Diaries and Field Notes
PREPARATION FOR INSPECTION
I. General
II. Objectives
III. Inspector's Responsibility
IV. Preinspection Techniques
V. Compliance Files
VI. Types of Compliance Inspections
TREATMENT FACILITY REVIEW
I. Authority
II. General
III. Objectives
IV. Inspector's Obligation
V. Inspection Procedures
VI. Post-Inspection Discussion with Management
RECORDS AND REPORTS REVIEW
I. Authority
II. General
III. Objectives
IV. Inspection Procedures
COMPLIANCE SCHEDULE STATUS REVIEW
I. Authority
II. General
III. Objectives
IV. Inspection Procedures
SELF-MONITORING PROGRAM REVIEW
I. Authority
II. Objectives
III. Inspection Procedures
IV. Quality Assurance
MULTIMEDIA INSPECTIONS
I. Authority
II. Inspector's Responsibility
III. Inspection Procedures
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8. SPECIAL CONSIDERATIONS AND TECHNIQUES
I. Citizen Complaint Investigations
II. Photographs
III. Best Management Practices
IV. Spill Prevention Control and
Countermeasure Plan
V. Interagency Regulatory Liaison
Group Referral Inspection Program
9. FEDERAL AND STATE COOPERATION
I. Authority
II. Objectives
III. Policy
10. SAFETY
I. General
II. Safety Equipment
III. Safety Precautions
IV. Hazardous Waste Disposal Sites
11. ACCESS AND WARRANTS
I. General
II. Objectives
III. Unreasonable Search and Seizure
IV. Neutral Inspection Scheme
V. Right of Entry
VI. Privilege Against Self-Incrimination
12. COMPLIANCE INSPECTION REPORT
I. General
II. Objectives
III. Procedures
IV. Abbreviated Narrative Reports
V. Deficiency Notice
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REFERENCES
SECTION REFERENCES
APPENDICES
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COMPLIANCE EVALUATION INSPECTION MANUAL
INTRODUCTION
The objective of the Clean Water Act (33 U.S.C. 1251 et.seq),
hereafter referred to as the Act, is to restore and maintain the
chemical, physical, and biological integrity of the Nation's
waters. The mission of the field staff engaged in the enforce-
ment of the Act is to implement the plans that have been adopted
to achieve the Act's objective, thereby gua,.uing the environment
against the adverse effects of water pollution.
The U.S. Environmental Protection Agency (EPA) is a regula-
tory Agency and believes that a vigorous and thorough enforcement
program, fairly but firmly administered, is the best way to guar-
antee that the Agency will succeed in its mission. An effective
enforcement program requires highly-trained, well-qualified and
dedicated personnel to conduct inspections aimed at detecting
violations and to provide evidence for the successful enforcement
of National Pollutant Discharge Elimination System (NPDES) permit
requirements.
The Compliance Evaluation Inspection (CEI) is a type of Com-
pliance Inspection which is non-sampling in nature and designed
to verify permittee compliance with applicable NPDES permit
requirements and compliance schedules. This inspection is based
on record reviews and cursory observations such as walk-through
evaluations of waste sources and wastewater treatment facilities,
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visual observations of effluents, receiving waters, etc. The
CEI applies to both chemical and biological self-monitoring
programs of the permittee.
This Manual is a guide for the professional field staff
in carrying out their responsibilities in field surveillance,
facility inspection, and enforcement activities. It contains
the authorities, objectives, responsibilities, policies, and
procedures required by the field staff to do a thorough and
effective job. This Manual is not intended to cover every
possible situation confronting an inspection team; but it
should enable the inspector, especially the new inspector, to
deal objectively with the many complex situations that arise
during a CEI.
The Compliance Evaluation Inspection Manual was origi-
nally developed in 1976 by a working group consisting of EPA
Headquarters and Regional personnel including:
1. Ira W. Thompson
2. James Patrick
3. David Stoltenberg
4. Robert Reeves
5. G. R. Stigall
6. Gerald Klug
7. David Shedroff
8. Donald M. Olson
Meetings were held in Washington, D.C. and EPA Regions to
obtain maximum Regional input. Comments and suggestions were
requested from EPA Regional offices, NPDES approved States,
selected Federal Agencies, and Headquarters personnel.
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The original CEI Manual has been revised and updated as
needed in order to keep the Manual a useful working tool. This
revised Manual has been developed by David Rogers, Environmental
Engineer, Technical Evaluation and Support Section, Compliance
Branch, Office of Water Enforcement. Comments were solicited
from EPA Regional offices, State Water Program offices and
Headquarters personnel. Special thanks are due to the Regional
offices and Headquarters personnel, specifically, Edward S. Bender,
Biologist; Gary R. Polvi, Chief, Technical Evaluation and Support
Section; and Rosanne Light, Acting Chief, Compliance Branch, for
their guidance in developing this revised Manual. Also, commen-
dations are due to Mrs. Wilma L. Haney and Mrs. Mary F. Rogers of
the Technical Evaluation and Support Section secreterial staff
for their assistance in the preparation of this Manual.
Comments and suggestions tor revising and improving the Manual
are invited and should be directed to Chief, Compliance Branch
(EN-338), Enforcement Division, Office of Water Enforcement, U.S.
Environmental Protection Agency, 401 M Street S.W., Washington, D.C,
20460.
111
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SECTION 1
ADMINISTRATION
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1.
V>IOKK. ETHICS
A. Professional Stature
Inspectors are expected to perform their duties
in a professional and responsible manner. Inspectors
shall:
1. Develop and report the facts of an
investigation completely, accurately,
and objectively;
2. Conduct themselves at all times in accordance
with the regulations in the EPA handbook,
Responsibilities and Conduct for EPA
Employees (40 CPR Part 3);
3. Avoid, in the course of an investigation, any
act or failure to act which could be consid-
ered to have been motivated by reason of
personal or private gain; and
4. Make a continuing effort to improve their
professional knowledge and technical skill
in the investigation field.
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B,
Conflict of Interest
A conflict of interest may exist whenever an
EPA employee has a personal or private interest in
a matter which is related to the employee's official
duties and responsibilities. It is important to
avoid even the appearance of a conflict of interest
because the appearance of a conflict damages the
integrity of the Agency and its employees in the
eyes of the public. All employees must, therefore,
be constantly aware of situations which are, or
give the appearance of, conflicts of interest when
dealing with others in or outside the Government.
For a detailed discussion of the situations and/or
activities which may result in conflict of interest,
the inspector is directed to Employee Responsibilities
and Conduct (40 CFR Part 3).
Attire
Good public relations and common sense require
that you dress appropriately for the activity in
which you are engaged. Safety standards (see EPA
Occupational Health and Safety Manual) may dictate
requirements of a hard hat, safety glasses,
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respirator, long sleeve shirts, safety shoes, etc.
Consult your supervisor for Regional policy relative
to proper attire and be guided accordingly.
D.
Industry and Public Relations
It is important that cooperation be obtained
and good working relations established when working
with the permittees and the public. This can best
be accomplished by using diplomacy, tact, and per-
suasion. Even a hostile person should be treated
with courtesy and respect. Inspectors should not
speak of any person, other regulatory agency,
manufacturer, or industrial product in a derogatory
manner.
E,
Gifts, Gratuities, Favors, and Luncheons, Etc.
An EPA employee is forbidden to solicit or
accept any gift, gratuity, entertainment (including
meals), favors, loans, or any other thing of monetary
value from any person, corporation, or group which:
1) has a contractual or financial relationship with
EPA, 2) has interests which may be substantially
affected by such employee's official actions, or
3) conducts operations which are regulated by EPA.
Acceptance of food and refreshments of nominal value,
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such as a luncheon during a plant tour where the
arrangements are consistent with the transaction
of official business, is an exception to the above
stated general rule.
P.
Attempted Bribery
You may be offered money in varying amounts by
persons whose activities you are investigating. Such
incidents usually arise from ignorance on the part of
an individual v/ho is unfamiliar with EPA Inspectors.
Other cases may be outright attempts to bribe you to
whitewash a serious violation or condition, or to
cause you to withhold damaging information or
observations. Inspectors shall:
1. Ask "What is this for?" if they are offered
something of value;
2. Explain politely, if the offer is repeated,
that both parties to such transactions may
be guilty of violating the Federal statutes;
3.
Not accept money or goods of any kind; and
4. Immediately report the incident in detail to
their supervisor.
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II.
DISCLOSURE OF OFFICIAL INFORMATION
A.
Requests for Information
1. General
EPA has an "open door" policy on
releasing information to the public. It
aims to make information about EPA and its
work available, freely and equally, to all
interested individuals, groups, and organi-
zations. This policy, however, does not
extend to information relating to the sus-
picion of a violation, evidence of possible
misconduct, or information for which the
company has claimed confidentiality.
2.
Media Contacts
Inspectors .should cooperate with repre-
sentatives of the press, other communications
media, and interested groups. Information
/
concerning the Agency's responsibility for
inspections, monitoring activities and investi-
gations of alleged NPDES permit violations, and
water enforcement policy should be referred to
the Regional Enforcement Director for response.
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13,
Request by State and Local Cooperating Officials
State and local water enforcement officials,
cooperating with EPA in the enforcement and
implementation of the Act, are permitted access
to official information subject to approval by the
appropriate Regional official. Although inspectors
are not responsible for answering requests for the
release of confidential information, they should
keep informed as to who is permitted access to
such information. Consult with your supervisor
immediately after receiving such a request.
Confidential Information
1. Section 308(b) of the Act addresses the
protection of trade secrets and confidential
information.
2. A permittee may claim confidential treatment
on any information the inspector requests or
has access to while on-site. Once a claim is
made, the inspector must honor the request and
initiate the procedure listed below. The EPA
legal office, not the inspector, will
determine the validity of the claim.
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Inspectors, either EPA or contractors, shall
not sign a pledge of secrecy, a confiden-
tiality agreement regarding information
received while inspecting the business.
Denial of entry based on claims of confi-
dentiality should be treated in the same
manner as a denial of entry as discussed
in Section 11 (V.) of this Manual.
All confidential information received shall be
marked as such, and a chain-of-custody record
maintained and placed in a locked filing
cabinet or a safe immediately following the
completion of the inspection.
a. Only personnel authorized by the
Regional Administrator, Division
Director, or Branch Chief shall
be allowed access to the file.
b. Copies of information marked
"trade secret" and/or "confiden-
tial" should not be made unless
authorized in writing by the
Regional Administrator, Division
Director, or Branch Chief.
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5. Requests for access to confidential
information by any member of the public,
or a State, local, or Federal Agency shall
be handled according to the procedures
contained in the Freedom of Information Act
Regulations (40 CFR Part 2). All such
requests shall be referred to the responsible
Regional organizational unit.
III.
DIARIES AND FIELD NOTES
A.
Responsibility
Each inspector will maintain a legible daily
diary containing an accurate and inclusive documen-
tation of inspection activity. Since the diary will
form the basis for later written files and reports,
it must contain only facts and observations.
Language will be objective, factual, and free of
personal feelings or other terminology which might
prove inappropriate.
Entries
The Government's case in a formal hearing or
criminal prosecution often hinges on the evidence
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gathered by the inspector. Vigorous Regional
enforcement efforts have increased the probability of
inspectors being called upon to testify. Therefore,
it is imperative that each inspector keep detailed
records of inspections, investigations, photographs
taken, etc. Field notes and observations should be
maintained in a bound, consecutively numbered note-
book. This data will serve as an aid in giving
testimony.
C.
Disposition of Diaries
The diary is a part of the EPA's Regional files
and should not be considered the inspector's personal
record. Diaries shall be held in field offices
indefinitely, pending disposition instructions from
the Regional Enforcement Director.
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SECTION 2
PREPARATION FOR INSPECTION
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I.
GENERAL
Along with the review of self-monitoring reports, the
Compliance Evaluation Inspection and other investigation
efforts are compliance functions. Compliance Evaluation
Inspections must be designed to accomplish meaningful
results, not just the completion of' a planned number of
inspections called for in a work schedule. These inspec-
tions must be considered an important mechanism in the
attainment of the Agency's goal of cleaning up the Nation's
waters.
II,
OBJECTIVES
The primary objectives of preparation for inspection
are:
A,
To obtain and review all Agency information
essential for conducting an effective inspection;
B
To permit completion of the 'scheduled number of
inspections in a timely manner; and
To minimize inconvenience to permittees by not
requiring them to either explain or produce
information which is already in the hands of
the regulatory agency.
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III. INSPECTOR'S RESPONSIBILITY
Inspectors are responsible for:
A. Knowledge of permit conditions, effluent
limitations, monitoring requirements, etc.;
B. Knowledge of applicable EPA policies and procedures;
C. Short-range inspection scheduling;
D. Adequate preinspection planning;
E. The compliance inspection itself;
F. Completion of follow-up procedures; and
G. Adequate records maintenance.
IV. PREINSPECTION TECHNIQUES
To achieve these objectives, several steps should be
taken:
A. Review compliance files consisting of pertinent
portions of permits and other related documents,
prior inspection reports and previously issued
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Deficiency Notices, the permittees' Discharge
Monitoring Reports, and other reporting data for
the determination of compliance/noncompliance
status;
B.
Review of other pertinent files that may be available
and maintained by State agencies, loca-1 planning
agencies (208 agencies), and other program offices
within EPA;
C.
D.
Develop an inspection trip schedule to promote
maximum utilization of available inspection
personnel and travel expenses; and
Establish procedures to call/contact inspection and
office personnel to insure that emergencies and
urgent requests for immediate attention (i.e., right-
of-entry denial) can be handled without unnecessary
travel or loss of time.
These steps will be outlined in more detail in the
succeeding sections of this Manual.
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V.
COMPLIANCE FILES
A. General
Noted below are materials pertaining to the
permittee with which the inspector should be familiar
prior to making the inspection. Because a summary of
the information will be needed for future inspec-
tions, a "compliance file" should be prepared for
each NPDES permittee. When inspectors take such
files with them on inspections, it assures them that
needed information for timely completion of an
inspection is readily available. Afterwards, the
file can be updated for the next inspection.
Generally, the "compliance file" should
include:
1. A copy of the NPDES and applicable State
permits;
2. A sketch or a copy of a U.S. Geological Survey
.map showing the waste facility location and/or
its effluent discharge point (overflow and by-
pass discharge points should also be shown);
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3.
A summary of names, titles, locations, and
phone numbers of the responsible persons
(operators, municipal or industrial officials)
involved with the permittee's water pollution
control programs;
8.
9.
A flow chart or summary of the present and
planned treatment and/or abatement facilities
(if appropriate, include industrial production
processes);
Inspection reports from previous inspections;
Previously issued Deficiency Notices and the
permittee's written response to the Notice
(if applicable);
The permittee's most recent Compliance Schedule
and Discharge Monitoring Report;
Section 308 letter (see Appendix) sent to the
discharger and the response (if applicable);
Any other recent correspondence and/or
regulatory action, noting the status of
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requested actions and/or compliance with
enforcement actions; and
10. Previous EPA studies, consultant's reports
and laboratory procedures describing non-
routine analyses.
B. Industrial Wastes
"Compliance Files" for nonmunicipal permits
should include a plot plan of plant facilities and
other diagrams pertaining to the facility showing:
1. Sources of raw water supply (intakes, wells,
etc.);
2. Water supply and waste treatment facilities;
3. Drainage and wastewater collection systems,
including appurtenances such as catch
basins;
4. By-passes;
5. Storage facilities, including solid waste
storage facilities;
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6.
Monitoring stations;
7. Effluent discharge points and receiving
waters; and
8. Manufacturing operations on a process flow
sheet.
All inspectors should find the compliance file
inherently valuable. it will often assure an
efficient and complete inspection in a minimum
amount of time.
Special attention must be given to the
preinspection review of names, titles and hier-
archical relationships of the operating and/or
administrative personnel for each permit. The
cooperation of municipal and industrial officials
involved in pollution control is essential for an
effective field inspection. This cooperation is
dependent upon a satisfactory professional rela-
tionship between the Agency, Industry, Municipal
and State personnel as well as upon a deserved
respect for the technical proficiency of the
Agency's inspectors.
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c.
Inspector's Obligation
The inspectors should:
1. Review and become familiar with the essential
information in each "compliance file" before
the on-site visit;
2. Review the inspection trip schedule to insure
that all inspections are conducted to optimize
time and minimize expenses?
3. File a projected route and stops with super-
visor before leaving on the inspection trips;
and
4. Check to see that a Section 308 letter has
been sent to permittees whose facilities are
scheduled for inspections It should be
noted, however, that in certain cases where
illegal discharges or dumping are suspected,
prior notification may not be practical or
appropriate.
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D- Equipment Needed by the Inspector
Depending on the facilities to be inspected,
equipment should consist of some or all of the
following items.
1. Personal Protection
See Section 10 of this Manual, "SAFETY".
2. Miscellaneous
a. Inspection forms
b. Inspector's diary/log book
c. EPA credentials
d. Clipboard (with appropriate
check-lists and pen/pencils)
e. Camera
f. Pocket calculator
g. Ruler
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h. Tape measure
i. Stopwatch
j. Handbook of flow tables and USDI Flow
Measurement Manual
k. Copy of the permittees most recent
NPDES permit
1. Copy of the CWA and applicable
regulations
m.
Sample bottles
n.
Thermometer
o.
Square
p. Level
q. Compass
It should be noted that this is a minimum list of
equipment which may be required by the inspector.
However, it is recognized that all the equipment may
not be needed on any given inspection.
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E.
Review of Inspection Check Lists
The Compliance Inspection Report .form, EPA Form
3560-3, was developed to insure that all necessary
areas of concern are reviewed during the inspection.
This report form or any subsequent revision is to be
used for all Compliance Inspections. The form con-
tains a listing of the items that must be checked on
each inspection to verify the permittee's compliance
status. Additional information concerning the
Compliance Inspection Report form is presented in
Section 12 of this Manual.
VI.
TYPES OF NPDES COMPLIANCE INSPECTIONS
NPDES Compliance Inspections are field inspections
which document the accuracy and completeness of
self-monitoring and reporting activities and provide
documentation and verification to justify and support
enforcement actions. In addition to the Compliance
Evaluation Inspection which is described in this Manual,
other types of NPDES Compliance Inspections have been
developed. The major objectives for each inspection type
are given below. For further information, the inspector
should consult the appropriate manuals which are listed
at the end of this manual.
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Performance Audit Inspection (PAI)
The PAI focuses on quality assurance of the
permittee's self-monitoring program by evaluation
of permittee performance and/or simulation of all
the steps in the NPDES self-monitoring process from
sample collection and flow measurement through lab-
oratory analyses, data workup, and reporting. The
PAI still includes the basic objectives and tasks of
a CEI and applies to both chemical and biological
self-monitoring programs. The PAI is more resource
intensive than a CEI because additional effort and
higher technical ability are required for in-depth
evaluation of the permittee's self-monitoring tasks,
but is generally less resource intensive than a
Compliance Sampling Inspection (CSI) because sample
collection and analyses are not a part of the
inspection.
Compliance Sampling Inspection (CSI)
During the CSI, a representative sample(s) of
a permittee's effluent is collected and chemically
analyzed. The results of the analyses are used
to verify the accuracy of the permittee's self-
monitoring program and reports, gather evidence for
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enforcement proceedings, determine the quantity and
quality of effluents, etc. In addition, a CSI
includes the same objectives and tasks as a CEI.
Compliance Biomonitoring Inspection (CBI)
A CBI evaluates the biological effect of a
permittee's effluent discharge(s) on test organisms
through the utilization of acute toxicity bioassay
techniques. In addition, this inspection includes
the same objectives and tasks as a CEI.
Discharge Monitoring Report/Quality Assurance
Inspection (DMR/QA)
A Compliance Evaluation Inspection (CEI) for
DMR Quality Assurance (QA) includes the same objec-
tives ,and requires the same resources as a typical
CEI, but it focuses on limited aspects of quality
assurance in the permittee's self-monitoring program
as follow-up on DMR/QA performance sample findings.
The DMR/QA type of CEI does not involve the thorough
evaluation of a permittee's self-monitoring program
that is done during a Performance Audit Inspection
(PAI).
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SECTION 3
TREATMENT FACILITY REVIEW
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AUTHORITY
Section 308 of the Act authorizes the Administrator to
require the owner or operator of any point source to:
A.
Establish and maintain records;
B.
Prepare reports;
C. Install, use, and maintain monitoring
equipment or methods (including biological
monitoring methods where appropriate);
D.
Sample effluent as prescribed; and
E. Provide other information that may
be reasonably required.
Also, the Administra-tor, or authorized representatives
(which include EPA inspectors and contractors retained by
EPA) upon presentation of credentials are authorized to:
1. Enter into, upon, or. through
premises in which an effluent
source is located or in which any
required records are maintained;
and
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2. At reasonable times, have access
to and copy any records, inspect
any required monitoring equipment
or method and sample any effluents
which the owner or operator is
required to sample.
Under Section 309 of the Act, EPA can issue a compliance
order or bring a civil action for any Section 308 related
NPDES permit condition.
II.
GENERAL
A.
Limitation of Inspection
The Compliance Inspection program will normally
be restricted to inspections of effluent discharge
sources in support of the NPDES permit program.
However, other sources of water pollution or poten-
tial pollution, including nonpoint sources, observed
by inspectors should not be ignored. They should be
reported to the appropriate EPA organizational unit
or State Water Pollution Control Agency for proper
action. In addition, observations of concern to
other Federal agencies such as FDA and OSHA should
be referred when appropriate.
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Timing o£ Inspection
All inspections should be conducted at
"reasonable times" as defined in Section 11 of
this Manual, "ACCESS AND WARRANTS". However, in
some instances day-shift flows may not be truly
representative of industries or contributing
industries because of flow variation or process
discharge procedures. In addition, some municipal
wastewater facilities treat major industrial waste
during times other than weekday shifts. Therefore,
it may become necessary to conduct the inspection
other than during weekday shifts.
III.
OBJECTIVES
A Compliance, Evaluation Inspection is undertaken to
accomplish one or more of the following objectives:
A. Observe the status of construction required by
the permit;
B. Assess the adequacy of the permittee's
self-monitoring reporting program;
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C. Check on the completeness and accuracy of the
permittee's performance/compliance records;
D. Evaluate the permittee's operation and
maintenance activities;
E. Determine if permit requirements are being
met; 'and
F. Assess the adequacy of the permit.
IV. INSPECTOR'S OBLIGATIONS
In making field contacts, the principles or rules an
inspector should follow are:
A. Enter the permittee's premises through the main gate
or through the entrance designated by the permittee
in response to the Section 308 letter;
B,
In a dignified, courteous manner, introduce yourself
as an EPA inspector to the owner, operator or agent
in charge;
Present your official EPA credentials whether or not
identification is requested;
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Do not sign "waiver" or "visitors releases" (U.S.
EPA inspectors only) that absolve the permittee of
responsibility for injury due to the permittee's
negligence;*
E,
If possible, make prior arrangements for a joint
inspection with the operator in those cases where
full-time attendance is not provided; and
Complete the inspection in a timely manner. Any
problems experienced that greatly forestall or
prevent the completion of the inspection should
be reported promptly to your supervisor.
*If the owner refuses entry without a signed
waiver, the inspector should refuse to sign it,
leave and immediately report the matter to the
Regional Enforcement Director in the same manner
as other refusals of entry (See Section 11 of this
Manual.
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V. INSPECTION PROCEDURES
A. Scope of Inspection
1. The inspection of any permittee's premises
includes: any building, structure, facility or
installation trom which there is or may be the
discharge of pollutants.
2. The inspector has access to all areas of the
permittee's premises where:
a. Pollutants are generated, pumped,
conveyed, treated or stored or may be
discharged;
b. Records referred to in Section 308 of the
Act or in the discharger's NPDES permit
are located; and
c. Any monitoring equipment or monitoring
methods referred to in the NPDES permit
are located or conducted.
b. Preinspection Discussion with Management
1. If necessary, the inspector should explain
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that Section 308 of the Act authorizes entry
in£o any premises from which there are or may
be the discharge of pollutants or in which any
records required to be maintained are located.
2. Discuss other applicable provisions of the Act
and, if requested, furnish a copy of the Act,
and appropriate regulations. If such infor-
mation is not readily available, the inspector
should inform the permittee where it may be
obtained.
3. A joint review of most recent self-monitoring
reports and field reports is usually mutually
beneficial, especially if violations or
apparent violations of discharge requirements
are involved.
C.
Conducting the Inspection
1.
General
To fully evaluate the overall plant
operation an inspector should have a full
understanding of each treatment process, how
each process fits into the overall treatment
process and the "upstream" conditions that
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affect treatment operations. A good under-
standing of operating details is invaluable
and will enable the inspector to determine
if operating personnel understand how the
unit operations and processes, individually
and collectively, perform their functions.
(Caution; In the course of an inspection,
an inspector may observe, or be asked about
the operational problems that can be readily
corrected by providing advice or assistance
to the operator. Where the inspector is
knowledgeable about plant operations and
simple actions to improve plant performance
can be readily identified, such advice or
informal assistance may be given. However,
caution must be exercised to ensure that
the State's or Agency's regulatory posture
with respect to subsequent enforcement
action is not compromised. Any advice or
informal assistance offered by the inspec-
tor must be adequately documented in his/
her field diary.)
Recommendations for major corrective
actions must not be made at the time of
inspection but rather reviewed with appro-
priate enforcement personnel following
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the inspection and submitted to the permittee
in writing subsequent to the review.
2.
Industrial
Because of the wide variety and the
complex nature of industrial wastes, special
knowledge and techniques are essential for
adequate compliance inspection of industrial
facilities. The inspector must have
knowledge of:
a.
*>
Flow diagram of water uses, schematic
diagram of the processing opeations
including wastewater sources, and flow
diagram of the wastwater streams incor-
porating all treatment systems and
outfalls;
b. Water intakes, distribution, uses,
reuses and consumptive uses, as well
as the hydraulics of drainage and
collection systems for. process waters
and wastewaters;
Nature of the processing operations
such as continuous, semicontinuous
and/or batch, as well as the types
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of wastewater discharges. The major raw
materials, intermediates, byproducts, and
products associated with the manufactur-
ing and the characterization of all
wastewater, gaseous and solid waste dis-
charges from the plant; and
d. A description of the in-plant and final
wastewater treatment methods utilized
including the disposal of all sludges
and other residues produced by the
plant.
On an initial facility visit, it may be
advantageous to have the plant engineer or
chief operator describe the plant and its
principal operating characteristics as a
supplement to the inspector's review of plans
from the compliance file. This step will help
to orient you and give an indication of how
well the operating personnel understand the
system.
3.
Treatment Observations
During the plant tour the inspector
should be alert and inquire about:
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a. Accumulations of solids and scum in wet
wells, excessive scum buildup, grease,
foam or floating materials in tanks;
b. Surcharging of influent lines, over-flow
weirs and other structures;
c. Obnoxious odors in wet wells, grit
chambers, around aerobic and anaerobic
biological units, scum removal devices
and sludge handling facilities;
d. Vital treatment units out of service for
repairs. Determine when they were taken
out of service, the type of failure and
when the units will be put back in
service;
e. Excessive weed and tule growths in
stabilization ponds, etc. Check
maintenance of earthen retention walls
(dikes) and for breaches, or leaks;
f. Freezing wastewater in ammonia stripping
towers and formation of excessive calcium
carbonate deposits on tower structures,
fouling of fabric in microscreens with
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grease and solids and mechanical fouling
of activated carbon columns;
g. Alternate discharge points/ channels or
other areas likely to have overflows.
Discoloration on the ground may indicate
past spills at the plant and further
investigation may be warranted;
h. Sludge decomposing in clarifiers as
indicated by gas bubbles rising to the
surface or by floating sludge pads;
i. Any unusual equipment such as special
pumps, floating aerators in diffused
air systems, chemical feeders, tem-
porary construction or structures, or
any jerry-rigged systems intended to
correct operational problems;
j. Excessive suspended solids, turbidity,
foam, grease, scum, color, and other
macroscopic particulate matter in the
plant effluent and the receiving waters;
k. Collected screenings, slurries, sludges or
other by products of treatment. Their dis-
posal, including the runoff of wastewaters,
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must be in such a manner as to prevent
entry into navigable waters or their
tributaries;
Alternate power sources which can be
used during electrical failures to
prevent the discharge of untreated or
inadequately treated wastes;
m.
Infiltration and inflow problems;
n. Spills or mishandling of chemicals;
and
o. Proper storage of chemicals and hazardous
substances, noting whether storage areas
are properly diked.
4.
Process Verification: Industrial
Industries frequently make production
changes because of the introduction of new
technology, new products, new processes, etc,
Therefore, the inspector should inquire:
a. If a permittee has made any changes in
production processes, raw material,
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amount of finished product, water usage,
waste treatment processes or other such
changes. Specifically, the inspector
should determine if the permittee has
made any process or production modi-
fications that would change the types
or loads of pollutants respectively,
so the permit can be updated to reflect
these modifications; and
b. If the EPA (or the State) was notified
of such changes. The inspector should
verify any changes and include the
results of the findings and other per-
tinent information in the Compliance
Inspection Report form.
5.
Maintenance
Good operation and good maintenance go
together. Good maintenance indicates that
plant operating personnel are giving adequate
emphasis to the plant's facilities and per-
formance. Sloppy maintenance may indicate
the operator's lacK of concern or ability.
The usual result is a number of problems,
including poor operation and the discharge
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of excessive pollutants into the receiving water
and/or atmosphere.
The inspector should inquire about the
maintenance programs for:
a. All aspects of preventive, routine and
remedial maintenance proyrams including
spare parts inventory;
*,
b. Emergency operating and response
programs;
c. Qualifications, training, and
certification of plant personnel;
d. Alarm systems for power or equipment
failures and whether alternate power
sources are available; and
e. The regularity of housekeeping throughout
the plant.
VI. POST-INSPECTION DISCUSSION WITH MANAGEMENT
To achieve the most effective results from Compliance
Evaluation Inspections, it is essential to have timely
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communication of the results to management and/or operating
personnel. Failure to discuss the results can cause a loss
of mutual respect. When this occurs, it is a deterrent
to good inspector-operator relations and understanding.
However, the inspector's discussion should be limited to
specific findings of the visit. If appropriate, a com-
parison of these facts with the permittee's NPDES permit
requirements should be made.
The inspector may issue a Deficiency Notice following
an inspection which uncovered existing or potential prob-
lems in a permittee's self-monitoring program. Issuance
of the Deficiency Notice at the completion of an inspection
provides a swift and simple method for improving the
quality of data from NPDES self-monitoring activities.
However, the Enforcement Office of the regulatory authority,
not the inspector, will continue to handle violations
relative to compliance schedules for effluent limitations.
A.
Precautions and Guidelines
Although a discussion of the inspection results
is important, certain precautions are essential.
\
The inspector must:
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1. Realize that it is an unacceptable practice
to recommend a particular consultant or con-
sulting firm even if asked to do so. The
fully ethical and acceptable alternative is
to inform the permittee, operator, or agent
to contact a professional society for advice
concerning this matter;
2. Be careful not to provide any advice or
assistance that would prejudice the Agency's
case in a subsequent enforcement action or
which would compromise the Agency's or State's
authority to require full compliance with the
effective permit;
3. Not discuss compliance status or any legal
effects or enforcement consequences with the
permittee or facility operating personnel.
The facility's compliance is determined by
the Enforcement Division upon review of the
Compliance Inspection Report; and
4. These guidelines are subject to applicable
rules promulgated by the Regional
Administrator or State Director regarding
permittee contacts in the Region/State.
3-17
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SECTION 4
RECORDS AND REPORTS REVIEW
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I.
AUTHORITY
The NPDES permit system, as authorized by Section 402
of the Act, requires permittees to maintain records and to
report periodically on the amount and nature of the waste
components in their effluents. Section 308 of the Act
authorizes inspections of such required records and
reports.
II.
GENERAL
An inspection for the purpose of determining
compliance with the Agency's record keeping and report
filing requirements generally will be limited to an inspec-
tion sufficient to determine if the permittee (1) keeps and
files the required records; (2) maintains records in an
up-to-date manner; (3) retains them for the time period
required by the NPDES permit; and (4) needs assistance on
how to comply with the regulatory agency's requirements on
records and reports.
An in-depth review of a permittee's records and
reports will be conducted only when it is necessary to
substantiate a suspected violation, verify self-monitoring
data which may be used as corroborative evidence in an
enforcement action, to confirm apparent sampling, analysis,
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or reporting discrepancies uncovered during the compliance
inspection.
III. OBJECTIVES
The main objectives of a records and reports
review are to:
A. Assess compliance with the discharger's NPDES
permit limitations and requirements;
B. Allow Federal and State regulatory agencies to
follow, on a continuing basis, the discharger's
effluent quality trends as well as specific
variations from established limitations;
C. Help define the scope of a suspected violation
and thereby enable the regulatory agency to plan
the direction of its follow-up action;
D. Determine if the records and reports required by the
discharger's NPDES permit are being maintained; and
E. Check on the adequacy of the permittee's reports.
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IV.
INSPECTION PROCEDURES
Conducting the Review
A.
Cursory Review
On an initial visit to a permittee's premises,
the inspector should discuss the record keeping and
reporting requirements with management. This type
of review should use the check list contained in
Section G of the Compliance Inspection Report Form
and be limited to the verification of:
1.
The maintenance of sampling and analysis
data;
2.
The maintenance of daily operating logs.
The operating logs are important, and they
should be bound in notebooks to prevent
their alteration or destruction. Informa-
tion on the daily log sheet for a municipal
and some industrial plants should include:
a. A summary of all laboratory tests run;
b. A format for calculating BOD and
equivalent tests;
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c. Weather conditions (temperature,
precipitation, etc.); and
d. Chemicals used, such as pounds of
chlorine used per day.
3. The maintenance of management-generated
records, such as average monthly operating
records and annual reports, emergency
conditions, such as power failures, by-
pass and chlorine failure reports. These
records should be 'requested to facilitate
the inspector's review but the permittee is
only required to prepare and maintain those
specified by the NPDES permit, or by grant
requirements.
4. The maintenance of pretreatment records,
including industrial waste ordinance
(or equivalent documents), inventory of
industrial waste contributors including
compliance/noncompliance records and user
charge information.
5. The maintenance of laboratory records,
including all original strip charts from
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continuous monitoring instrumentation and
calibration and maintenance records.
6.
The maintenance of plant records*. These
include:
a. o&M Plant Manual;
b. "As built" engineering drawings;
c. Copy of construction specifications;
d. Equipment supplier manual; and
e. Data cards on all equipment.
7.
A well developed Best Management Practice
Program including a properly completed Spill
Prevention Control and Countermeasure Plan,
if required.
*Preferably/ these items should be avail-
able but they are only required for those
facilities built with Federal construction
grant funds.
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8. The retention of records for a minimum of
three years.
9. The conformity of required self-monitoring
results with permit requirements and
consistency with other operating data.
B. In-depth Reviews
This inspection may be conducted primarily to
check records and reports. For example, such an
review may be warranted:
1. If the self-reported data are suspected to be
grossly inaccurate and the problem is believed
to be with the record keeping and/or the
filing of reports;
2. If the discharge does not meet required
standards and no definite operational problem
areas have been established; or
3. If the cursory review indicates omissions
or laxity in the preparation of records.
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c.
REFUSAL TO ALLOW REVIEW
Consult Section 11 of this Manual and advise
your supervisor of the refusal to allow review and/
or copy of records.
4-7
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SECTION 5
COMPLIANCE SCHEDULE STATUS REVIEW
-------
-------
AUTHORITY
Pursuant to the general authority to issue permits in
Section 402 of the Act, regulations have been issued
outlining procedures to be followed in setting compliance
schedules for permittees whose abatement facilities require
modification in order to meet the effluent limitations set
forth in Section 301 of the Act. Sections 122.7(1)(5) and
122.10(a)(4) of the May 19, 1980, Consolidated. Permit
Regulations requires permittees to furnish periodic reports
of progress and current status. The guidance contained in
this section does not apply if the permit does not contain
a compliance schedule.
II.
GENERAL
All 'point source dischargers shall conform to
treatment requirements set forth in Section 301 of the Act.
The Agency is concerned that compliance schedule status be
determined at critical intervals to assure that abatement
is attained on schedule. This phase of the inspection is
not appropriate for facilities which have achieved final
effluent limitations.
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III. OBJECTIVES
The objectives of this phase of the Compliance
Inspection are to determine:
A. The accuracy of reports relating to compliance
schedules;
B
Whether the permittee is currently conforming to the
compliance schedule and, if not, whether final
requirements will be achieved on time;
Whether schedule violations, if any, are the result
of matters beyond the control of the discharger;
The delay associated with a particular construction
violation; and
Whether requests for permit modifications have a
valid basis.
IV. INSPECTION PROCEDURES
A. Inspector's Obligations
The inspector should determine whether these
objectives are being achieved. To do this properly,
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the inspector must become thoroughly familiar with
the compliance schedule requirements of the permit
and with the permittee's progress reports. The
inspector should be able to determine, primarily
from the permittee's project files, whether com-
pliance with interim schedule requirements has
been achieved. Using section J of the Compliance
Inspection Report Form, the inspector should also
review appropriate documents and make a supplemental
visual observation of the construction project and/
or equipment installation to confirm the determina-
tion of compliance status indicated by the project
files.
B.
Conducting the Inspection
1- Authorization and Financing
If the necessary treatment works are not in
place, the inspector should ascertain whether
the permittee has authority to construct the
necessary installation (corporate resolutions,
etc.) and has made arrangements for proper
financing (mortgage committments, etc.).
2.
Contract and Equipment Orders
The inspector should review the appropriate
documents to determine:
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a. If contracts for engineering services
have been executed. Review to determine
the specific date of execution and dates
for completion of design plans and
specifications;
b. That the permittee has obtained the
necessary approvals from the appropriate
agencies in order to begin construction;
c. If bids have been advertised. Review
a copy of the advertised "request for
proposal";
d. If construction contracts have been
executed. Review to determine the dates
of execution/ the start, completion and
scope of construction;
e. If equipment contracts have been
executed. Review to determine their
validity, the name and address of the
supplier, the dates of execution,
schedule delivery dates, and the
identification of equipment.
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3. Construction Progress
In this area it is important to know if
contracts for labor and material are timely
and that the permittee or the permittee's
engineering consultant are monitoring prog-
ress. These aspects are extremely important,
,-.., particularly for plants where there is likely
to be numerous contracts for labor and equip-
ment. If the permittee or the engineering
consultant reports that construction or the
acquisition of equipment is behind schedule,
the inspector should:
a. Ask to see the permittee's or the
resident engineer's progress report and
determine whether the report indicates
that the final compliance schedule date
required by the permit can be met;
b. If the report indicates that the final
date will not be met, advise the per-
mittee that the compliance schedule of
the NPDES permit requires the permittee
to notify the permit issuing authority
promptly of any possible delay in
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achieving compliance and of measures
taken to minimize the delay;
c. Inquire whether the facility superin-
tendent or chief operator and operating
personnel are receiving adequate training
concerning the operational aspects of the
new treatment unit, while construction
work is in full progress. They must be
ready, and have the capability, to
perform the minimum essential operating
functions when the facility is placed in
service.
4. Attainment of Operational Status
If construction has been completed but opera-
tional status not yet attained, the inspector
should determine whether appropriate procedures
are being used to assure attainment of working
levels at the earliest possible time.
The inspector should verify whether:
a. Adequate self-monitoring program
<
procedures have been initiated. It
is especially appropriate that the
5-6
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operational and e££luent quality results
be reviewed to determine whether progress
is being made toward optimum efficiency
in each treatment unit and in the entire
plant;
b. Adequate work schedules and assignments
have been established. For municipal
facilities, the O&M Manual should provide
the essential guidance in this regard;
c. Adequate record keeping procedures have
been established and initiated.
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SECTION 6
SELF-MONITORING PROGRAM REVIEW
-------
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AUTHORITY
Section 308(a)(B)(ii) of the Act authorizes the
Administrator or his authorized representative, upon
presentation of credentials, to inspect monitoring
equipment and methods required by permits issued under
the NPDES program.
II.
OBJECTIVES
The objective of this phase of the Compliance
Inspection is to:
A.
Confirm that representative samples are being
obtained for each wastewater discharge and that
the sampling and flow measurement equipment meet
the specifications required in the permit and are
being properly operated and maintained;
B,
Verify that the analyses are being performed with
the proper equipment and by persons who have the
requisite skills;
Confirm that the analytical test methods used for
pollutants or parameters specified in NPDES
permits conform with the Agency's regulations as
specified in the Federal Register (40 CFR Part
136) .
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III.
INSPECTION PROCEDURES
Inspector's Obligations
The inspector should determine the conformance
of the permittee's self-monitoring program with the
permit and appropriate regulations. To do this
properly the inspector must become thoroughly
familiar with the monitoring requirements as con-
tained in the permit and any pertinent documents
which may have modified or reestablished sampling
points or analytical procedures. Using Section K of
the Compliance Inspection Report Form, a review
should be made of appropriate documents and a visual
inspection made of flow measurement, sampling and
analytical equipment and facilities.
B,
Conducting the Investigation
1. Flow Measurement; Weirs
The inspector should confirm that flow measure-
ment devices utilized are appropriate for the
waste stream being measured. In addition, the
inspector should verify that each device is
free of sticks, rags and other debris and that
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it is properly installed. Proper installation*
of a weir means that:
a. The device is installed exactly level;
b. The weir plate is plumb and the top
edge is sharp and clean;
c. There is free access for air below the
nappe of the overflowing stream;
d. The channel upstream from the -weir is
reasonably straight, level, and free from
disturbing influences so that the stream
assumes a quiet flow; and
e. The stilling basin is of sufficient size.
*These criteria apply to sharp-
crested weirs. However, a permittee could
have a broad-crested weir with a developed
rating curve. The inspector should verify
that the proper curve is being used. For
a more detailed discussion of flow
measurement techniques see Section VI of
the NPDES Compliance Sampling Inspection
Manual.
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2. Flow Measurement; Other Devices
Other types of flow measuring devices used in
municipal and industrial applications include:
a. Parshall flume,
b. Venturi meter,
c. Magmeter,
d.
Palmer-Bowlus flume, and
e.
Orifice Meter.
It is not within the province of this Manual to
discuss and describe the various flow measure-
ment devices since those details are readily
available in other publications. For such
detailed information the inspector should con-
sult the EPA Handbook For Monitoring Industrial
Vifastevvater, the Department of Commerce, National
Bureau of Standards - Publication 421, A Guide
To Methods And Standards For The Measurement Of
Water Flow or the Department of Interior, Bureau
of Reclamation's Water Measurement Manual.
All flow measuring devices are subject to
calibration. Therefore, the inspector should check
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to determine if calibration records are available,
the most recent date of calibration and the flow
measurement accuracy obtained. Then comparison
should be made with the manufacturer's accuracy for
the device. The inspector should check to see if
proper and accurate rating curves or tables are being
used for accurate measurement of flows.
3.
Flow Recording; Continuous Measurement
This requires permanent recording devices with
a strip chart or circular chart. The inspector
should verify that a continuous recorder exists,
that it is being operated properly, and that
flow records are being kept on file.
4. Sampling
The inspector should verify:
a. That samples are taken at the locations
prescribed in the NPDES permit;
b. That the sampling locations specified in
the permit are adequate to provide well
mixed and representative samples;
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c. That the frequency of sampling (grab sam-
ples and sampling interval for composites)
is in accordance with the NPDES permit;
d. That grab sample devices, if used, are
clean and are properly operated;
e. That sample containers are clean and
appropriate for the parameter(s) to be
analyzed;
f. That automatic sample collectors, if used,
operate properly. Refrigeration should be
provided for certain parameters such as BOD
and TOG. In winter, samples should be
protected from freezing;
g. The chemical preservatives used for
composite (time) samples and for grab
samples which are not analyzed
immediately following sample collection
are in accordance with 40 CFR Part 136;
h. That samples are received and analyzed
within holding times specified in the
appropriate method of analysis;
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i. If there is more than one sampling point,
verify that appropriate measures are used
to prevent cross contamination between
samples and that sample containers are
properly identified; and
j. That all field testing equipment is
routinely calibrated.
6. Laboratory; On-Site
The inspector should review the latest EPA
guidelines establishing test procedures for
the analysis of pollutants, 40 CFR Part 136,
in order to verify:
a. That the specific methods of analysis
used are approved for the particular
parameter, or are an approved alternate
method;
b. That the laboratory has written instruc-
tions on the methodology employed;
c. That quality control methods such as the
analysis of blank, spiked, and split
samples are employed;
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d. That the presence of known interferences in
the analyzed samples is established and
steps taken to remove the interferences;
e. That laboratory personnel are familiar
with the analysis being performed
including:
1) The associated quality control
procedures;
2) Procedures for cleaning equipment;
3) Reagent quality control, including the
source of distilled water, frequency of
regeant standardization, and reagent
shelf life;
4) Media preservation and sterilization
techniques;
5) Use of bench cards and/or notebooks;
6) Use of available analytical
instrumentation; and
7) Calculation of results.
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f. That "sign off" procedures which identify
the person performing a specific portion
of an analysis are utilized when several
technicians are responsible for the
complete analysis.
g. That for analyses performed using automatic
sampling and analytical instrumentation,
the device(s) is identified by manufac-
turer model, etc., and the operation,
calibration, and procedures followed are
noted; and
h. That the location of the laboratory
equipment and/or instrumentation is
noted.
7. Laboratory; Off-Site or Contract
For "off-site" analyses performed by a contract
laboratory, the inspector should verify:
a. The name and address of the contract
laboratory;
b. The permittee's procedures for the labeling
and shipping of samples to the contract
laboratory;
That the results reported by the laboratory
use the discharger's NPDES permit number.
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The inspector, if appropriate, may
issue a Deficiency Notice when discrep-
ancies are uncovered as a result of the
inspection of the permittee's laboratory
and/or procedures. However, the Regional
laboratory should be contacted to deter-
. m,ijje .whether an. in.-de.pth evaluation, such
as a Performance Audit Inspection is
warranted. Inspectors should be careful
not to draw the conclusion that a permit
violation exists every time deficiencies
are uncovered. Nevertheless, deficiencies
should always be called to the Enforcement
Division Director's attention for
appropriate corrective action.
IV.
QUALITY ASSURANCE
Objectives
The purpose of this section is to provide general
guidelines which the inspector can utilize to evaluate
a permittee's quality assurance program. The
Consolidated Permit Regulations, May 19, 1980, Section
122.7(e) states that appropriate quality assurance
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procedures are needed to assure proper operation and
maintenance of facilities and systems used for
collection and treatment of wastewater.
The permittee's NPDES Quality Assurance (QA)
Program should be documented and include quality con-
trol procedures which the laboratory personnel are
required to follow. These quality control checks
should address all major constituents of NPDES self-
monitoring process including but not limited to the
following:
1. Skills and training;
2. Wastewater sampling;
3. Laboratory services;
4. Selection of reagents;
5. Cleaning and proper use of glassware;
6. Instrument selection;
7. Analytical performance;
8. Microbiological testing; and
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9. Data handling and reporting.
Quality assurance programs have two primary
functions in promoting analytical data improvements.
First, the programs should continually monitor the
reliability (accuracy and precision) of the results
reported. This function evaluates the quality of the
data. The second function is to control the quality.
As an example of the distinction between the two
functions, the processing of spiked samples may be a
determination of measurement quality; but the use of
analytical grade reagents is a control measure.
Each analytical method has a rigid protocol.
Similarly, Quality Control (QC) associated with a
test must include definite steps for monitoring the
test and insuring that its results are correct. The
steps in QC vary with the type of analysis. In any
instrumental method, calibration and checking out of
instrumentation response are also QC functions. All
of the experimental variables that affect the final
results should be considered, evaluated and
controlled.
B,
Procedures
The following provides a brief summary of the
techniques which must be monitored and controlled by
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the permittee's quality asurance program. Control
of these elements will assure that analytical results
are more reliable. While this list only highlights
the major areas which a typical quality assurance
program should address, the March 1979 "Handbook for
Analytical Quality Control in Water and Wastewater
Laboratories" provides a much more detailed discussion
and should be referenced.
1.
Skills and Traini
ng
Analytical operations in the laboratory
can be graded according to the degree of
complexity. Some analyses require no sample
treatment, and the measurement can be per-
formed in minutes on a simple instrument.
Other determinations require extensive sample
preparation prior to complex instrumental
examination. Consequently, work assignments in
the laboratory should be clearly defined. Each
analyst should be completely trained and should
fully understand all the assignments of his/her
job before being given new responsibilities. in
this regard, all analysts, subprofessional or
professional, should be thoroughly instructed in
basic laboratory operations, according to the
degree of professional maturity.
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2.
Wastewater Sampling
a. Collection of representative samples at the
site designated in the NPDES permit, in an
area where the effluent is well mixed;
b. Correct procedures are utilized when
obtaining grab and/or composite samples;
c. Proper operation and maintenance of flow*
measuring devices and flow totalizers are
employed;
d. Proper sample preservation, identification
and handling techniques are being
employed;
e. Duplicate, split and spiked samples
included at random without the knowledge of
the analyst at least once per ten sample
analyzed; and
f. Proper calibration of field equipment.*
*Manufacturers operating manuals
should be referenced for maintenance and
calibration requirements.
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3.
Laboratory Services
a.
Distilled Water
1) Each type of chemical analysis
requires a specific grade of dis-
tilled water. The more qualitative
the analysis the higher the grade of
water needed.
2) The still must be maintained and
cleaned periodically.
3) Pretreatment of incoming feed water
by using either carbon filtration or
mixed-bed ion exchange may be needed
to produce the refined grade of
distilled water.
4) Certain chemical analyses require
ammonia-free water, carbon dioxide-
free water or ion-free water; and all
must be properly prepared and used as
needed.
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b.
Electric Services
Instruments such as spectrophoto-
meters, flame photometers, atomic absorp-
tion equipment, emission spectrographs,
and gas chromatographs have complicated
electronic circuits that require constant
voltage to maintain stable, drift free
instrument operation. Voltage regulation
is necessary to assure optimum performance
of this equipment.
4.
Selection of Reagents
a. Reagent Quality - all reagents, solvents
and gases used in the laboratory should be
at least "Analytical Reagent Grade" (AR).
b. Elimination of Determinate Errors - all
reagent, solvents and gases should be
checked to see that they are free of
interfering substances under the condi-
tions of the analyses.
Cleaning and Proper Use of Glassware
Laboratory glassware, such as Pyrex or
Simex, is to be used throughout the
laboratory.
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6.
b. Volumetric glassware should be carefully
selected. The proper selection is depen-
dent on how accurate the volume of the
solution must be measured in accordance
with a specific type of an analysis.
Glassware marked "To Contain" (TC) will
contain the amount of liquid measured.
Glassware marked "To Deliver" (TD) will
deliver the amount of liquid measured.
c. Method of cleaning should be adapted to
both the substances that are to be removed,
and the determination to be performed.
Instrumentation*
a.
Analytical balances should be used in
the laboratory when a high degree of
precision is required. These balances
should be located in a secluded part of
the laboratory, properly mounted and
leveled, monitored and checked as needed
b. pH meters
*Manufacture's operating manuals
should be referenced for maintenance
procedures and requirements.
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1) Properly calibrated at the temperature
of the solution to be measured using
at least two buffers of known pH
bracketing the expected pH range;
2) Temperature compensating dial is to be
set at the temperature of the buffer;
and
3) Electrodes should be rinsed with
distilled water after each reading.
When the pH meter is not in use the
electrodes are to be immersed in a
buffer solution.
c. Conductivity meters - cell plates should be
maintained and serviced as needed.
d. Spectrophotometers
1) Proper light source and filter should
be utilized;
2) Wavelength alignment should be checked
periodically; and
3) Absorption cells should be kept clean
and free of scratches, fingerprints,
etc.
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e. Atomic absorption
1) Proper lamp should be used and
adjusted according to manufacturer's
recommendations.
2) The flame should be adjusted so that
the most sensitive area of the flame
for the specific element sought is
used.
Analytical performance
The accuracy of testing methodology is
evaluated indirectly through the reviewing of
standards and spike samples. in addition,
quality control charts for accuracy and pre-
cision should be developed for each parameter
and method of analysis.
Microbiology
Quality Control used in a microbiology
laboratory must emphasize the control of
laboratory operations and analytical procedures
because the tests measure living organisms that
continually change in response to their
environment.
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a. Microbiology laboratory review should
cover:
1) Sample collection and handling;
2) Laboratory facilities;
3) Laboratory personnel;
4) Laboratory equipment and
instrumentation;
e) Laboratory supplies;
f) Culture media; and
g) Analytical methodology.
b. Analytical QC for microbiology laboratories
should include:
1) Sterility checks;
2) Positive and negative controls;
3) Duplicate analyses;
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4) Single-analyst precision;
5) Comparison of results between
analyst;
6) Verification of membrane filter
analyses; and
7) Completing most probable number
analyses.
9- Data Handling and Reporting
a. Proper use of significant figures;
b. Data reported in bound notebooks;
c. Correct logging of data onto the Discharge
Monitoring Report form and other applicable
reporting forms.
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SECTION 7
i
MULTIMEDIA INSPECTIONS
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I.
AUTHORITY
A.
Water
The Agency's authority under Section 308 of the
Act is discussed in Section III of this manual.
B.
Air
Section 114 of the Clean Air Act authorizes
qualified inspectors upon presentation of
credentials:
1. To enter any premises in which an emission
source is located or in which any records
required to be maintained under the Act are
located;
2. At reasonable times, have access to and copy
any records and inspect any required monitor-
ing equiment; and
3. To sample any emissions which the owner or
operator is required to sample.
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c.
Toxic Substances
Section II of the Toxic Substance Control Act
allows a duly designated representative of the
Administrator to inspect any establishment, facility,
or other premises in which chemical substances or
mixtures are manufactured, processed, stored, or held
before or after distribution in commerce and any con-
veyance being used to transport chemical substances,
mixtures, or such articles in connection with
distribution in commerce.
D,
Pesticides
Section IX of the Federal Insecticide, Fungicide
and Rodenticide Act, as amended, allows a duly
authorized inspector to inspect and obtain samples of
pesticides or devices (after release for shipment) and
samples of containers and labeling.
Solid Waste
Section 3007 of the Resource Conservation and
Recovery Act allows a duly authorized inspector:
1. To enter at reasonable times any establishment
or other place maintained by any person where
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hazardous wastes are generated, stored, treated,
disposed of, or transported from; and
2. To inspect and obtain samples from any person
of any such wastes and samples of any containers
or labeling for such wastes.
II.
INSPECTOR'S RESPONSIBILITY
It is the inspector's responsibility to assure that:
The Agency's goals in abating and controlling
environmental pollution are carried out without
undue delay;
B,
The Agency's credibility is maintained by reporting
all known sources of environmental pollution to the
\
appropriate Federal and/or State personnel for
appropriate action;
D,
All media inspections be totally coordinated to assure
compliance with all environmental requirements; and
All photographs used for documentation are properly
labeled and referenced to ensure admissibility as
evidence.
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III.
INSPECTION PROCEDURES
A.
Inspector's Obligations'
Inspectors shall:
Report all readily observable sources of
environmental pollution and occupational
health and safety hazards to their immediate
supervisors;
Become familiar with readily observable
indicators of environmental pollution and
any health or safety hazards encountered
when making inspections;
Be aware of the basic environmental require-
ments in other media programs to which a
specific source is subject; and
Be adequately trained in the use of special
techniques generally employed for a particular
*Compliance Evaluation Inspectors should
not attempt any type of environmental inspection
unless their credentials authorize such
activity/ and then only in compliance with all
statutory requirements.
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medium program before conducting in-depth
inspections. However, for cursory inspec-
tions, inspectors need not be well versed on
all environmental programs but only capable
of identifying potential problems.
B.
Conducting Multimedia Inspections*
In addition to water, inspectors should be
capable of investigating a facility's compliance
status with respect to air and land (solid wastes)
environmental requirements. One area where multi-
media inspections should be made is at a wastewater
treatment facility where two or more types of
environmental pollution (common source pollution)
are evident. For example, excessive odor problems
at aerobic biological treatment facilities may,,be
accompanied by the discharge of an inadequately
.treated effluent.
*For additional information concerning
inspection techniques utilized by other program
offices, inspectors should refer to references
listed in the Appendix of this Manual.
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Multimedia inspections must be properly
coordinated with appropriate inspection per-
sonnel of other environmental programs. This
procedure is essential to avoid a duplication
of effort and/or multiple coverage of an
establishment by more than one inspector. In
any case, inspectors should:
a. Inquire about the apparent cause and
sources of common source pollution;
b. Determine the steps being taken to abate
it; and
c. Include the above information in the
inspection report.
1. Air Pollution
Some of the readily observable indicators of
air pollution sources include:
a. Heavy plumes of black smoke;
b. Excessive and unusual odors;
c. Excessive dust and fugitive emissions;
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d. Severely damaged vegetation;
e. Excessive corrosion; and
f. Dust buildup on nearby homes, cars and
roads that could result from emissions
by a source.
2. Solid Wastes
Sanitary landfills and incinerators are also
types of waste disposal facilities amenable
to multimedia inspections as these sites are
often:
a. Used for the ultimate disposal of solid
residues resulting from the treatment of
wastewaters;
b. Located near treatment facilities and
frequently owned and operated by the same
NPDES permittees; and
c. Sources of gross surface and/or ground
water pollution.
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Inspection of landfills/solid waste disposal
cites is often essential to determine compliance
with the Act or NPDES permit requirements.
Multimedia inspections at such facilities can
be readily conducted in minimum time with mini-
mal expense. Readily observable indicators of
pollution and/or improper operations at solid
waste disposal sites include:
1) Refuse in direct contact with surface
or ground waters including water
ponding on site;
2) Leachate from the site entering
surface and/or ground waters;
» 3) Excessive odors and/or smoke;
4) Lack of maintenance of surface water
diversion barriers or dikes;
5) Inadequately incinerated solid wastes;
and
6) The acceptance of toxic or hazardous
wastes for disposal at a site where
such wastes are prohibited.
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SECTION 8
SPECIAL CONSIDERATIONS AND TECHNIQUES
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I.
CITIZEN COMPLAINT INVESTIGATIONS
A.
General
Every public agency, including EPA, is the
recipient of many citizen's complaints. From a
public relations standpoint, complaints should be
welcomed from those the Agency is supposed to serve
since this is one of several ways in which its over-
all surveillance activities may be improved. in any
case, field surveillance personnel may be called upon
to investigate complaints that concern reports of
alleged pollution, inquiries regarding discharges and
requests to abate specific problems.
B.
Conducting Complaint Investigations
Certain steps should be followed in handling
complaint investigations. The first is to determine
if sufficient information is available to conduct an
investigation. This should include:
1. The complainant's name, address and telephone
number;
2. Exact location of the alleged discharge or con-
ditions the complainant made reference to; and
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3.
Details of the complaint.
The next step is to check at once, if possible,
whatever records exist that might substantiate or
disprove the complaint. Following this, the appro-
priate State agency should be contacted to determine
whether it has any information regarding the complaint
and whether it wishes to make a joint investigation.
If possible, the operator or agent in charge of an
alleged discharge should also be present during the
investigation. In some instances, it is desirable to
have the complainant present during the investigation.
However, circumstances will dictate whether or not
this is wise.
If the complaint concerns a wastewater
discharge, the same information should be reported
as for a Compliance Evaluation Inspection, including
the circumstances of any property damage, fish, bird,
or wildlife kills or injuries.
When the investigation has been completed, the
discharger and complainant should be informed of the
results and that each can expect a timely written
response regarding the appropriate action that will
be taken to correct the problem.
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II. PHOTOGRAPHS
A. General
The Agency has the right to take photographs of:
1. Overall view, where possible, showing arrange-
ment, relative size and general condition of
the facility;
2. All sampling points;
3. Major process units within the waste treatment
facility;
4. Operation and maintenance conditions;
5. Effluent discharge points; and
6. Receiving water areas.
B. Purpose
The specific procedures to be followed when
an on-site photographic essay is used to supplement
a Compliance Inspection report are given below.
Photographic supplements will typically:
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c.
1. Aid in the explanation of problem conditions in
the v/astewater treatment plant and receiving
waters;
2. Assist the inspector in follow-up procedures;
3. Enable the inspector to prepare a more thorough
and accurate inspection report; and
4. Serve as evidence in enforcement proceedings.
Some photographically identifiable areas are:
bypass discharges, floating solids, excessive foaming,
iridescent sheen, discoloration, and unauthorized
discharge points. When performing a multi-media
inspection the above list may include solid waste
disposal sites and smoke-stack plumes.
Scope
When a situation arises which dictates the use
of a photographic essay, the inspector will obtain
the permittee's approval prior to the photographing of
any problem conditions. The inspector is to handle
any concerns or objections a permittee may have over
8-4
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the use of a camera in a tactful manner. When appro-
priate, the inspector may convey to the permittee
that waste streams, receiving waters and wastewater
treatment facilities are not trade secrets but public
information. In the event the permittee still refuses
to allow the use of a camera and the inspector feels
the photographs will have a substantial impact on
future enforcement proceedings, Regional enforcement
attorneys should be consulted for further instruc-
tions. At all times the inspector is to avoid
confrontations which might jeopardize the completion
of the inspection.
In some cases the Enforcement Division may
anticipate that permit violations of an enforceable
nature will be uncovered in an upcoming inspection
and request that the inspector photograph the
violations. In this case an agreement concerning
the use of a camera during the upcoming inspection
may be made between EPA attorneys and the attorneys
representing the permittee prior to the inspection.
The inspector is to be aware of any problems or
special arrangements this agreement has established.
J-5
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D.
Equipment
A single lens reflex camera should be used
whenever one is available. This type of camera will
give high quality photographs, enable the inspector
to use a variety of film speeds, and allow the use of
wide angle and zoom lenses.
All photographs should be taken using color
print film since additional equipment such as a
projector and screen are not needed for review of
the photographs. Also, if the photographs are used
in an enforcement proceeding, the negatives are
easily duplicated and the prints can be enlarged
and distributed as needed.
E.
Documentation
Whenever photographs are to be used as evidence
in an enforcement proceeding, they are to be handled
in such a way that a chain of custody can be estab-
lished. This chain of custody includes the handling
of the film before, during, and after development.
Also, before the services of a film processing
laboratory are contracted, the laboratory must sign
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a statement which guarantees that all film will be
processed using film developing techniques which will
not alter the undeveloped film in any way.
A photographic log should be maintained for
all photographs taken during an inspection, and the
entries are to be made at the time the photograph is
taken. The log entries are to be numerically
identified so that after the film is developed the
prints can be serially numbered corresponding to the
logbook descriptions and, if necessary, pertinent
information can be easily transferred to the back of
the photograph. The log entries are to include:
1. Signature of the photographer;
2. Description of film used (i.e. its expiration
date, ASA number, origin, etc.);
3. Focal length of the lens being used;
4. F-stop and shutter speed at which the camera
is set;
5. Lighting conditions encountered;
6. Time of day;
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7. Date;
8. Location; and
9. A brief description of the subject being
photographed.
Photographs should be keyed to the plot plan, flow
diagram or location oh' the map whenever possible.
III. BEST MANAGEMENT PRACTICES
A.
General
Best Management Practices (BMPs) are practical
and effective measures or a combination of measures
which, when applied to an industrial activity, will
prevent or minimize the potential for release of toxic
pollutants and hazardous substances in significant
amounts to surface waters from sources such as plant-
site runoff, spillage or leaks, sludge or waste
disposal, or damage from raw-material storage areas.
B.
Authority
The authority for imposing BMPs in NPDES
permits is contained in Section 304(e) of the Act,
8-8
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In the absence of BMPs promulgated pursuant to the
authority of Section 304(e), permitting authorities
may impose BMPs in permits under authority of
Section 402(a)(l) using Best Professional Judgement
(BPJ). Criteria and standards for BMPs are described
in 40 CFR Part 125, Subpart k.
C.
Objectives
A company's BMP plan may be evaluated by the
permitting authority during a routine compliance
inspection or as required for any of a nuber of
reasons including a recent spill of toxic and/or
hazardous substances to navigable waters, a history
of incidents, a citizen complaint, a fishkill, or an
application for a renewed or a new NPDES discharge
permit. The extent of BMPs development at a par-
ticular site is directly related to factors such as
plant size and location, topography, specific chemi-
cals, ancillary sources, water quality, impacts, and
quality of materials on-site.
The minimum requirements of a BMP plan are pre-
scribed by the BMP regulation and are listed below:*
*Additional information is available in the
"NPDES Best Management Practices Guidance Document",
December 1979 (EPA-600/9-79-0450)
8-9
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1. General Requirements
a. Name and location of facility
b. Statement of BMP policy and objectives
c. Review by plant manager
2. Specific Requirements
a. BMP Committee
b. Risk identification and assessment
c. Reporting of BMP incidents
d. Materials compatibility
e. Good housekeeping
f. preventive maintenance
g. inspections and records
h. Security
i. Employee training
8-10
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The size and complexity of the BMP plan will
vary with the corporate environmental policy, size,
complexity, and location of the facility. !It is
anticipated that the length and detail of the BMP plan
will be commensurate with the quantity of toxic and
hazardous chemicals on-site and their opportunity for
discharge.
D.
Inspector Reporting Procedures
The Deficiency Notice may be completed at the
end of the inspection to cite inadequacies in a per-
mittee's BMP plan. The inspector should identify the
inadequate areas in either the "Other Self-Monitoring
Deficiencies" block or the "Additional Comments"
block.
The NPDES Compliance Inspection Report form may
also be used to record the inspector's assessment of a
permittee's BMP plan. The "Other" block in Section C
of the Inspection Report form can be labelled BMP and
be used to identify whether the BMP plan was satisfac-
tory or unsatisfactory. Also, the inspector should
consider the permittee's BMP plan when completing
Section I(h), (k), and (i) of the Compliance
Inspection Report form.
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IV,
V.
SPILL PREVENTION CONTROL AND COUNTERMEASURE (SPCC) PLAN
It is important that inspectors determine if permittees
have prepared a SPCC plan of oil storage facilities having
sufficient capability to subject them to the requirements of
the oil Pollution prevention Regulations (40 CFR Part 112).
However, this determination is not applicable to facilities
which have been previously inspected for SPCC compliance.
INTERAGENCY REGULATORY LIAISON GROUP REFERRAL INSPECTION
PROGRAM
A. Background
The Interagency Regulatory Liaison Group (IRLG)
was formed to more closely coordinate activities
between the U.S. Environmental Protection Agency
(EPA), Food and Drug Administration (FDA), Consumer
Product Safety Commission (CPSC) and Food Safety and
Quality Service (FSQS). As part of this coordinated
effort, the Agencies agreed to coordinate their
compliance and enforcement programs.
B. Definition and Authority
A referral inspection is not reviewed as a means
of having an agency perform routine inspectional worK
8-12
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for another agency, but rather its purpose is to
ensure that obvious suspected violations of other laws
are not overlooked.
The basis for referral inspections is the plain
view-doctrine which holds that during the course of
his authorized activities, an inspector is not
required to ignore irregularities which are within
his view, even though these problems are not under
the jurisdicition of the law(s) which he enforces.
Purpose and Scope
The purpose of the IRLG referral inspection
program is to make the interagency referral process
more formal and to heighten the sensitivity of each
agency's inspectors to situations which may be
indicative of a serious hazard or illegal activity.
Referral Guide
The effectiveness of the referral program will
depend on the inspector's ability to recognize situa-
tions which are symptons of more serious problems.
Given below is an Agency specific list of visual
signals which generally conno-te potential violations.
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1.
FDA
a. Actual or potential food, drug or cosmetic
contamination from: animal activity,
pesticide misuse, equipment breakdown/
malfunction, filthy processing equipment,
airborne dust, contaminated/rotten raw
materials, natural disaster damage,
accident damage.
b. Packaging: inadequate product labeling or
label control, containers damaged/leaking.
CPSC
a. Lack of child resistant packaging on:
aspirin preperations with methyl
salicylate, manufacturer's consumer size
package Rx oral drugs, drugs/dietary
supplements with iron, kindling/
illuminating compounds with petroleum
distillates, furniture polish with
petroleum distillates, turpentine,
sulfuric acid, methanol, ethylene glycol,
paint solvents, sodium/potassium
.hydroxide.
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b. Hazardous household chemicals (toxic,
corrosive, irritating, flammable, or
pressure generating), which are not
conspicuously labeled with signal word:
DANGER, WARNING, CAUTION, statement of
principal hazard; Vapor Harmful, Harmful
if Fatal or Swallowed, Flammable etc.,
precautionary, warning/storage instruc-
tions, names of hazardous ingredients,
first aid instruction, name/location of
manufacturer, statement "Keep Out of
Reach of Children."
c. Paint with more than 0.06 percent lead:
for consumer use, furniture except metal,
applied to toys/children's articles.
3. Consumer patching compounds containing
asbestos.
E.
Referral Memorandum
The referral memorandum is the mechanism through
which information concerning pertinent observations
will be transmitted from one agency to another.
The memorandum is filled out only when a perti-
nent observation has been made and not for every
inspection.
8-15
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SECTION 9
FEDERAL AND STATE COOPERATION
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I.
AUTHORITY
Sections 308 and 402 of the Act provide for the
transfer of Federal authority, relative to NPDES permits
and compliance monitoring, to the States. Section 308
authoriz.es the transfer of the monitoring function to the
States without transferring the full NPDES program.
Presumptive of these authorities, Regional
Administrators and some State Water Pollution Control
Agencies have signed formal agreements or have entered into
formal agreements on the cooperative monitoring of permit-
tees' effluents.
II,
OBJECTIVES
Within the framework of this authority, the objectives
of Federal and State cooperation from the inspector's
standpoint are to ensure that:
A.
Information exchange and responsibilities called for
under the cooperative agreements are carried out in
a timely manner;
B.
The information gathered is complete and in an
acceptable form so the agency which has the primary
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c.
role in the enforcement of the NPDES permit
requirements is able to use the information
in its own enforcement programs; and
A successful inspection program is implemented to
ensure a high degree of permittee compliance with
permit conditions, effluent limitations and
compliance schedules.
III.
POLICY
The Agency is committed to ensuring full partnership
with the States in field investigations and other NPDES
monitoring activities.
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SECTION 10
SAFETY
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I.
GENERAL
The inspection of wastewater and other environmental
pollution control facilities always poses a certain degree
of hazard. The objective of this section is to assure the
safety of inspection and operating personnel by the use of
proper safety equipment and the use of safe practices.
A.
Inspector's Responsibility
It is the responsibility of each inspector to:
1. Be thoroughly familiar with all safety
guidance and practices;
2. Maintain safety equipment in good condition
and proper working order;
3. Use safety equipment in accordance with
guidance received, and labeling instructions
or as dictated by common sense; and
4. Guard against body infections by periodically
obtaining typhoid and tetanus innoculations.
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II. SAFETY EQUIPMENT
A. Personal Safety Gear
When performing their inspection duties,
inspection personnel should properly use the following
safety equipment:
1. Hard hats;
2. Rubber-soled, non-skid, metal-toed shoes
and boots;
3. Safety glasses (prescription if required),
goggles and face shield;
4. Gloves: liquid-proof, natural or synthetic
rubber, or throw-away plastic;
5. Ear protectors; and
6. Breathing mask or respirator.
B. Additional Equipment
The following safety equipment should be carried
with the inspector for use when needed:
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1. First aid kit;
2. Fire extinguisher;
3. Soap, waterless hand cleaner, towels, and
4. Snakebite kit.
III.
SAFETY PRECAUTIONS
A.
Inspection and Operating Personnel
1. Authority
Section 204 of the Act requires POTW's, under
construction grants, to adequately operate
and maintain the wastewater treatment facili-
ties. Safety is considered to be an integral
component of operation and maintenance since
unsafe conditions and practices adversely
affect the operation and maintenance of
wastewater facilities.
2. Inspector's Obligations
The inspector should guard against personal
injury which may result from unsafe conditions
or practices at the wastewater treatment
facility. As a guide in this area, all field
10-3
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inspectors should read Safety in Wastewater
Works published by the Water Pollution Control
Federation. This publication discusses safety
precautions necessary for the:
a. Prevention of physical injuries;
b. Prevention of bodily infections;
c. Prevention of asphyxiation due to lack of
oxygen or presence of noxious gases;
d. Proper operation of safety equipment; and
e. Rescue of injured employees.
IV.
HAZARDOUS WASTE DISPOSAL SITES
Special safety precautions must be taken when inspecting
a hazardous waste site. In many instances the inspector may
be unaware of the types of substances he/she will encounter
while inspecting a hazardous waste site. Therefore, extreme
caution should be exercised at all times.
All personnel to be assigned on-site duties in hazardous
waste site investigation must be provided hands-on training
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on simulated sites to achieve competence in the safety and
operational aspects. Training should include basic first aid,
cardio-pulmonary resuscitation, and the use of protective
clothing and equipment. Also, preperation for on-site inves-
tigations must include detailed briefings, particularly for
inexperienced personnel.
Typically, all hazardous waste site inspections should
be performed by an inspection team rather than a single
individual. All individuals touring the facility should be
aware of the activities and location of each team member.
Also, the closest rescue unit should be located and then
notified as to the type of inspection about to be under-
taken. This should be done prior to entering the hazardous
waste disposal facility so that in an emergency their
services can be secured without delay.
Personal protective equipment must be worn by all
assigned personnel while on a suspected or confirmed
Hazardous Waste Site until sufficient data has been acquired
to enable the Project Leader to make an informed judgement
regarding the need. In the absence of clear indications that
work can proceed safely without personal protective equipment,
required items include respirators, chemical resistant pants
and jacket, rubber boots, protective gloves, hard hat or head
cover, face shield or chemical safety goggles.
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The following provides a brief description of the
types of personal protective equipment which should be
available when conducting a hazardous waste site inspec-
tion. The inspector should consult the Safety Manual for
Hazardous Waste Site Investigations published by EPA's
Office of Occupational Health and Safety, September 1979,
or the Guidelines for Entering Field Sites of Unknown
Chemical Toxicity by the same Office, May 1979 ,for more
detailed information.
A.
Respiratory Protection
Self-contained breathing apparatus - a res-
pirator which employs a self-contained supply
of air carried by the wearer to provide him/her
with a respirable atmosphere. This apparatus
should be used when entering an oxygen deficient
area; for potential exposures over 2 percent by
volume of gases or organic vapor or 3 percent
ammonia, such as a storage building or other
enclosed area without adequate ventilation.
Gas mask - consists of a large air-purifying
canister attached to a full facepiece either
directly or indirectly by means of a flexible
tube. This apparatus should be used in a
gaseous environment for potential exposures
10-6
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up to 3 percent by volume of ammonia gas; 2
percent by volume for other gases or organic
vapors which are immediately dangerous to life
or health. It does not protect against oxygen
deficiency or airborne particulates. The
canisters are specifically labeled as to type
and limitations and are color coded for fast,
accurate recognition. This apparatus must be
properly maintained and checked periodically.
3. Chemical-Cartridge Respirator - consists of one
or two small cartridged shaped containers of
granular absorbent or catalyst attached to a
facepiece. These respirators protect the wearer
in atmospheres for potential exposures up to 0.1
percent by volume of organic vapors which are
not immediately dangerous to life or health. It
does not protect against oxygen deficiency or
airborne particulates. The cartridge is labeled
and color coded in order to identify the type
respiratory protection afforded.
4. Filter Respirators - are used for nuisance or
low toxicity dusts which are not immediately
dangerous to life or health. This apparatus
10-7
-------
does not provide protection against organic
vapor or gases and is not recommended for
hazardous waste disposal site inspections.
B.
Protective Clothing
To protect against chemical agents, impervious
clothing should be worn. Clothing to cover all parts
of the body is available; work shirts and pants,
solvent impervious coveralls and aprons, gloves,
boots, safety glasses or goggles, and face shields.
1. Eye and Pace Protection - Goggles must be of
noncorrosive materials and fit snugly to the
face so that no splash can penetrate to the
eyes. They may have hooded vents if no
irritating vapors are involved. In severe
conditions where chemicals are concentrated or
where splash hazards are continuous, the goggles
should be worn under face shields or acid hoods
for greater protection. The type of eye and
face protection needed depends on the type of
sampling or other activities performed by the
inspector.
10-8
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Hand Protection - Solvent impervious gloves with
a gauntlet cuff (covers part of the forearm and
permits folding back to prevent liquids from
dripping from the glove to the arm) should be
worn if samples are collected or other activi-
ties requiring this type of protective equipment
are performed.
Foot Protection - Solvent impervious overshoes
or boots should be worn if there is any possi-
bility of encountering pools of liquid material
on the surface of the ground.
10-9
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-------
SECTION 11
ACCESS AND WARRANTS
-------
-------
GENERAL
The Act grants the Administrator or his authorized
representative the authority to:
A. Enter a facility or the place where effluent records
are held;
B. Inspect the permittee's monitoring equipment and
techniques;
C. Inspect and copy the permittee's self-monitoring
records;
D. Take samples of discharges which the permittee is
required to sample; and
E. Examine any other records which the Administrator
requires to be kept as delineated in Section IV of
this manual.
All of the above should be done, whenever practical,
during the normal working hours observed at the permittee's
facility (e.g., office hours at a steel mill even though
operating three shifts) after presentation of credentials.
However, the taking of composite samples over an extended
period to confirm compliance with permit limitation will not
11-1
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be considered contrary to this requirement so long as the
sampling commences during normal working hours. If initial
entry to the premises of an alleged "midnight dumper" is to
be made after normal working hours, prior instructions from
an Enforcement or Regional Counsel Attorney must be obtained
and followed.
All permitting authorities are subject to the
"Unreasonable Search and Seizure" provisions of the Fourth
Amendment to the Constitution. The ability to use state-
ments (including supportive documents) by permittees or their
agents, samplers and analysts, may also be subject to the
limitations of the "privilege against self incrimination"
provisions of the Fifth Amendment. This limitation may
occur directly as a result of Federal action, or indirectly
as a result of State action through interpretation of the
"due process" provision of the Fourteenth Amendment. The
applications will be discussed in the following subsections.
The Act also gives the Administrator or a designee
authority to require a permittee (on a nonroutine basis)
to provide other information as may be reasonably required
in order to determine if the permittee is complying with the
law. The inspector may wish to make use of this authority
as the designee of the Administrator in order to request
information not contained in records which the permittee is
11-2
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required to maintain under the terms of the permit. Examples
of this type of material are:
1. Changes of processes, products, or volume of
discharge;
2. Treatment processes, and the interrelationship
of components; and
3. Purchases of equipment, etc.
Since these materials are first being requested
"on-site", the instructions to the inspector on what to
do if entry or information is refused do not apply. The
inspector should, if this material is not forthcoming,
continue the inspection. However, make note of the
information or documents requested but not received so
that the same may thereafter be requested in the form
of a Section 308 letter.
II.
OBJECTIVES
The objectives of this section are to inform or
advise the inspector of:
A. The need for obtaining consent prior to entry,
or sampling;
11-3
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B. The procedures to be followed if consent is not
given; and
C. The limits imposed on the use of documents or
statements of individuals in criminal or civil
penalty proceedings against them. The self-
incrimination provisions apply only to
individuals, not to corporations.
Ill,
UNREASONABLE SEARCH AND SEIZURE
The Fourth Amendment prohibition is not against searches
and seizures, but only those which are unreasonable or to
which valid consent, if required, has not been given.
Consent, in this context, means the intentional foregoing of
right to privacy which is not the result of either fear,
ignorance or trickery. For additional information on unrea-
sonable searches and seizures, consult the current edition of
the U.S. Justice Department booklet entitled Handbook on the
Law of Search and Seizure.
IV.
NEUTRAL INSPECTION SCHEME
In Marshall v Barlow's Inc., the Supreme Court addressed
the issue of the need for and use of warrants in conducting
administrative inspections under various regulatory schemes.
The Court stated, in general, that a warrant was necessary
11-4
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when requested by the owner or person-in-charge of the
establishment to be inspected, but that the warrant need
not be based on a showing of criminal probable cause.
Rather a warrant would be issued if it could be shown that
the establishment was being inspected pursuant to a neutral
administrative scheme.
The Agency's procedures for inspections, particularly
where entry was denied, were largely in accordance with the
provisions of Barlow's before the Supreme Court issued its
ruling. Therefore, it has had only a limited effect on EPA
inspections and they will generally continue as usual. Where
an inspector is refused entry, EPA will seek a warrant
through the local U.S. Attorney; and sanctions will not be
imposed upon owners of establishments who insist on a warrant
before allowing inspections of the nonpublic portions of an
establishment.
Tne Barlow's decision prompted the Office of
Enforcement, on April 11, 1979, to issue a memorandum to
all Regional Administrators, Surveillance and Analysis
Division Directors, and Enforcement Division Directors pro-
viding guidance on how to conduct inspections after the
Barlow's Decision and should be referenced if necessary (see
Appendix D).
11-5
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V.
RIGHT OF ENTRY
The following procedures are to be followed when
entering a facility for the purpose of conducting a NPDES
Compliance Inspection.
A. All inspectors shall have in their possession creden-
tials which identify them as EPA inspectors and any
safety equipment required during an NPDES inspection,
B,
One inspector shall be in charge of the inspection
team, and this inspector will be referred to as the
team leader in the following instructions. All
inspections shall be commenced during normal work
hours of the premises. There is no objection to
reentry thereafter outside normal working hours for
the purpose of taking or checking composite samples
or conducting flow-through biomonitoring.
Upon arrival at the facility, the team leader shall
ask for the facility representative, who has been
designated through the 308 letter response, or in his/
her absence the person in charge of the premises at
the time of the inspection (in either case, hereafter
referred to as the "facility representative").
D.
The team shall not:
11-6
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1.
2.
Have any dealings with gate guards other than
to ask for the facility representative;
Make any threats or statements as to the conse-
quences of denial of entry to the gate guard,
facility representative or other personnel at
the facility; or
E.
3.
Sign any waiver of responsibilty or liability.
Upon contact with the facility representative, the
team leader shall present all necessary credentials
and explain the purpose of the inspection. All other
inspectors shall also display their credentials. The
team leader shall state that the purpose of the
inspection is as follows:
1.
It is an NPDES inspection dealing with water and
is authorized by Section 308 of the Clean Water
Act.
A review will be performed of all self-
monitoring and other records which are required
by the permit.
It will include a review of all the pollution
control systems at the facility.
11-7
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4. If appropriate, it is a sampling inspection
and samples will be taken at the facility's
discharge and other NPDES permit-designated
monitoring points.
5. If appropriate, it is a biomonitoring inspection
to determine the relative toxicity of the
s
effluent.
F. If you are denied entry under the following circum-
stances:
1. By the gate guard, then ask for the facility
representative. If the guard refuses to make
the call, leave immediately without challenge
or argument, making no statements;
2. By the facility representative, after identi-
fying yourself and presenting your credentials,
leave immediately without challenge or argument,
making no statements.
If a confidentiality agreement is required as a
prerequisite to entry, the inspector shall refuse to
sign it and contact the Regional Enforcement Division
for further instructions.
11-8
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H.
If at any time during the inspection the inspection
team is requested or ordered to leave by a responsible
facility representative, the team leader shall com-
mence action to leave immediately in a prompt, orderly
manner as follows:
Make no threats or statements regarding
consequences.
Ask the responsible facility representative to
explain the reason for the request to leave and
accurately document the circumstances in your
field diary.
Proceed to collect your equipment, data and
samples already obtained prior to leaving. if
the facility representative objects to this,
make no arguments and leave immediately.
Document the events in your field diary
immediately after you leave the facility. This
documentation is to include specific statements
made and by whom; and the names of all persons
present when particular statements were made.
11-9
-------
5. After leaving the facility, the team leader shall
immediately telephone the Regional Enforcement
Division for further instructions.
VI.
PRIVILEGE AGAINST SELF-INCRIMINATION
The privilege against self incrimination clause of
the Fifth Amendment to the Constitution prevents the use
of involuntary confessions or private papers, against a
defendant. Since the privilege does not apply to corpo-
rations or partnerships, and documents required to be
prepared or maintained by law, such as reports and records
required to maintained by a dischargers' NPDES permit are
excluded from what is defined as "private papers", this
privilege has minimal application to Compliance Evaluation
Inspections. In those cases where the discharger is an
individual or there is some possibility that the person
from whom information or documents are sought is a poten-
tial criminal defendant, no questions should be asked, nor
any documents other than those called for in the permit be
requested (of the potential defendant) without having first
consulted with an Enforcement Division Attorney or an
Attorney in the Regional Counsel's office.
11-10
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SECTION 12
COMPLIANCE INSPECTION REPORT
-------
-------
GENERAL
The Compliance Inspection Report form 3560-3 replaces
EPA form T-51 and serves to report the results of both
sampling and nonsampling Compliance Inspections. The
Compliance Inspection Report consists of two majors parts.
The first part, Section A-L, is completed for all compliance
inspections as appropriate. The second part, Sections M-N,
is completed only for Compliance Sampling Inspections.
The cover sheet, Section A-E, is a summary of
inspection results and is designed to meet enforcement data
needs. In addition to Sections A-E, page one contains three
lines at the top of the page that identify the facility, date,
type of inspection, and the agency or agencies performing the
inspection. This information is in a format so that it can
be keypunched and entered directly into the Permit Compliance
System (PCS) for national data. The inspection data which is
entered on the form will assist in the tracking of inspection
results and will be used in the Agency's Formal Program
Reporting System (FPRS). An explanation of the procedure to
be used to enter inspection tracking data into Water Enforce-
ment National DataBase (WENDB) is provided on the reverse
side of page one (gold copy) of the Compliance Inspection
form.
II.
OBJECTIVES
Clear, concise, and accurate reporting is essential to
the management of the Compliance Inspection program. it is
12-1
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the basis for important administrative decisions concerning
program effectiveness, enforcement actions, and the proper
programming of future work.
III.
PROCEDURES
A. Inspector's Obligation
Report all Compliance Evaluation Inspections
by completing a Compliance Inspection Report EPA
form 3560-3 within 15 days after the inspection and,
if needed, an Abbreviated Narrative Report (see
instructions in this Section). Narrative reports
prepared to support or explain information included
in the Compliance Inspection Report should be attached
to each copy of the form.
B. NPDES Compliance Inspection Report
The Compliance Inspection Report and, if needed,
a supporting narrative report, typewritten or legibly
handwritten, should be prepared.
Complete the sections of the report form as
follows:
WENDB Data Summary
Column 1 Transaction Code - Use N, C, or D
12-2
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for New, Change, or Delete. All
inspections will be new unless there
is an error in the data keypunched
into WENDB.
Column 2
Column 3-11
Card. Code - always 5 for this form.
NPDES - The NPDES permit number.
(The State permit number may be
accommodated in the remarks or
additional spaces).
Inspection Date - entered in the
year/month/day format (e.g. 80/06/30=
June 30, 1980).
Column 18
Inspection Type - The inspection
types are to be coded as follows:
"C" for Compliance Evaluation
Inspection
"A" for Performance Audit
Inspection
"S" for Compliance Sampling
Inspection
12-3
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"B" for Compliance Biomonitoring
Inspection
"X" for Toxics Sampling
Inspection
up" for pretreatment Compliance
Evaluation Inspection
"E" for Construction
Verification Inspections
conducted by the U.S. Army
Corps of Engineers
Column 19
Inspection Code - An inspection may
be performed by the Region, State or
NEIC (EPA National Enforcement Inves-
tigations Center). It may also be the
result of a joint effort. (Credit in
FPRS for a joint inspection is given
to the lead agency.) Acceptable codes
for WENDB are:
R - EPA Regional inspections
S - State inspections
j - Joint EPA and State
inspections - EPA lead
12-4
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T - Joint EPA and State
inspections - State lead
N - NEIC inspections
E - Corp of Engineer
inspections.
Column 20
Facility Type - This code describes
the type of facility that was
inspected. Acceptable codes are
(1) Municipal - Publicly-Owned
Treatment Works (POTWs) with 1972
Standard Industrial Classification
(SIC) 4952; (2) Industrial - Other
than Municipal, Agricultural, and
Federal facilities; (3) Agricultural -
those facilities classified with 1972
SIC 0111-0971; and (4) Federal - Those
facilites identified as Federal by EPA
Regional Office.
Column 21-70
Remarks - this field provides the
inspector with a vehicle to store
descriptive information about the
inspection. There is no set for-
mat within this 50-position field
except for a CBI which uses the
12-5
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first three spaces to indicate the
type of test performed (i.e., **S
for static or **F for flow-through
bioassays). Individual Regions or
States may choose to set aside por-
tions of this field for their own
specific needs.
The "Time" and "Additional" boxes can also describe the
inspection but will not be keypunched. Supplementary information
that the performing Agency or Region needs may be entered in the
Addition box, (e.g., STORET numbers, basin codes, etc.)
Section A - Permit Summary
Name and Address of Facility - include the legal
name of the facility inspected and the street
name or State route on which it is located. Also
enter the county, State and zip code number.
Responsible Official, Title, and Telephone
Number - Enter the name, title, and telephone
number of the person or official responsible
for signing the Discharge Monitoring Report or
who is responsible for wastewater management at
the facility.
Facility Representative, Title, and Telephone
Number - Enter the name, title, and telephone
12-6
-------
number of the person who assisted you during the
inspection if different from the Responsible
Official.
Section B - Effluent Characteristics
The Effluent Characteristics section contains
a summary of those parameters (e.g. BOD, pHf,
flow) that are regulated by the permit and other
parameters that are measured but not regulated
by the permit. If more than one outfall is
inspected, the parameter and outfall should be
indicated and additional sheets attached as
required. If the inspection does not include
the collection of samples, it may be advisable,
but is not required, to substitute the data from
the latest Discharge Monitoring Report in the
"Sample Measurement" row before performing the
inspection. However, if self-monitoring data
are entered in the space instead of sampling
data, they should be clearly identified as such
to avoid confusing the reviewer. The column
marked "Additional" is for the performing
agency's own requirements (e.g., design data,
comments or explanations of the measurements).
Section C - Facility Evaluation
The Facility Evaluation section provides a
summary evaluation of the inspection results
12-7
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The evaluations made in this section should be
documented and supported by notation in the
appropriate checklist portions of the form and
by any additional comments as required.
Section D - Comments
Little space is allowed for comments in this
section. Rather than fragmenting the
narrative detailing comments and possible
recommendations, the form allows detailed
comments in an attachment, on the back of
the form, or in Section N. The Section D
comments should be used to flag lengthy
comments (e.g., "Recommendations on page 4")
or used for those inspections which only
merit abbreviated comments. Procedures for
making recommendations and comments should be
worked out with the Enforcement Director of
the organization responsible for the permit.
All comments or recommendations that are made
should be documented and supported by the
checklist portions of the form.
Section E - Inspection Review
This section provides the inspector's and
reviewer's names and agencies. Compliance
status is to be determined only by Enforcement
personnel.
12-8
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Section F -
Facility and Permit Background
If the permittee's address is different from
that of the facility, it should be so indicated.
If the facility was inspected previously, the
date and findings summary should be noted before
performing the current inspection.
Sections G through L are to be completed based
on information obtained from an inspection con-
ducted in accordance with the objectives and
procedures described in the appropriate sections
of this Manual. The following statements
briefly summarize the purpose of report Sections
G - L.
Section G - Records and Reports
This portion of the form documents that the
records and reports maintained by the permittee
are in compliance with permit requirements. As
mentioned earlier, if the checklist does not
adequately represent the situation, further
explanation should be attached and so indicated.
Section H - Permit Verification
Each inspection should identify discrepancies,
if any, between the issued permit and actual
12-9
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r
conditions. Again, if further explanation
is necessary, it should be provided and so
indicated.
Section I - Operation and Maintenance
Each inspection of an operating facility
should evaluate its operation and maintenance.
Operating facilities include those on final
limits and those in the process of being
upgraded.
Section J - Compliance Schedule
The compliance schedule progress should be
evaluated when the permittee is on a compliance
schedule. Any grant-related inspections of
facilities should be coordinated with Regional
Construction Grants personnel. The current phase
of compliance schedule status should be marked on
the form.
Section K - Self-Monitoring Program
The permittee's flow measurement, sampling, and
laboratory procedures should be checked, as
appropriate, on all inspections. If deficiencies
are noted, additional pertinent information
should be provided if necessary. For example,
12-10
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if the laboratory is not calibrating or
maintaining the equipment satisfactorily, the
calibration or maintenance intervals should be
noted. If parameters other than those required
by the permit are analyzed, the parameters and
analytical methods should be noted. If the per-
mittee laboratory, flow-measurement, or sampling
procedures are not inspected, an explanation
should be provided (e.g., contract laboratory off
the premises).
Section L -
Effluent/Receiving Water Observations
Visual observations made during the inspection
should be noted, as applicable, for each
outfall. The inspector's observations are
subjective and qualitative, but serve to focus
attention on potential treatment problems.
Discharge of floating solids or visible foarn in
other than trace amounts is prohibited by the
permit. Thus, observations of greater than trace
amounts present permit violations and indicate
poor treatment.
Sections M and N of the form are intended
for use only in reporting the procedures, obser-
vations and analytical results obtained from a
Compliance Sampling Inspection. Policies and
12-11
-------
procedures to be used in the collection, handling,
and transportation of samples are described in
the appropriate sections of the MPDES Compliance
Sampling Inspection Manual. The following state-
ments briefly summarize the purpose of report
Sections M and N.
Section M - Sampling Inspection Procedures and Observations
The performing agency's sampling procedures
should be noted for each sampling inspection.
Details documenting the procedures should be
provided (e.g., the composite time interval).
Section N - Analytical Results
If the analytical results or laboratory report
from a sampling inspection provides more infor-
mation than can be inserted in Section C, the
additional information should be noted in this
part or attached to the report form. This
Section also offers more space for comments or
additional materials (e.g., flow diagrams) as
the situation warrants.
IV.
ABBREVIATED NARRATIVE REPORTS
Abbreviated narrative reports will be used to supplement
the information contained in the Compliance Inspection
12-12
-------
Report, not to replace it entirely. The narrative report may
be used to explain in more detail the facts and observations
developed during the inspection. Only those; d'etaii'-s^ijaf'f i-
cient to provide a clear picture of the relevant findings
should be included. The inspector should: , . ,-,-
A.
B.
C.
D.
Be factual and objective;
Not present speculative opinions;
Not include opinions about possible regulatory
enforcement; , , <
Make sure to clearly identify each section or ; ;
" ' ''' '.';.si'.-''j& -'.'*'
caption referred to; and .- ''''^V^* /-"
E. Sign the report and attach it to EPA form
3560-3.
DEFICIENCY NOTICE
The Deficiency Notice is a tool to be used in.con-; ;
junction with any type of EPA NPDES Compliance Inspection,
during which the inspector identifies problems with the '
. "'--.:,?! >;.#"-.
permittee self-monitoring activities. " . ;
12-13
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Use of the Deficiency Notice does not apply to a wide
range of possible permit violations. It is to be used by
the inspector to alert permittees to deficiencies in their
self-monitoring activities only. The enforcement office of
the regulatory authority (i.e., the EPA Regional Enforcement
Division or its State counterpart), not the inspector, will
continue to handle violations relative to compliance
schedules or effluent limitations.
Inspectors can issue the Deficiency Notice to a
permittee immediately following a compliance inspection if
they discover any permit deficiencies which the Notice
addresses. Under unusual circumstances inspectors may delay
issuing a Deficiency Notice until after conferring with other
officials of the regulatory authority.
The issuance of a Deficiency Notice is not a formal
enforcement action. It is not intended and must not be con-
strued as an administrative or legal order to the permittee.
Therefore, the action by the permittee to respond is volun-
tary, but incentive for such response comes from the positive
consideration it may have on further formal enforcement
follow-up of the inspection.
12-14
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REFERENCES
4
5
10.
11.
12.
American Public Works Association, Municipal Refuse Disposal,
1961. ~" ~~~~~-^
American Public Health Association, Standard Methods for the
Examination of Water and Wastewater (14th Edition), 1975^
Babrock, Russel H., Instrumentation and Control in Water
Supply and Wastewater Disposal, R.H. Donnelley Corp., TQfia.
Code of Federal Regulations, Public Information, (40 CFR 2).
1979.
Code of Federal Regulations, Employee Responsibilities and
Conduct, (40 CFR 3), 1979. ~
Gulp, Russell, and Gordon, L., Advanced Wastewater Treatment,
Van Nostrand, Reinhold, Environmental Engineering Series,
-L y / _L
Eckinfelder, W.W., Water Quality Engineering for Practicing
Engineers, Barnes & Noble, 1970. ~~ *
Federal Register, Guidelines Establishing Test Procedures for
Analysis of Pollutants, Proposed Regulations 40 CFR Part
136, December 3, 1979. " "~ ~
Harris, Daniel J. and Keffer, William J., Wastewater Sampling
Methodologies and Flow Measurement Techniques, U.S.E.P.A.
(EPA 907/9-74-005), 1974. ~~ ~~ =
Lund, H.F., Industrial Pollution Control Handbook,
McGraw-Hill Book Co., 1971.~
State Water Resources Control Board, State of California,
Surveillance and Enforcement Manual, 1974.
Texas Water Utilities Association, Manual of Wastewater
Operations, 1971. ~
13. U.S. Department of Commerce/National Bureau of Standards, A
Guide to Methods and Standards for the Measurement of WateF
Flow, Publication 421, May 1975. ~~ ~~
-------
14.' U.S.' Environmental Protection Agency, Estimating Staffing for
Municipal Wastewater Treatment Facilities, 1973.
15. U*.S. Environmental Protection Agency, Guidelines for
'Evaluation of Visible Emissions. (EPA-340/1-75-007), 1975.
16. U.S. Environmental Protection Agency, Maintenance Management
''for -Municipal Wastewater Facilities, (EPA-430/9-74-004),
17. U.S. Environmental Protection Agnecy, Model State Water
Monitoring Program, (EPA-440/9-74-002), 1974.
18. U.S. Environmental Protection Agency, Procedural Manual
for Evaluating the Performance of Wastewater Treatment
Plants, 1972.
j- " "^^""""TT^^
19. .U.S. Environmental Protection Agency, Office of Enforcement,
'safety Manual for Hazardous Waste Site Investigations, 1979.
20. U.S. Environmental Protection Agency, Pesticides and Toxic
.Substances Enforcement Division, Toxic Substances Control
Act Inspection Manual, 1980.
21.
U.sV Environmental Protection Agency, Office of Research
and Development, Environmental Monitoring and Support
Laboratory, Handbook for Analytical Quality Control in
Water and Wastewater Laboratories, (EPA-600/4-79-019),
~~
22.' U.S., Environmental Protection Agency, Office of Research
and Development, Environmental Monitoring and Support
Laboratory, Methods for Chemical Analysis of Water and
Wastes (EPA-600/4-79-020), 1979.
23. ' U.S. 'Environmental Protection Agency, Office of Research and
Development, Industrial Environmental Research Laboratory,
'NPDES Best Management Practices Guidance Document,
(EPA-6PO/9-79-045) , 1979.
24. 'u.S." Environmental Protection Agency, Stationary Source
'' Enforcement Division, Field Operations and Enforcement
Manual for Air Pollution Control, Volumes I, II, and III,
25. U.S. Environmental Protection Agency, Stationary Source
Enforcement Division, Visible Emission Inspection Procedures,
1975.
26. U.S. Environmental Protection Agency, "Technical Bulletin",
Wastewater Treatment Ponds, (EPA-430/9-74-011), 1974.
-------
27 .
28.
29.
30.
31.
32.
33.
34.
35.
36.
37.
38.
39.
40.
41.
U.S. Environmental Protection Agency, Office of Technology
Transfer, Handbook for Monitoring Industrial Wastewa.ter:,
J--7 / J
U.S. Environmental Protection Agency, Office of Water
Enforcement, Compliance Branch, Interim NPDES Compliance
Biomonitoring Inspection Manual, 1979. ~ '- ~
U.S. Environmental Protection Agency, Office of Water ;
Enforcement, Compliance Branch, NPDES Compliance Sampling
Manual, 1977. : ^
U.S. Environmental Protection Agency, Office of Water
Enforcement, Enforcement Division, Performance Audit
Inspection Policy and Guidance, 197
-------
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SECTION REFERENCES
SECTION 1
4,5
SECTION 2
11,14,28,29,30
SECTION 3
3,6,7,12,13,16,18,26,39,40
SECTION 4
5,21
SECTION 5
16,18,33
SECTION 6
2,8,9,13,17,18,21,22,26,27,29,34
SECTION 7
1,10,13,15,20,24,25,31,32,41
SECTION 8
23
SECTION 9
None
SECTION 10
19,36,41
SECTION 11
35
SECTION 12
None
-------
-------
APPENDIX A
NPDES COMPLIANCE INSPECTION REPORT
-------
-------
TRANSACTION
CODE
NPDES COMPLIANCE INSPECTION REPORT (Coding Instructions on back of last
form Approved
OMB No. 158 - R0073
U
NPDES
MO DA
17
INSPEC- FAC
TYPE TOR TYPE
u u u
IS 12 2S-.
TIME
p.m.
21
REMARKS
' ' I I M I I I I II I I I II | MM M I II I I I I I I I | i | | | , |
6§_
70
ADDITIONAL
SECTION A - Permit Summary
NAME AND ADDRESS OF FACILITY (Include County, State and ZIP code)
RESPONSIBLE OFFICIAL
FACILITY REPRESENTATIVE
TITLE
TITLE
SECTION B - Effluent Characteristics (Additional sheets attached
EXPIRATION DATE
ISSUANCE DATE
PHONE
'HONE
PARAMETER/
OUTFALL
SAMPLE
MEASUREMENT
PERMIT
REQUIREMENT
SAMPLE
MEASUREMENT
PERMIT
REQUIREMENT
SAMPLE
MEASUREMENT
PERMIT
REQUIREMENT
AMPLE
MEASUREMENT
ERMIT
REQUIREMENT
SAMPLE
MEASUREMENT
REQUIREMENT
MINIMUM
AVERAGE
MAXIMUM
SECTION C - Facility Evaluation (S = Satisfactory. U= Unsatisfactory, N/A = Not applicable)
ADDITIONAL
EFFLUENT WITH
RECORDS AND REPORTS
PERMIT VERIFICATION
SECTION D-Comments
OPERATION AND MAINTENANCE
COMPLIANCE SCHEDULE
FLOW MEASUREMENTS
SAMPLING PROCEDURES
LABORATORY PRACTICES
OTHER:
SECTION E - Inspection/Review
ENFORCEMENT
JMVJSUM*
USE ONI V
EPA FORM 3560-3 (9-77)
REPLACES EPA FORM T-51 (9-76) WHICH IS OBSOLETE.
PAGE 1 OF 4
-------
CODING INSTRUCTIONS
Column 1
Column 2
Columns 3-11
Column 12-17
Column 18
Column 19
Column 20
Transaction Code - Use N, C, or D for New, Change or
Delete. All inspections will be new unless there is an
error in the data keypunched into WENDB.
Card Code - Always 5 for this card.
NPDES - The NPDES permit number. (The State permit
number may be accommodated in the remarks or additional
spaces).
Inspection Date - Entered in the year/month/day format
(e.g. 77/06/30= June 30, 1977).
Inspection Type - An inspection will fall into one of
two possible categories: 'C1 for Compliance Evaluation
or 'S1 for Compliance Sampling.
Inspector Code - An inspection may be performed by the
Region, State or NEIC (U.S. EPA National Enforcement
Investigations Center). It may also be the result of
a joint effort. (Credit in FPRS for a joint inspection
is given to the lead agency.) Acceptable codes for
WENDB are:
Columns 21-70
R - EPA Regional inspections
S - State inspections
J - Joint EPA and State inspections
T - Joint EPA and State inspections
N - NEIC inspections
EPA lead
State lead
Facility Type - This code describes the type of facility
that was inspected. Acceptable codes are:
1 - Municipal - Publicly-Owned Treatment Works (POTWs)
with 1972 Standard Industrial Classification (SIC)
4952.
2 - Industrial - Other than Municipal, Agricultural,
and Federal facilities.
3 - Agricultural - Those facilities classified with
1972 SIC 0111-0971.
4 _ Federal - Those facilities identified as Federal
by EPA Regional office.
Remarks - This remarks field provides the inspector with
a vehicle to store descriptive information about the
inspection. There is no set format within this 50-
position field. Individual Regions or States may
choose to set aside portions of this field for their
own specific needs. ~
-------
Form Approved
Sections F thru L: Complete on all inspections, as appropriate. N/A = Not Applicable PERMIT N°'
SECTION F - Facility and Permit Background
SECTION G - Records and Reports
RECORDS AND REPORTS MAINTAINED AS REQUIRED BY PERMIT.
DETAILS:
I~IM/
tb) MON TORINO RECORDS (e.g.,flow, pH, D.O., etc.) MAINTAINED FOR A MINIMUM OF THREE YEARS
INCLUDING ALL ORIGINAL STRIP CHART RECORDINGS (e.g. continuous monitoring instrumentation,
calibration and. maintenance records}. pj vp
-------
-------
Form Appro reef
p , , OMB No. 158-R007Z
* "
PERMIT
NO.
SECTION J- Compliance Schedules ' '
PERMITTEE IS MEETING COMPLIANCE SCHEDULE. Q YES D NO D N/A (Further explanation attached ;
CHECK APPROPRIATE PHASE(S):
D (a) THE PERMITTEE HAS OBTAINED THE NECESSARY APPROVALS FROM THE APPROPRIATE
AUTHORITIES TO BEGIN CONSTRUCTION.
D (b) PROPER ARRANGEMENT HAS BEEN MADE FOR FINANCING (mortgage commitments, grants, etc.).
D (c) CONTRACTS FOR ENGINEERING SERVICES HAVE BEEN EXECUTED.
D (d) DESIGN PLANS AND SPECIFJCAT1OMS HAVE BEEN COMPLETED. ....
D (e) CONSTRUCTION HAS COMMENCED. '
D (f) CONSTRUCTION AND/OR EQUIPMENT ACQUISITION IS ON SCHEDULE.
D (g) CONSTRUCTION HAS BEEN COMPLETED.
D (h) START-UP HAS COMMENCED.
Cl li) THE PERMITTEE HAS REQUESTED AN EXTENSION OF TIME.
SECTION K - Self-Monitoring Program
Part 1 - Flow measurement (Further explanation attached ;
PERMITTEE FLOW MEASUREMENT MEETS THE REQUIREMENTS AND INTENT OFTHE PERMIT
DETAILS:
(a) PRIMARY MEASURING DEVICE PROPERLY INSTALLED.
D YES
D YES
TYPE OF DEVICE: DwEIR D PARSHALL F LUME DWAGMETER D VENTURI METER DoTHER/fr,
(b) CALIBRATION FREQUENCY ADEQUATE. (Date oflast calibration )
1C) PRIMARY FLOW MEASURING DEVICE PROPERLY OPERATED AND MAINTAINED
i_j UINUAH Y INS THUMENTS (totaluirs. lecorders, etc.) PROPERLY OPERATED AND MAINTAINED
(e) FLOW MEASUREMENT EQUIPMENT ADEQUATE TO HANDLE EXPECTED RANGES OF FLOW RATES
Part 2 Sampling f Further explanation attached I
PERMITTEE SAMPLING MEETS THE REQUIREMENTS AND INTENT OF THE PERMIT.
DETAILS:
(a) LOCATIONS ADEQUATE FOR REPRESENTATIVE SAMPLES
(b) PARAMETERS ANDSAMPLING FREQUENCY AGREE WITH PERMIT
lc) PERMITTEE IS USING METHOD OF SAMPLE COLLECTION REQUIRED BY PERMIT
IF NO, UGRAB DMANUAL COMPOSITE DAUTOMATIC COMPOSITE FREQUENCY
(d) SAMPLE COLLECTION PROCEDURES ARE ADEQUATE ==
01 SAMPLES_REFRIGERATED DURING COMPOSITING "
(n) PROPER PRESERVATION TECHNIQUES USED
(in) FLOW PROPORTIONED SAMPLES OBTAINED WHERE REQUIRED BY PERMIT
dv) SAMPLE HOLDING TIMES PRIOR TO ANALYSES IN CONFORMANCE WITH 40 CFR 136 3
(e) MONITORING AND ANALYSES BEING PERFORMED MORE FREQUENTLY THAN REQUIRED BY
(f) IF (e) IS YES, RESULTS ARE REPORTED IN PERMITTEE'S SELF-MONITORING REPORT.
'art3 - Laboratory (f-'urt/n-r explanation arracln-cJ i
PERMITTEE LABORATORY PROCEDURES MEET THE REQUIREMENTS AND INTENT OF THE PERMIT
DETAILS:
(a) EPA APPROVED ANALYTICAL TESTING PROCEDURES USED (40 Cl-'R 136 JJ
(b) IF ALTERNATE ANALYTICAL PROCEDURES ARE USED, PROPER APPROVAL HAS BEEN OBTAINED
(c) PARAMETERS OTHER THAN THOSE REQUIRED BY THE PERMIT ARE ANALYZED
(^SATISFACTORY CALIBRATION AND MAINTENANCE OF INSTRUMENTS AND EQUIPMENT
(e) QUALITY CONTROL PROCEDURES USED
(f) DUPLICATE SAMPLES ARE ANALYZED. % OF TiME
I SPIKED SAMPLES ARE USED. . % OF TIME '
(h) COMMERCIAL LABORATORY USED ~~
(i) COMMERCIAL LABORATORY STATE CERTIFIED ~ ~
LAB NAME
D YES
__D YES
D YES
D YES
D YES
D YES
D YES
D YES
D YES
a YES
D YES
D YES
D YES
D YES
D YES .
D YES
D YES
D YES
D YES
D YES
D YES
D YES
D YES
D YES
D YES
n NO
n NO
ecifv
n NO
n NO
n NO
n NO
n NO
n NO
n NO
n NO
PI wn
-...D NO
n NO
C3 NO
n NO
n NO
n NO
n NO
n NO
n NO
n NO
n NO
n NO
n NO
D NO
n NO
n NO
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
P!M/A
a N/A
ON/A
IZ3 N/A
DN/A
CD N/A
ON/A
ON/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
DN/A
LAB ADDRESS
PAGE 3 OF 4
-------
Form Approved
OMB No. 158-R0073
i \ -.*), ' r " ,' ', > -,. T PERMIT NO.
"-:: '«:"'''?'*" '' <' " "* . '
SECTION L - Effluent/Receiving Water Observations (Further explanation attached )
OUTFALL NO.
SECTION M -Sim
OILSHEEN
GREASE
TURBIDITY
VISIBLE
FOAM
VISIBLE
FLO AT SOL
COLOR
OTHER
(Sections M and N: Complete as appropriate for sampling inspections)
plino Inspection Procedures and Observations (Further explanation attached )
D QRAa SAMPLES OBTAIN ED
D COMPOSITE OBTAINED
D FLOW PROPORTIONED SAMPLE
D AUTOMATIC SAMPLER USED
D SAMPLE SPLIT WITH PERMITTEE
D CHAIN OF CUSTODY EMPLOYED
Q SAMPLE OBTAINED FROM FACILITY SAMPLING DEVICE
COMPOSITING FREQUENCY
PRESERVATION
SAMPLE REFRIGERATED DURING COMPOSITING: DYES DNO
SAMPLE REPRESENTATIVE OF VOLUME AND NATURE OF DISCHARGE-
SECTION N - Anilytical Results (Attach report if necessary)
EPA Form 3560-3 (9-77)
M3E 4 OF
-------
APPENDIX B
NPDES DEFICIENCY NOTICE
-------
-------
NATIONAL POLLUTANT DISCHARGE
ELIMINATION SYSTEM (NPDES)
(Read instructions on back of last part before completing)
During the compliance inspection carried out on (date}
E AND ADDRESS
N#D5$ PERMIT NO.
Additional areas of deficiency may be brought to your attention following a complete review of the Inspection Report and'other'in-
formation on file with the REGULATORY AUTHORITY administering your NPDES PERMIT.
F :**?'.: K E F *,e"i. E m e^.r-'E.--s^^fiffli
MONITORING LOC.ATtON^pesorifc^ ;' ' ... ' " : ""/, ...". '.' ' '.'.""^ ~^ . .
;..."'''' -,'VJ ', '' . ")'.''',.. .'...'" .'':' .. ... : ' ' ' ."
FLOW MEASUREMENT (Describe)
SAMPLE COLLECTION/HOLDING TIME (Describe)
SAMPLE PRESERVATION (Describe)
...- -..' ' "
TEST PROCEDURES, SECTION 304(h), 40 CFR 136 (Describe) ~ ~~
RECORD KEEPING (Describe)
OTHER SELF-MONITORING DEFICIENCIES (Describe)
tlt^.0^!:0 ACT!ON7.Your attention to the correction of the deficiencies noted above is requested. Receipt of a descriotion of the corrertiv,. artino.
INSPECTOR'S PRINTED NAME
ORY AUTHORITY/ADDRESS DATE
-------
GENERAL INSTRUCTIONS
This form is only intended to address problems with the permittee's self-monitoring program. It
shall not address specific permit violations relating to effluent limitations, compliance schedules,
etc Issuance of this notice is not intended and must not be construed as a formal enforcement
order or citation. It does not preclude the REGULATORY AUTHORITY from taking additional
Administrative or Legal Action at any time regardless of when or if this notice has been issued.
'(See wording "REQUESTED ACTION" on face of form.)
This notice is to be completed at the end of the inspection. The Original Copy (white) is to be
routed to the REGULATORY AUTHORITY in the same manner as the original Inspection Re-
port One copy is to be given to the permittee at the completion of the inspection. The remain-
ing color coded copies are to be distributed in the same manner as color matching copies of the
Inspection Report.
Enter Permittee (facility) Name/Address, Permittee Representative/Title, and NPDES Permit
Number.
Enter the date the compliance inspection is carried out.
Describe any deficiencies in self-monitoring activities in the appropriate boxes.
In the "Requested Action" section the inspector is to indicate the appropriate permittee response
method which conforms with established NPDES Regulatory Authority policy. Line out the re-
sponse method which does NOT apply. When the Regulatory Authority policy dictates the use
of the second response method, the one NOT-associated with the DMR, the inspector will (1) in-
form the permittee when written response is due and to whom it is to be forwarded, (2) record
both of these reporting requirements under the "Additional Comment" section on the face of
this form.
Enter inspector's Name/Signature/Address/Telephone Number.
Enter REGULATORY AUTHORITY Name/Address.
Enter date this notice is completed and issued.
EPA Form 3560-4 (2-80) (Reverse)
-------
APPENDIX C
SAMPLE 308 LETTER
-------
-------
Certified Mail - Return Receipt Requested
Date
Dear Sir:
Pursuant to the authority contained in Section 308 of the Clean
Water Act (33 U.S.C. 1251 et seq.)/ representatives of the U.S.
Environmental Protection Agency (EPA), or a contractor retained by
EPA, shall conduct, within the next year, a compliance monitoring
inspection of your operations including associated waste treatment
and/or discharge facilities located at
This inspection will ascertain the degree of compliance with the
requirements of the National Pollutant Discharge Elimination System
(NPDES) permit issued to your organization.
Our representatives will observe your process operations,
inspect your monitoring and laboratory equipment and methods, col-
lect samples, examine appropriate records, and will be concerned
with related matters.
In order to facilitate easy access to the plant site, please
provide the name of an individual whom we can contact upon arrival
at the plant. Additionally, we would appreciate receiving a list
of the safety equipment you would recommend that our representatives
have in their possession in order to safely enter and conduct the
inspection. Please provide the information requested within 14 days
of receipt of this letter.
If you have any questions relating to anything concerning this
inspection, please call at
Sincerely yours,
Director
Enforcement Division
-------
-------
APPENDIX D
CONDUCT OP INSPECTIONS AFTER THE
DECISION
-------
-------
WASHINGTON, D.C. 20460
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
VASHINGTON, D.<
11-APR137
mRA OFFICE OF ENFORCEMENT
TO: Regional Administrators
Surveillance and Analysis Division Directors
Enforcement Division Directors
FROM: Assistant Administrator
for Enforcement
SUBJECT: Conduct of Inspections After the Barlow's Decision
I. Summary
This document is intended to provide guidance to the Regions in
the conduct of inspections in light of the recent Supreme Court decision
in Marshall_v._Barlow's, Inc., U.S. , 98 S. Ct. 1816 (1978).
The decision bears upon the need to obtain warrants or other process for
inspections pursuant to EPA-administered Acts.
In Barlow's, the Supreme Court held that an OSHA inspector was not
entitled to enter the non-public portions of a work site without either
(1) the owner's consent, or (2) a warrant. The decision protects the
owner against any penalty or other punishment' for insisting upon a warrant.
In. summary, Barlow*s should only have a limited effect on EPA
enforcement inspections:
o Inspections will generally continue as usual;
o Vfaere an inspector is refused entry, EPA will seek a warrant through
the U.S. Attorney;
o Sanctions will not be imposed upon owners of establishments who insist
on a warrant before allowing inspections of the non-public portions
of an establishment.
The scope of the Barlow's decision is broad. It affects all current
inspection programs of EPA, including inspections conducted by State
personnel and by contractors. The Agency's procedures for inspections,
particularly vfaere entry is denied, ware largely in accord with
the provisions of Barlow's before the Supreme Court issued its ruling.
Nevertheless, a number of changes in Agency procedure are warranted.
Thus, it is important that all personnel involved in the inspection
process be familiar with the procedural guidelines contained in this docu-
ment.
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- 2 -
This document focuses on the preparation for and conduct of inspec-
tions, including (1) how to proceed when entry is denied, (2) under what
circumstances a warrant is necessary, and (3) what showing is neces-
sary to obtain a warrant.
II. Conduct of Inspections
The following material examines the procedural aspects of conducting
inspections under EPA-administered Acts. Inspections are considered in
three stages: (1) preparation for .inspection of premises, (2) entry onto
premises, and (3) procedures to be followed where entry is refused.
A. Preparation
Adequate preparation should include consideration of the following
factors concerning the general nature of warrants and the role of personnel
conducting inspections.
(1) Seeking a Warrant Before Inspection
The Barlow1s decision recognized that, on occasion, the Agency may
wish to obtain a warrant to conduct an inspection even before there has
been any refusal to allow entry. Such a warrant may be necessary when
surprise is particularly crucial to the inspection, or when a company's
prior bad conduct and prior refusals make it likely that warrantless
entry will be refused. Pre-inspection warrants may also be obtained where
the distance to a U.S. Attorney or a magistrate is considerable so that
excessive travel time would not be wasted if entry were denied.
At present, the seeking of such a warrant prior to an initial inspection
should be an exceptional circumstance, and should be 'cleared ^ through
Headquarters. If refusals to allow entry without a warrant increase, such
warrants may be sought more frequently. (For specific instructions on
how to obtain a warrant, see Part D.)
(2) Administrative Inspections v. Criminal Investigations
It is particularly important for both inspectors and attorneys to
be aware of the extent to which evidence sought in a civil inspection can
be used in a criminal matter, and to know when it is necessary to secure a
criminal rather than a civil search warrant. There are three basic rules
to remember in this regard: (1) If the purpose of the inspection is to
discover and correct, through civil procedures, noncompliance with regulatory
requirements, an administrative inspection (civil) warrant may be used;
(2) if the inspection is in fact intended, in whole or in part, to gather
evidence for a possible criminal prosecution, a criminal search warrant
must be obtained under Rule 41 of the Federal Rules of Criminal Procedure;
and (3) evidence obtained during a valid civil inspection is generally
admissible in criminal proceedings. These principles arise from the recent
Supreme Court cases of Marshall v. Barlow's, Inc., supra; Michigan v. Tyler,
U.S. , 98 S.Ct. 1942 (1978); and U.S. v. LaSalle National Bank,
U.S. , 57 L. Ed. 2d 221 (1978). It is not completely clear whether
a combined investigation for civil and criminal violations may be properly
conducted under a civil or "administrative" warrant, but we believe that
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- 3 -
a civil warrant can properly be used unless the intention is clearly to
conduct a criminal investigation. '
(3) The Use of Contractors to Conduct Inspections
Several programs utilize private contractors to aid in the conduct
of inspections. Since, for the purpose of inspections, these contractors
are agents of the Federal government, the restrictions of the Barlow's
decision also apply to them. If contractors are to be conducting
inspections without the presence of actual EPA inspectors, these con-
tractors should be given training in how to conduct themselves when
entry is refused. With respect to obtaining or executing a warrant,
an EPA inspector should always participate in the process, even if
he was not at the inspection where entry was refused.
(4) Inspections Conducted by State Personnel
The Barlow's holding applies to inspections conducted by State
personnel and to joint Federal/State inspections. Because some EPA
programs are largely implemented through the States, it is essential
that the Regions assure that State-conducted inspections are conducted
in compliance with the Barlow's decision, and encourage the State inspec-
tors to consult with their legal advisors when there is a refusal to
allow entry for inspection purposes. State personnel should be encouraged
to contact the EPA Regional Enforcement Office^when any questions con-
cerning compliance with Barlow's arise.
With regard to specific procedures for States to follow, the
important points to remember are: (1) The State should not seek for-
cible entry without a warrant or. penalize an owner for insisting upon
a warrant, and (2) the State legal system should provide a mechanism for
issuance of civil administrative inspection warrants. If a State is
enforcing an EPA program through a State statute, the warrant process
should be conducted through the State judicial system. Where a State
inspector is acting as a contractor to the Agency, any refusal to allow
entry should be handled as would a refusal to an Agency inspector as
described in section II.B.3. Where a State inspector is acting as a
State employee with both Federal and State credentials, he should utilize
State procredures unless the Federal warrant procedures are more advantageous,
in which case, the warrant should be sought under the general procedures
described below. The Regions should also .assure that all States which
enforce EPA programs report any denials of entry to the appropriate
Headquarters Enforcement Attorney for the reasons discussed in section
II.B.4.
B. Entry ; . ;..-
(1) Consensual Entry
One of t±ie'assumptions underlying the Court's decision is that
most inspections :will be- consensual and that the administrative inspec-
tion framework will thus. not be ..severely disrupted. Consequently, inspec-
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- 4 -
tions will normally continue as.before the Barlow1s decision was issued.
This means that the inspector will not normally secure a warrant before
undertaking an inspection but, in an attempt to gain admittance, will
present his credentials and issue a notice of inspection where required.
The establishment owner may complain about allowing an inspector to enter
or otherwise express his displeasure with EPA or the Federal government.
However, as long as he allows the inspector to enter, the entry is voluntary
and consensual unless the inspector is expressly told to leave the premises.
Oh the other hand, if the inspector has gained entry in a coercive manner
(either in a verbal or physical sense), the entry would not be consensual.
Consent must be given by the owner of the premises or the. person in
charge of the premises at the time of the inspection. In the absence_
of the owner, the inspector should make a good faith effort to determine
who is in charge of the establishment and present his credentials to
that person. Consent is generally needed only to inspect the non-public_
portions of an establishment - i.e., any evidence that an inspector obtains
while in an area open to the public is admissible in an enforcement
proceeding.
(2) Withdrawal of Consent
The owner may withdraw his consent to the inspection at any time.
The inspection is valid to the extent to which it has progressed before
consent was withdrawn. Thus, observations by the inspector, including
samples and photographs obtained before consent was withdrawn, would be
admissible in any subsequent enforcement action. Withdrawal of consent
is tantamount to a refusal to allow entry and should be treated as
discussed in section II.B.3. below, unless the inspection had progressed
far enough to accomplish its purposes.
(3) When Entry is Refused
Barlow's clearly establishes that the owner does have the right
to ask for a warrant under normal circumstances.1 Therefore, refusal
to allow entry for inspectional purposes will not lead to civil or criminal
penalties if the refusal is based on the inspector's lack of a warrant
and one of the exemptions discussed in Part C does not apply. If the
owner were to allow the inspector to enter his establishment only in
response to a threat of enforcement liability, it is quitepossible that
any evidence obtained in such an inspection would be inadmissible. _An
inspector may, however, inform the owner who refuses entry that he intends
to seek a warrant to compel the inspection. In any event, when entry is
FIFRA inspections are arguably not subject to this aspect of Barlow' s
See discussion, p. 5 and 6.
-------
_ c _
refused, the inspector should leave the premises immediately and telephone
the designated Regional Enforcement Attorney as soon as possible for
further instructions. The Regional Enforcement Attorney should contact
the U.S. Attorney's Office for the district in which the establishment
n^Sfc?^ inspected is located and explain to the appropriate Assistant
United States Attorney the need for a warrant to conduct the particular
inspection. The Regional Attorney should arrange for the United States
Attorney to meet with the inspector as soon as possible. The inspector
should bring a copy of the appropriate draft warrant and affidavits
Samples are provided in the appendix to this document.
(4) Headquarters Notification
, It is essential that the Regions keep Headquarters informed of
all refusals to allow entry. The Regional Attorney should inform the
appropriate Headquarters Enforcement Attorney of any refusals to enter
and should send a copy of all papers filed to Headquarters, it is
necessary for Headquarters to monitor refusals and Regional success in
obtaining warrants to evaluate the need for improved procedures and to
assess the ompact of Barlow's on our ccmpliance monitoring programs.
C. Areas Where a Right of Warrantless Entry Still Exists
1. Emergency Situations.
_ In an _ emergency, where there is no time to get a warrant, a warrant-
less inspection is permissible. In Camara v. Municipal Court 387 U S 523
(1967), the Supreme Court states that "nothing we say today is intended
to foreclose prompt inspections, even without a warrant, that the law has
traditionally upheld in emergency situations". Nothing stated in Barlow's
indicates any intention by the court to retreat from this position The"
Regions will always have to exercise considerable judgment concerning
whether to secure a warrant when dealing with an emergency situation
However, if entry is refused during an emergency, the Agency would need
the assistance of the U.S. Marshal to gain entry, and a warrant could
probably be obtained during the time necessary.to secure that Marshal's
assistance.
An emergency situation would include potential imminent hazard
situations, as well as, situations where there is potential for destruction
of evidence or where evidence of a suspected violation may disappear during
the tame that a warrant is being obtained.
(2) FIFRA Inspections.
_ There are some grounds for interpreting Barlow's as not beira
applicable to FIFRA inspections. The Barlow's restrictions do not apply
to areas that have been subject to a long standing and pervasive histow
-------
- 6 -
of government regulation. An Agency administrative law judge held recently
that even after the Barlow1 s decision, refusal to allow a warrantless
inspection of a FIFRA regulated establishment properly subjected the
owner to civil penalty. N. Jonas & Co., Inc., I.P. & R Docket No. III-121C
(July 27, 1978). For the present, however, FIFRA inspections should be
conducted under the sane requirements applicable to other enforcement
programs.
(3) "open Fields" and "In Plain View" situations.
Observation by inspectors of things that are in plain view, (jL.e..,
of things that a member of the public could be in a position to observe) does
not require a warrant. Thus, an inspector's observations from the public
area of a plant or even from certain private property not closed to
the public are admissible. Observations made even before presentation of
credentials while on private property which is not normally closed to the
public are admissible.
D. Securing a Warrant
There are several general rules for securing warrants. Three
documents have to be drafted: (a) an application for a warrant, (b) an
accompanying affidavit, and (c) the warrant itself. Each document should be
captioned with the District Court of jurisdiction, the title of the action,
and the title of the particular document.
The application for a warrant should generally identify the statutes
and regulations under which the Agency is seeking the warrant, and should
clearly identify the site or establishment desired to be inspected
(including, if possible, the owner and/or operator of the site).
The application can be a one or two page document if all of the factual
background for seeking the warrant is stated in the affidavit, and the
application so states. The application should be signed by the U.S.
Attorney or by his Assistant U.S. Attorney.
The affidavits in support of the warrant application are crucial
documents. Each affidavit should consist of consecutively numbered para-
graphs, which describe all of the facts that support warrant issuance. If
the warrant is sought in the absence of probable cause, it should recite
or incorporate the neutral administrative scheme which is the basis for
inspecting the particular establishment. Each affidavit should be signed
by socnBone with cersonal knowlege of all the facts stated. In cases-where
entry has been denied, this person would most likely be the inspector
who was denied entry. Note that an affidavit is a sworn statement that
must either by notarized or personally sworn to before the magistrate.
-------
- 7 -
The warrant is a direction to an appropriate official (an EPA
inspector, U.S. Marshal or other Federal officer) to enter a
specifically described location and perform specifically described
inspection functions. Since the inspection is limited by the terms of
the warrant, it is important to specify to the broadest extent possible
the areas that are intended to be inspected, any records to be inspec-
ted, any samples to'be taken, any articles to be seized, etc. While
a broad warrant may be permissible in civil administrative inspections,
a vague or overly broad warrant will probably not be signed by the
magistrate and may prove susceptible to constitutional challenge
The draft warrant should be ready for the magistrate's signature at the
time of submission via a motion to quash and suppress evidence in
Federal District court. Once the magistrate signs the draft warrant, it
is an enforceable document. Either following the magistrate's signature
or on a separate page, the draft warrant should contain a "return of
service" or "certificate of service". This portion of the warrant should
indicate upon whom the warrant was personally served and should be signed
and dated by the inspector. As they are developed, more specific warrant-
issuance documents will be drafted and submitted to the Regions.
E. Standards or Bases for the Issuance of Administrative Warrants.
The Barlow's decision establishes three standards or bases for the
issuance of administrative warrants. Accordingly, warrants may be obtained
upon a showing: 1) of traditional criminal probable cause, 2) of civil
probable cause, or 3) that the establishment was selected for inspection
pursuant to a neutral administrative inspection scheme.
! Civil specific probable cause warrant.
Where there is some specific probable cause for issuance of a warrant,
such as an employee complaint or competitor's tip, the inspector should be
prepared to describe to the U.S. Attorney in detail the basis for this
probable cause.
The basis for probable cause will be stated in the affidavit in
support of^the warrant. This warrant should be used when the suspected
violation is one that would result in a civil penalty or other civil
action.
2« Civil probable cause based on a neutral administrative
inspection scheme. ~~
_ Where there is no specific reason to think that a violation has been
committed, a warrant may still be issued if the Agency can show that the
establishment is being inspected pursuant to a neutral administrative
scheme. As the Supreme Court stated in Barlow's;
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"Probable cause in the criminal law sense is not required.
For purposes of an administrative search, such as this, probable
cause justifying the issuance of a warrant may be based not only
on specific evidence of an existing violation, but also on a
showing that "reasonable legislative or administrative standards
for conducting an ... inspection are satisfied with respect
to a particular [establishment]". A warrant showing that a speci-
fic business has been chosen for an OSHA search on the basis of a
general administrative plan for the enforcement of the act derived
frcm neutral sources such as, for example, dispersion of employees
in various type of industries across a given area, and the desired
frequency of searches in any of the lesser divisions of the area,
would protect an employers Fourth Amendment rights."
Every program enforced by the Agency has such a scheme by which it prioritizes
and schedules its inspections. For example, a scheme under which every permit
holder in a given program is inspected on an annual basis is a satisfactory
neutral administrative scheme. Also, a scheme in which one out of every three
known PCS transformer repair shops is inspected on an annual basis is satis-
factory, as lorn as, neutral criteria such as random selection are used to
select the individual establishment to be inspected. Headquarters will prepare
and transmit to the Regions the particular neutral administrative scheme under
which each program's inspections are to be conducted. Inspections not based
on specific probable cause must be based on neutral administrative schemes for
a warrant to be issued. Examples of two neutral administrative schemes are
provided in the appendix. (Attachments II and III)
The Assistant U.S. Attorney will request the inspector to'prepare and
sign an affidavit that states the facts as he knows them. The statement
should include the sequence of events culminating in the refusal to allow
entry and a recitation of either the specific probable cause or the
neutral administrative scheme which led to the particular establishment s
selection for inspection. The Assistant U.S. Attorney will then present
a request for an inspection warrant, a suggested warrant, and the inspector s
affidavit to a magistrate or Federal district court judge.
3. Criminal Warrants.
Where the purpose of the inspection is to gather evidence for a
criminal prosecution, the inspector and the Regional Attorney should request
that the U.S. Attorney seek a criminal warrant under Rule 41 of the Federal
Rules of Criminal Procedure. This requires a specific showing of probable
cause to believe that evidence of a crime will be discovered. Agency policy
on the seeking of criminal warrants has not been affected by Barlow's. The
The Barlow's decision states that imposing the warrant requirement
on OSHA would not invalidate warrantless search provisions in other
regulatory statutes since many such statutes already ."envision resort
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distinction betvsen administrative inspections and criminal warrant
situations is discussed in Section II.A.2.
P. Inspecting with a Warrant
Once the warrant has been issued by the magistrate or judge, the
inspector may proceed to the establishment to commence or continue the
inspection. Where there is a high probability that entry will be refused
eSni^£ a "^^ or *iere «*» are threats of violence, the inspector
should be accompanied by a U.S. Marshal when he goes to serve the warrant
on the recalcitrant owner. The inspector should never hinself attempt
to make any forceful entry of the establishment. If the owner refuses
entry to an inspector holding a warrant but not accompanied by a U.S
Marshal, the inspector should leave the establishment and inform the
Assistant U.S. Attorney and the designated Regional Attorney. Thev will
take Appropriate action such as seeking a citation for contempt. Where
JS-SP6^ 1S a;canpa?ied bv a u-s- Marshal, the Marshal is principally
charged with executing the warrant. Thus, if a refusal or threat to
SS °^S'^? ^^tor should abide by the U.S. Marshal's decision
whether it is to leave, to seek forcible entry, or otherwise.
The inspector should conduct the inspection strictly in accordance
f n"?1?!' If sampling is authorized, the inspector must be sure
carefully follow all procedures, including the presentation of receipts
all^am?les tfken- If records or other property are authorized to bT
taken, the inspector must receipt the property taken and maintain an
inventory of anything taken fron the premises. This inventory will be
examined by the magistrate to assure that the warrant's authority has
not been exceeded. *
2 continued from page 8.
to Federal court enforcement when entry is refused". There is thus
some question as to whether the existence of a non-warrant Federal
court enforcement mechanism in a statute requires the use of that
mechanism rather than warrant issuance. We believe that the Barlow's
decision gives the 'agency the choice of whether to proceed through warrant
issuance or through an application for an injunction, since the decSST
is largely based on the fact that a warrant procedure imposes virtually
no burden on the inspecting agency, m addition, an agency could attempt
to secure a warrant prior to inspection on an ex parte basis, something
£nlaV^ ? L^?r n°mal ^unction Proceedings7~siveral of the acts
enforced by EPA have provisions allowing the Administrator to seek
inijunctive relief to assure compliance with the various parts of a
particular statute. There may be instances where it vouS be morS apprc-
lnnunctive relief to gain entry to a facility than to
a ;iSrrant for inspection, although at thS poinYwe
any- However' since the warrant process will Itete
°f ** -ction any deSsiSn 2
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G. Returning the Warrant.
After the inspection has been completed, the warrant must be returned
to the magistrate. Whoever executes the warrant, (i.e., whoever performs
the inspection), must sign the return of service form indicating to whom
the warrant was served and the date of service. He should then return
the executed warrant to the U.S. Attorney who will formally return it to
the issuing magistrate or judge. If anything has been physically taken
from the premises, such as records or samples, an inventory of such items_
roust be submitted to the court, and the inspector must be present to certify
that the inventory is accurate and complete.
III. Conclusion
Except for requiring the Agency to formalize its neutral inspection
schemes, and for generally ending the Agency's authority for initiating
civil and/or criminal actions for refusal to allow warrantless inspections,
Barlow's should not interfere with EPA enforcement inspections.
Where there is doubt as to how to proceed in any entry case,
do not hesitate to call the respective Headquarters program contact for
assistance.
Marvin B. Burning
JJ.U.S. GOVERNMENT PRINTING OFFICE, t 98 1-34 1 - 082/21 4
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