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UNITED STATES ENVIRONMENTAL PROTECTION
OFFICE OF ENFORCEMENT
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EPA-330/9-89-003-R
MULTI-MEDIA INVESTIGATION MANUAL
Revised March-1992
U S Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12tn t-«WT
Chicago, IL 60604-3590
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Denver, Colorado
Prepared in cooperation with Environmental Services Divisions
Regions I through X
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Mention of commercial names is for example purposes and
does not constitute endorsement by EPA. Additionally, this
manual supplements, not supersedes, Standard Operating
Procedures, Policy and Procedures Manuals, and any other
EPA guidance.
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CONTENTS
INTRODUCTION l
PURPOSE AND SCOPE OF THIS MANUAL 5
PROJECT REQUEST/IDENTIFICATION 9
PROJECT TEAM FORMATION 10
REQUIRED SKILLS AND QUALIFICATIONS .... in
INVESTIGATOR RESPONSIBILITY '.!.'.'.'.'.'.'.'.'.'."'.'.'.'.!.' 12
BACKGROUND INFORMATION REVIEW 13
FEDERAL/STATE/LOCAL FILE REVIEW 13
RECONNAISSANCE 14
EPA DATABASE REVIEWS '.'."'.'.'.'.I'.'.".' 14
PROJECT PLAN DEVELOPMENT 16
PROJECT PLAN 16
NOTIFICATIONS/SCHEDULING ".'"!.'."!.'!!!.'"" 18
FIELD INSPECTION 21
DEVELOPING AN INSPECTION STRATEGY... 21
CONDUCTING THE ON-SITE INSPECTION """""28
Entry 28
Opening Conference 30
General Facility Tour 34
Process/Waste Management Evaluation !.'.'! 34
Document Reviews 37
Sampling .........28
Closing Conference 39
MEDIA SPECIFIC INVESTIGATION PROCEDURES 41
RESOURCE CONSERVATION AND RECOVERY ACT (RCRA) 41
Basic Program 41
Subtitle C - Hazardous Wastes ....42
Subtitle I - Underground Storage Tanks 56
Subtitle J - Medical Waste Regulations 58
Pollution Prevention 62
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CONTENTS (cont.)
CLEAN WATER ACT (CWA)
Basic Program [[[ §4
Evaluating Compliance ...................................... ........ .65
CLEAN AIR ACT (CAA)
Basic Program gg
Evaluating Compliance 70
SAFE DRINKING WATER ACT (SDWA) 73
Basic Program 73
Evaluating Compliance 73
TOXIC SUBSTANCES CONTROL ACT (TSCA) 75
Basic Program 75
Evaluating Compliance '." 77
FEDERAL INSECTICIDE, FUNGICIDE, AND
RODENTICIDE ACT (FIFRA) 84
Basic Program 84
Evaluating Compliance 84
EMERGENCY PLANNING AND COMMUNITY
RIGHT-TO-KNOW ACT (EPCRA) 87
Basic Program 3?
Evaluating Compliance .............!88
COMPREHENSIVE EMERGENCY RESPONSE,
COMPENSATION, AND LIABILITY ACT (CERCLA) 90
LABORATORY AND DATA QUALITY AUDITS '.'.'.'.'.".'.'.I!!'.92
FIELD CITATIONS AND DOCUMENTATION 95
Field Citations 95
Other Facility Material ................."............. 95
Project Logbook ..!......!......". 96
Chain-of-Custody ......................96
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CONTENTS (cont.)
*
INVESTIGATION REPORT
OCCUPATIONAL SAFETY AND HEALTH
ADMINISTRATION
REFERENCES
APPENDICES
A Summary of Pollution Control Legislation
B Multi-Media Inspections - Definitions and Training
C Team Leader Responsibilities and Authorities
D Types of Information
E Sources of Information
F Project Plan and Safety Plan Examples
G Multi-Media Investigation Equipment Checklist
H Suggested Records/Document Request
I Multi-Media Checklists
J Investigation Authority/Summary of Environmental Acts
K Evidentiary Procedures for Photographs/Microfilm
L Key Principles and Techniques for Interview;ng
M Sampling Guidelines
N Land Disposal Restrictions Program
0 Sources Subpart (40 CFR Part 60) Effective Date of Standard Air
Pollutants Subject to NSPS
P TSCA Forms
Q TSCA Sections 5 and 8 Glossary of Terms and Acronyms
FIGURE
1 Project Phases 7
2 Multi-Media Investigative Approach........................ 23
3 Multi-Media Inspection Feedback Loops...!"!!.'"!."".'"!."!!!!!!!."!.'!"]! 26
TABLE
Permitted vs. Interim Status 47
111
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INTRODUCTION
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INTRODUCTION
This manual is intended as a guide for investigators who conduct
multi-media environmental compliance investigations of facilities that dis-
charge, emit, prepare, manage, store, or dispose of pollutants controlled by
Federal, State, or local environmental laws and regulations. Investigative
methods are presented that integrate the enforcement programs for air,
water, solid waste, pesticides, and toxic substances. This manual describes
general activities and functions of multi-media investigations, and provides
information on special features of specific media and associated statutes.
This manual is intended to supplement the various media-specific
investigation guides listed in the reference section.
Multi-media compliance investigations are intended to determine a
facility's status of compliance with applicable laws, regulations, and
permits.
The environmental laws which EPA administers and enforces are
summarized in Appendix A. Emphasis is given to identifying violations of
regulations, permits, approvals, orders and consent decrees, and the
underlying causes of such violations. Investigators should thoroughly
identify and document violations and problems that have an existing or
potential effect on human health and the environment.
All inspections can be grouped into four categories of increasing
complexity, moving from Category A (a program-specific compliance
inspection) to Category D, (a complex multi-media investigation) depending
upon the complexity of the facility and the objectives of the investigation.
Factors in categorizing the investigation include the complexity of pollution
sources, facility size, process operations, pollution controls, and the
personnel and time resources which are required to conduct the
compliance investigation. The four categories of investigations are
described below [Appendix B]:
Category A: Program-specific compliance inspections, conducted by one
or more inspectors. The objective is to determine facility
compliance status for program-specific regulations.
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INTRODUCTION
Category B:
Category C:
Program-specific compliance inspections (e.g., compliance
with hazardous waste regulations), which are conducted by
one or more inspectors; however, the inspector(s) screen for
and report on obvious, key indicators of possible
noncompliance in other environmental program areas.
Category B multi-media inspections have limited, focused
objectives and are most appropriate for smaller, less complex
facilities that are subject to only a few environmental laws.
The objective is to determine compliance for program specific
regulations and to refer information to other programs based
on screening inspections.
Several concurrent and coordinated program-specific
compliance investigations conducted by a team of
investigators representing two or more program offices. The
team, which is headed by a team leader, conducts a detailed
compliance evaluation for each of the target programs.
Category C multi-media investigations have more compli-
ance issues to address than the Category B inspection and
are more appropriate for intermediate to large facilities that
are subject to a variety of environmental laws. The objective
is to determine compliance for several targeted program-
specific areas. Reports on obvious, key indicators of possible
noncompliance in other environmental program areas are
also made.
Category D:
These .comprehensive facility evaluations address not only
compliance in targeted program specific regulations, but also
try to identify environmental problems that might otherwise
be overlooked. The initial focus is normally on facility
processes to identify activities (e.g., new chemical
manufacturing) and byproducts/waste streams potentially
subject to regulation. The byproducts/waste streams are
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INTRODUCTION
traced to final disposition (on-site or off-site treatment,
storage, and/or disposal). When regulated activities or waste
streams are identified, a compliance evaluation is made with
respect to applicable requirements.
The investigation team, headed by a team leader, is com-
prised of staff thoroughly trained in different program areas.
For example, a large industrial facility with multiple process
operations may be regulated under numerous environmental
statutes, such as the Clean Water Act (CWA), Clean Air Act
(CAA), Resource Conservation and Recovery Act (RCRA),
Toxic Substances Control Act (TSCA), Comprehensive
Environmental Response, Compensation and Liability Act
(CERCLA), and the Federal Insecticide and Rodenticide Act
(FIFRA). The on-site investigation is conducted during one
or more time periods, during which intense concurrent pro-
gram-specific compliance evaluations are conducted, often by
the same cross-trained personnel.
Category D multi-media investigations are thorough and,
consequently, resource intensive. They are appropriate for
intermediate to large, complex facilities that are subject to a
variety of environmental laws. Compliance determinations
are made for several targeted program-specific areas.
Reports on possible noncompliance are made for other
program areas.
Generally, all investigations will use essentially the same protocols,
including pre-inspection planning, use of a project plan, sampling,
inspection procedures, and final report. The major difference will be in the
number of different regulations Categories C and D investigations address.
The multi-media approach to investigations (which is described in
Categories C and D) has several advantages over a program-specific
inspection, including:
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INTRODUCTION
A more comprehensive and reliable assessment of a facility's
compliance with fewer missed violations
Improved enforcement support and better potential for
enforcement
A higher probability to uncover/prevent problems before they
occur or before they manifest an environmental or public
health risk
Ability to respond more effectively to non-program specific
complaints, issues, or needs and develop a better
understanding of cross-media problems and issues, such as
waste minimization
The success of a multi-media investigation program is contingent
upon a good managerial system and the support of upper management.
Since these investigations will often be conducted at larger facilities,
adequate resources (time and personnel) must be provided. Good
communications during the planning phase are essential to define the
scope of work and each team member's role in the inspection.
Communications could also include state officials since state inspectors
might also participate as team members. Often, because of the extent of the
state's knowledge of the facility and its problems, state involvement is
critical to the success of the investigation. Similarly, coordination with
other Federal or local agencies needs to be addressed, as necessary.
Branch Chiefs and Section Chiefs are important in implementing the
multi-media inspection program and identifying areas of responsibility and
accountability. Some of their duties include:
Identify team leaders
Form investigation teams
Provide access to training and other means necessary to
develop multi-media investigation expertise
Participate in targeting investigations
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INTRODUCTION
Ensure that team activities both internal and external to their
Divisions are coordinated
Market multi-media investigations to programs
Oversee the preparation of a site-specific project plan and
safety plan prior to the investigation
Provide managerial support while teams are in the field
Ensure quality of final reports
The roles and areas of responsibility and accountability of other
managers, technical staff, and team leaders must be defined. Participants
need to identify and agree on what evidence is needed and the scope of work
to be conducted. Next, a project plan and safety plan that outlines the
desired objectives and safety considerations must next be prepared by the
team leader. Other responsibilities for the technical staff, which often
mirror or complement those of managers, are as follows:
Contact state counterparts
Assist in investigation preparation, including logistical
considerations
Coordinate activities internal and external to their Division
Provide legal support for obtaining warrants when necessary
Provide training for investigators
Prepare reports
Distribute reports and followup for multi-media enforcement
PURPOSE AND SCOPE OF THIS MANUAL
Multi-media investigations are carried out in response to specific
requests from the EPA program offices, legal staff, or state environmental
offices. All investigations will result in a written report that documents
non-compliance or other areas of concern identified during the
investigation. Report guidelines for documenting a multi-media
investigation are discussed later in this document.
i
This manual provides guidelines for conducting Categories C and D
multi-media investigations, as well as, suggests principles and procedures
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INTRODUCTION
which will also apply to Categories A and B or single media investigations.
Moreover, this manual identifies multi-media objectives and also focuses
on specific environmental laws and associated statutes.
The manual's organization follows the steps involved in a multi-
media investigation beginning with the project request and leading
ultimately to enforcement case support.
Multi-media investigations are conducted as a series of tasks or
phases, which usually include:
Project request/identification of objectives
Project team formation
Background information review
Project Plan preparation
On-site field inspection
Report preparation
Enforcement case support
These phases are depicted in Figure 1 and discussed in detail in the
following sections. Each phase is not necessarily a discrete step to be
completed, in order, before initiating the next phase. The background
information review, for example, usually continues through enforcement
case support.
Where established policies and procedures do not exist, common
sense, professional judgment, and experience should be applied.
Investigators need to collect valid, factual information and supporting data
to document violations adequately. The documentation must be admissible
as evidence in any subsequent enforcement action.
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Figure 1
PROJECT PHASES
Request for assistance ^_^_i_^V""^^^^_^_^
Management
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"*"" _ ^T^ irrmirr "^S
__^. Kl ,ijlll,M UK. 1«^
/~~ ^ " "" ^^^~^ i """^fc
2 ^v "^ ^
requesting party . j . ^
/ l \ "^
' 1 ^^
/ \ -v.
/ *
PROJECT TEAM
FORMATION
Identify project objectives
Identify applicable statutes
Determine evidence to be
obtained
Define workloads and
timeframes
Identify level of technical
expertise required to evaluate
target source
BACKGROUND
-INFORMATION
1 REVIEW
Applicable
current and
historic data
Legal &
technical
information
searches
Recon
inspection
(if desired)
-i*-
PROJECT PLAN
PREPARATION
Background
information
Investigation
objectives, tasks,
methods
QA/QC procedures
Document control
& ehain-of-custody
procedures
Safety
requirements
& site safety plan
Schedules of
investigation
activities
-**
ENFORCEMENT
CASE SUPPORT
Subsequent negotiations
and/or litigation
j
^ ^
ON-SITE
FIELD
INSPECTION
Facility inspections
Process & pollution
control technology
evaluations
Sampling &
monitoring
data collection
Lab analyses and
c aiuauuiib
-t»-
i
REPORT
PREPARATION
Investigation
findings
Supporting
information
Documentation
Draft report
Review
process
Enforcement
investig
ation reports
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INTRODUCTION
Each investigation should be conducted as though it will be contested
in court. The investigation and all supporting evidence and documentation
may be contested by highly skilled defense counsel as unprofessional,
inaccurate, misinterpreted, etc. Because the Agency's case will depend
heavily on the investigative findings, the investigation must be complete
and accurate.
Since a multi-media investigation by its very nature probes into a
facility's processes under multiple environmental regulations, it provides a
highly effective way of looking at a non-complying facility. Overall
objectives of a multi-media investigation include:
Determine compliance status with applicable laws, regula-
tions, permits, and consent decrees
Determine ability of a facility to achieve compliance across all
environmental areas
Identify need for remedial measures and enforcement
action(s) to correct the causes of violations
Evaluate a facility's waste producing, treatment, manage-
ment, and pollution control practices and equipment
Evaluate facility self-monitoring capability
Evaluate facility recordkeeping practices
* Evaluate facility waste minimization/pollution prevention
programs
Obtain appropriate samples
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PROJECT TEAM FORMATION
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PROJECT REQUEST/IDENTIFICATION
The success of a multi-media investigation depends on thorough,
up-front planning. Coordination with all interested and knowledgeable
parties [i.e., Region, State, National Enforcement Investigations Center
(NEIC), investigation team members, supervisory staff] is essential to
ensure an efficient and thorough investigation. Each program office
should be contacted to assure that all interested parties are aware of the
planned multi-media investigation. Furthermore, depending upon
State/EPA agreements, the State should (may) be notified of the pending
investigation. All concerned parties should be involved as soon as possible
to facilitate coordination. Coordination with other Federal agencies, such
as Occupational Safety and Health Administration (OSHA) or Corps of
Engineers, may be needed in joint Federal investigations.
There must be agreement on the part of program and support offices
and Regional Counsel, and perhaps the State as well, on the overall scope of
work for a particular investigation. The scope must be clearly
communicated to managers and the investigators and stated in the project
plan. Clearly defined objectives are critical to the success of any
investigation; the objectives should be well defined at the time of the initial
request. At the time the project plan is developed, the objectives will be
further refined (see section titled Project Plan Formation). Communication
among the involved parties should be the initial step of pre-investigation
planning but should also continue throughout the investigation, because of
unanticipated events often associated with field work.
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PROJECT REQUEST/
IDENTIFICATION
Regions|
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PROJECT TEAM FORMATION
REQUIRED SKILLS AND QUALIFICATIONS
Each multi-media investigation team should be composed of qualified
field inspectors. Each team member should bring special program
expertise and experience and must be well trained . i most facets of
conducting a field investigation, including sampling.
Most of the investigators on the team, including the team leader,
should be current field investigators who already possess most of the
necessary skills and qualifications. However, flexibility in team selection
must exist in order to use skills in the organization and ensure that the
expertise is represented for a given situation. There may be circumstances
where a permit writer, hydrogeologist, toxicologist, or some other special
discipline will be needed on the team.
The team leader has overall responsibility for the successful
completion of the multi-media investigation. (Team leader responsibilities
and authorities are presented in Appendix C.) In addition, other
investigators may be designated as leads for each of the specific
media/programs that will be addressed. These individuals may work alone
or have one or more inspectors/samplers as assistants, depending on
workloads and training objectives. However, all investigation team
members should report directly to, and be accountable to, the team leader.
Some of the more important skills and qualifications that are
necessary for team members, are as follows:
Knowledge of the Agency's policies and procedures regarding
inspection authority, entry procedures/problems, enforcement
actions, legal issues, and safety
Thorough familiarity with sampling equipment, quality
assurance (QA) requirements for sample collection,
identification and preservation, and chain-of-custody
procedures
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PROJECT TEAM FORMATION
Knowledge of manufacturing/waste producing processes,
pollution control technology, principles of waste management,
flow measurement theory and procedures, and waste
monitoring techniques/equipment
Investigatory skills including ability to gather evidence
through good interviewing techniques and astute observations
Up-to-date experience in conducting compliance inspections
Communication skills
Basic understanding of the procedures for obtaining
administrative warrants, including preparation of affidavits,
technical content of the warrant application, and warrant and
procedures for serving a warrant
For each of the areas addressed in the multi-media
investigations, there should be at least one team member
trained in that area. Furthermore, at least one team member
should have considerable knowledge of laboratory (analytical)
methods and quality assurance (QA) requirements, if a
laboratory evaluation is to be conducted.
EPA Order 3500.1 sets forth specific training requirements for any
EPA investigator who is leading a single media investigation. These
training requirements include both general inspection procedures and
media specific procedures. While an individual leading a multi-media
investigation may not have had the media-specific training for each media
covered during that multi-media investigation, the team leader should
have the media specific training for at least two of the media. In addition,
the team leader should have experience and skills in the following areas.
Leadership
Project managemen^
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PROJECT TEAM FORMATION
Lead for inspections in more than one program/media
Multi-media investigations
INVESTIGATOR RESPONSIBILITY
Investigators must conduct themselves in a professional manner
and maintain credibility. A cooperative spirit should be cultivated with
facility representatives, when possible. All investigators should maintain a
sensitivity to multi-media issues and implications and freely discuss, with
other members of the team, observations/findings relating to one or more
programs (or cross-program lines). Moreover, investigators must
remember to adhere to the project plan,* as well as both the Agency's and
the facility's safety plans or requirements.
Investigators should restrict their on-site activities to the normal
working hours of the facility, as much as possible. Investigators will need
to keep abreast of specific program regulations and should also coordinate,
as necessary, with other EPA and State inspectors and laboratory staff (if
samples will be collected). The investigation team should implement
appropriate field note taking methods and proper document control
procedures, particularly when the company asserts a "confidential" claim.
Investigators must assume that important documents (e.g., project plan,
safety plan, and logbooks) are not left unattended at the facility. Sensitive
discussions do not take place in front of facility personnel or on company
telephones.
Field conditions may dictate plan modifications. Reasons for modifications should
be thoroughly documented.
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BACKGROUND
INFORMATION REVIEW
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BACKGROUND INFORMATION REVIEW
FEDERAL/STATE/LOCAL FILE REVIEW
The investigation team must collect and analyze available
background information in order to better plan and perform the multi-
media investigation. The objective of the review is to allow EPA staff to
(1) become familiar with the facility, (2) clarify technical and legal issues
prior to the inspection, (3) use resources wisely, and (4) provide information
to allow each inspector to develop a list of questions to be answered and
documents to be obtained during the on-site inspection. For example, the
investigators should understand the facility's process(es) to the extent
possible and know where past problems have occurred, based on file/data
reviews. Much of the total time spent on an investigation should be spent
on planning and preparing for the investigation. This will prevent classic
oversights such as being on the road and not knowing where the facility is,
or walking past the operation that received a Notice of Violation in five
previous inspections. Investigators should check with the program staff
(Federal/State/local, etc.) to gain as much knowledge as possible about the
site. Federal/State/local file reviewers should pay particular attention to the
following:
Permits and permit applications
Process and wastewater flow charts
Prior inspection reports
Enforcement documents including Administrative Orders,
Complaints, Consent Decrees/Agreements, Notices of
Noncompliance (NONs), Deficiency Notices, Compliance
Schedules, Cease and Desist Orders, Closeout Documents,
Notices of Violations, etc.
Facility responses to all of the above
Facility records, reports, and self-monitoring data
QA documentation
Exemptions and waivers
Maps showing facility layout and waste management/
discharge sites
Records of citizen complaints
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BACKGROUND INFORMATION REVIEW
Consultant's reports
Potential cross-program issues
Annual reports
Hazardous waste manifests
Spill reports
A more detailed list of types of information which may be acquired
and reviewed is presented in Appendix D.
RECONNAISSANCE
A reconnaissance inspection of the facility may be conducted in
conjunction with gathering background information from State and local
files. Administrative details and logistics are usually discussed during a
reconnaissance that will help the on-site inspection proceed more
efficiently. A reconnaissance inspection is particularly important if a
complex facility is being investigated or if the facility has never been
inspected by the team leaders. At least the team leader should participate
in the reconnaissance. No reconnaissance is conducted if the investigation
will be unannounced, or if the team has extensive knowledge of the facility
(see Project Plan Formation Section).
EPA DATABASE REVIEWS
Additional facility background material should be obtained from EPA
databases. (Acronyms are defined in Appendix E.) At a minimum, the
inspectors should use the following:
TRIS (provides facility data on past releases of toxic/hazardous
substances to the environment, as required by Section 311 of
SARA)
DUNS Market Identifiers: Commercial systems that tracks
the owners and financial information for publicly- and
privately-owned companies in the U.S.
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BACKGROUND INFORMATION REVIEW
PCS (provides CWA/NPDES permit related information, DMR
data, receiving stream data, some enforcement related
material, and inspection history for "major" wastewater
discharges)
RCRIS/HWDMS (provides RCRA-related information on a
facility such as location, hazardous waste handled, inspection
history, nature of past violations, and results of enforcement
actions)
FTTS (provides TSCA-related information on a facility such as
inspection history, and case development information,
including violations, and types/results of enforcement actions)
FINDS (EPA database that identifies regulations applicable to
the target facility, including some related to compliance/
enforcement issues)
CERCLIS (Superfund's national database system provides
information on CERCLA sites)
AFS/AIRS (the Air Compliance Program's national database
system provides air compliance information for major sources)
A more extensive list of sources of information, including both
computer databases and other sources, is presented in Appendix E.
Following file/data reviews, the investigation team may prepare a fact sheet
for the facility along with a list of questions that need to be answered either
before or during the on-site actual investigation.
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PROJECT PLAN DEVELOPMENT
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PROJECT PLAN DEVELOPMENT
PROJECT PLAN
A site-specific project plan should be developed for all multi-media
inspections. Each project plan should reflect the requirements/scope of
work associated with each individual facility. The plan describes the
project objectives and tasks required to fulfill these objectives. In addition to
methods, procedures, resources required, and schedules, a safety plan is
included as an appendix and identifies potential site safety issues,
procedures, and safety equipment [Appendix E].
Generally, a draft project plan is prepared to give all involved
parties/regional management an opportunity to review the planned project
activities and schedule. The team leader, with the assistance of other
investigators, is responsible for preparing the site-specific project plan.
After agreement on the draft is reached, the plan should be finalized as
soon as possible. It must be available before the on-site inspection starts. A
comprehensive project plan provides a means for informing all involved
parties of the proposed activities and helps ensure an effective multi-media
investigation; team members must be familiar with the project plan.
The following generally form the outline for the project plan:
Objectives - This is probably the most important part of the project
plan and should be well defined, complete, and clear. The objectives
should also have been discussed and agreed upon by all appropriate
management personnel. The objectives define what the investigation
is to accomplish (e.g., to assess environmental compliance with the
regulations that apply to the source-water, air, et al.).
Background - Discusses, in general, facility processes and, based on
available information, identifies laws, regulations, permits, and
consent decrees applicable to the facility.
Tasks - The plan defines tasks for accomplishing the objectives and
spells out procedures for obtaining the necessary information and
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PROJECT PLAN DEVELOPMENT
evaluating facility compliance. The tasks usually involve an
evaluation of process operations, pollution control/treatment and
disposal practices, operation and maintenance practices, self-
monitoring, recordkeeping and reporting practices, and pollution
abatement/control needs. Tasks will probably be sequenced, based
on: facility factors, investigation objectives, logistical factors,
constraints imposed by the company, and complexity and overlap of
regulatory programs (see section on Field Inspections).
Methods/Procedures - The plan provides or references policies and
procedures for document control, chain-of-custody, quality
assurance, and handling and processing of confidential information.
Specific instructions for the particular investigation may be provided.
Safety - A safety plan attached to the project plan identifies safety
equipment and procedures which the investigation team must follow
[Appendix F]. The safety procedures and equipment are typically the
more stringent of EPA or company procedures. EPA procedures are
documented in EPA Transmittal 1440 - Occupational Health and
Safety Manual dated March 18, 1986. Additional safety issues for
extensive or prolonged investigations, if necessary, should also be
addressed in the plan.
Resources - The plan describes special personnel needs and
equipment requirements. As noted earlier, experienced and
knowledgeable personnel shall compose the investigation team. An
example of an equipment list is presented in Appendix G.
Schedules - The plan usually provides general schedules for
investigation activities. This information is important to the team
members as well as Headquarters, Regional, and/or State officials
who requested the project. The dates for (a) starting and finishing
the field activities, (b) analytical work, and (c) draft and final reports
should be established and agreed upon by the participants.
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PROJECT PLAN DEVELOPMENT
The project plan will serve as the basis for explaining inspection
activities and scheduling to facility personnel during the opening
conference. The company may be provided general details but should not be
provided with a copy of the project plan; it is an internal document and
usually considered an enforcement confidential document. (The company
may get a copy of the plan by court order.) Because conditions in the field
may not be as anticipated, the project plan is always subject to modification
and so marked. Any deviations from the plan should be well thought out,
approved by the team leader, and if appropriate, discussed with senior
management or the laboratory (if monitoring/sampling requirements
change) and well documented.
NOTIFICATIONS/SCHEDULING
Notification of the inspection, normally by telephone, should be given
to the facility unless the inspection is to be unannounced. There are
advantages to both announced and unannounced inspections. Some of the
advantages to announced inspections include assuring that the right people
are available, the processes of interest are operating, and the necessary
documents are available. A major consideration of announced inspections
is that the company may be able to alter operations to conceal violations.
Following the telephone notification, it may be necessary to prepare a more
formal notification letter or notification form that is served when entering
the facility.
If a letter is prepared, it should cite the appropriate inspection
authorities, the general areas to be covered, and special informational
needs/requests. By citing broad EPA authorities, the investigation will not
be restricted if investigators need to pursue additional areas based on field
observations. The notification should specify records to be reviewed/
collected/copied, address safety/security issues, and include any questions
that need answering to help facilitate the investigation. These issues and
questions can also be addressed during a reconnaissance inspection, if
desired, or through telephone conversations with appropriate facility
personnel.
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PROJECT PLAN DEVELOPMENT
Typical information requested in a notification letter may include the
following:
Raw materials, imports, intermediates, products, byproducts,
production levels
Facility maps identifying process areas, discharge and
emission points, waste management and disposal sites
Flow diagrams or descriptions of processes and waste control,
treatment and disposal systems, showing where wastewater,
air emission, and solid waste sources are located
Description and design of pollution control and treatment
systems and normal operating parameters
Operations and maintenance procedures and problems
Self-monitoring reports and inventories of discharges and
emissions
Self-monitoring equipment in use, normal operating levels,
and available data
Required plans, records, and reports
Appendix H identifies specific documents/records by statute which
might be requested. Each regional office should decide if and when state
regulatory officials will be notified of the investigation and who will make
the contact. By reviewing State files, EPA will have, in effect, notified the
State of its intention to inspect this facility. The State should be requested to
allow only EPA to notify the facility regarding the multi-media inspection.
If sampling is anticipated, the laboratory should be notified as soon as
possible, and informed as to when samples will arrive and the approximate
analytical work load. The project plan, which is reviewed by laboratory
personnel, should also identify analytical support required.
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PROJECT PLAN DEVELOPMENT
The investigation should be scheduled at a time mutually agreed
upon by all participants. Sufficient time should be allotted to conduct a
thorough investigation. Appropriate travel arrangements should be made
as soon as possible.
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FIELD INSPECTION
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FIELD INSPECTION
Once the project plan is completed, the team's focus shifts to the on-
site portion of the investigation. This section first addresses developing a
site-specific inspection strategy for evaluating processes and regulated
waste management activities, then discusses on-site activities from entry
through the closing conference.
The primary objectives of the field inspection are to determine
whether the facility is complying with environmental regulations, permits,
etc., and to determine if facility activities are creating environmental
problems. The investigation team should also determine if the facility has
environmental management controls in place to maintain regulatory
compliance (i.e., a system for becoming aware of regulatory requirements,
then implementing appropriate compliance actions) and whether the
controls are working. By satisfying these objectives, areas of non-
compliance, environmental problems, and insight into root causes can be
identified during the investigation. The information will be useful later in
followup actions.
DEVELOPING AN INSPECTION STRATEGY
Inspection planning includes formulating a strategy to ensure that
information is obtained from the company in a logical, understandable
manner. This applies to both the process and compliance evaluations, and
the environmental management control evaluation. To formulate an
effective strategy, knowledge of general facility operations, waste
management procedures, and applicable regulations is critical. Much of
this information should have been obtained during the background
information review and inspection reconnaissance. This section first
discusses strategy development, then presents an example.
The process evaluation strategy to sequence inspections for major
facility operations and waste management activities may be based on:
Facility factors such as size, complexity, waste producing
potential, and waste characteristics
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FIELD INSPECTION
Administrative factors such as the priority of inspection
objectives (i.e., which compliance evaluations are the most
important)
Logistical factors such as personnel availability, operating
schedules, and assignment schedules
Constraints imposed by the company such as limitations on
the number of inspection teams that can operate on-site
concurrently
The final strategy usually involves prioritizing the processes and waste
management activities, in consideration of all these factors, then
systematically moving from the beginning to the end of a process with
emphasis on regulated waste stream generation and final disposition. The
strategy should be somewhat flexible so that "mid-course corrections" can
be made.
The compliance evaluations also need to be "sequenced" in a similar
manner to progress, generally, from the most to least time-consuming
regulatory program. Personnel training and availability, and other
logistical factors may result in a combining of compliance evaluations.
Figure 2 (Investigative Approach) illustrates a sequence of compliance
evaluations where the initial focus was on RCRA, then CWA, etc. RCRA is
often chosen as the initial law to focus on because of the close relationship
between process evaluations and generator requirements. A quick visual
inspection of hazardous waste storage areas and PCB transformers is often
conducted early in the inspection. Compliance with regulatory programs
that principally involve records reviews, such as TSCA (Sections 5 and 8)
and EPCRA are usually scheduled later in the inspection or elsewhere, as
time permits.
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Figure 2
Multi-Media Investigative Approach
Gather Background
Information
Prepare
Project
Plan
Begin Facility
Inspections
Obtain Process
and Waste stream
Information
RCRA
CWA
CAA
M
EPCRA
Other
Regulations
Complete Facility
Inspection
Sequence of Events
(May vary based on inspection priorities)
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FIELD INSPECTION
The strategy for process and compliance evaluations should be
developed by the project coordinator and discussed with inspection team
members. This will serve as the basis for explaining inspection activities
and scheduling to the company during the opening conference, as
described below.
The strategy may also include checklists. Some may address
potential process wastestreams to be looked for, while others may address
media-specific compliance issues. Checklists can be a vital component of a
compliance investigation to help ensure that an investigator does not
overlook anything important. Checklists serve as a reminder of what needs
to be asked or examined and to help an investigator remember the basic
regulatory requirements. They can provide another means of documenting
violations or supplying- background material to judge potential violations,
however:
An inspector must never fill out a checklist blindly or too
mechanically. The answers to the questions should not
be based solely on what the facility representatives say,
but also on what the investigator observes.
Media-specific checklists may be used and they may be
completed by the lead investigator for each given
program, both during and after the facility tours and the
document review phases.
A list of media-specific checklists is presented in Appendix I. Copies
of multi-media checklists are kept in a three-ring binder at NEIC.
One of the unique benefits of the Category D approach with a cross-
trained team is that information obtained on processes, material and waste
movements, and scale of operations can later aid in focusing other
program-specific compliance evaluations, such as TSCA (Sections 5 and 8)
and EPCRA. Like the project phases, the sequence of process and
compliance evaluations should not be considered as discrete steps to be
completed, in order. Information obtained during subsequent program-
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FIELD INSPECTION
specific evaluations may also provide new information regarding
compliance in a program area already addressed or indicate a need to
inspect a process/support operation not previously identified [Figure 3]
This iterative process is pursued until the inspection objectives have been
accomplished.
At larger facilities, multiple site visits coordinated by the team leader
may be necessary and desirable for completing the inspection. This
approach can lead to a better inspection because of the opportunity to review
information obtained in the office, then refine the inspection/strategy to "fill
in the gaps" during a subsequent site visit.
An inspection strategy example for a typical facility is presented
below:
INSPECTION STRATEGY EXAMPLE
1. SITE OVERVIEW/PROCESS OVERVIEW
2. WINDSHIELD TOUR
3. SPLIT INTO TEAMS FOR DETAILED PROCESS
REVIEW AND PROCESS AND LABORATORY
INSPECTIONS
4. RECORD REVIEW PERIOD
5. FOLLOW-UP INTERVIEWS
After the opening conference to explain inspection activities, the company
would be requested to provide an overview of facility operations to the entire
team. A general "windshield" site tour usually follows the overview
presentation. Next, process operations would usually be described in some
detail; the order typically parallels the flow of raw materials and
intermediate products toward subsequent processes and the final
product(s). During these discussions, waste streams and respective
-------
Figure 3
Multi-Media Inspection Feedback Loops
Feedback Loops
Background/
Process
Information
RCRA
ON
CWA
CAA
TSCA
EPCRA
Other
Regulations
Inspection Findings/Enforcement Options
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FIELD INSPECTION
management procedures and related control equipment should be
identified.
Process inspections to verify the information presented and discover
"missing" details are then conducted. These may be done after each
process or group of processes is described. The RCRA inspection begins
while touring the processes by identifying any waste generation and
accumulation areas. The presence of wastewater sumps, separators, or
trap tanks in or near the process building may also result in initiating the
CWA inspection.* The example plan indicates that the inspection team
subdivided before proceeding with the detailed process descriptions. This is
because the people gathering process information were beginning some of
the compliance evaluations; other team members could begin concurrent
evaluations such as the laboratory inspection.
Inspection of waste management units may be interspersed with
process inspections depending on their location and facility complexity; a
primary consideration is the logical flow of information. Logic or the
physical situation may dictate that a waste'stream be followed to final
disposition for a particular process. Time must also be scheduled to review
and copy relevant records, then for additional interviews to answer
questions about the records.
The evaluation of environmental management controls is blended
into the process and compliance evaluations discussed above. Investigation
team members should allow facility personnel to explain their operations
until the management system is understood. Document the management
system with narrative notes, gather copies of all documents used in the
processes, and formulate flowcharts to illustrate decision responsibilities,
accountabilities, and process matrices. Environmental regulations,
permits, etc., are the standards, and the internal management systems
The CWA regulates outfalls from wastewater treatment plants and other point
discharges. If the sumps, separators, and trap tanks are used to manage hazardous
waste, they may be exempt from RCRA if they discharge to an on-site treatment plant
that has a CWA permit. Part of the CWA inspection, therefore, is identifying all
treatment units related to the permitted (or unpermitted) outfall.
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FIELD INSPECTION
and procedures are the controls established to direct compliance or
conformance to the standards.
The system should be tested by tracking information from the
internal management systems through the regulated activity locations (i.e.,
follow known events through entire processes). For example, if a facility's
environmental coordinator states that a particular waste analysis plan (a
RCRA requirement) is being used at the facility, the investigation team
would "test" the system by verifying that personnel at the waste receiving
station and laboratory (1) had a copy of the plan, (2) were familiar with it,
and (3) were following it.
Finally, continuing communication between team members is a key
to successful strategy implementation. The team leader should encourage
daily team meetings (usually in the evenings) to discuss findings and
observations made during the day. Ensuing discussions may help to clarify
any troublesome issues or open up new avenues for investigation.
CONDUCTING THE ON-SITE INSPECTION
The field portion of a multi-media investigation involves entering the
facility and conducting an on-site inspection. The following discusses
several key inspection activities including: entering the facility, conducting
an opening conference, systematically gathering pertinent information
while on-site, and discussing findings in a closing conference.
Entry
Entry into a facility to conduct a multi-media inspection is usually a
straightforward process where the team leader notifies a guard and/or
receptionist that he/she wants to meet with the designated facility
environmental contact. The environmental contact is notified and the team
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FIELD INSPECTION
is then escorted into the facility to begin the inspection, usually with an
opening conference, where credentials are officially presented.*
Many facilities request inspection team members sign a visitor's log
or some other document that will provide a written list of inspectors to the
company. This is acceptable so long as there is no waiver of liability or
restriction of inspection statements contained on the document being
signed (check both sides of the paper for such statements, or the first page
of a bound sign-in log). Liability waivers must not be signed; signature
documents containing any statements that appear to limit inspection
activities should be first discussed with Agency attorneys (if in doubt,
consult), or sign in only on blank sheets.
Occasionally, entry is denied, usually in situations where the
inspection is unannounced or enforcement action is pending (e.g.,
outstanding Notice of Violation, ongoing Administrative Order
negotiations, etc.). Consequently, the team leader needs to know how to
deal with denial of entry situations.* Whenever entry consent is denied (or
withdrawn during the course of the inspection), the team leader should
explain the Agency authority to conduct the investigation and verify that the
authority is understood by the facility representative. If the person persists
in denying entry or withdrawing consent, the team leader needs to fully
document the circumstances and actions taken; this includes recording the
name, title, and telephone number of the person denying entry or
withdrawing consent. Inspection team members must never make
threatening remarks to facility personnel. The team leader should then
contact his/her supervisor and Agency legal counsel.
If the team leader suspects that a warrant will be necessary before
entry is attempted, then actions to obtain a warrant (e.g., get attorney
assigned to the project and prepare draft affidavits) should be initiated well
In an unannounced inspection, it may be beneficial to immediately go to the
regulated areas of concern (drum storage, etc.) to conduct an inspection before the
facility has time to make changes.
An attempt by the company to unreasonably limit legitimate team activities during
the inspection is tantamount to denial of entry and should be treated as such.
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FIELD INSPECTION
in advance to minimize the time between arrival at the facility and entry.*
This would lessen the opportunity for the facility to take drastic, last-minute
corrective actions (e.g., improve "housekeeping") and thereby give the
investigators a false impression. If a warrant becomes necessary, it is
obtained from a local magistrate or judge; an EPA special agent, a Federal
Marshal, or sheriff will be needed to serve the warrant. The team leader
must be familiar with the warrant provisions and be aware of both
opportunities and constraints imposed on the investigation.
Opening Conference
The opening conference is held to advise facility personnel of the
investigation objectives, and to discuss logistics and scheduling of
inspection activities. An important aspect of this meeting is to set the
"proper tone" with facility personnel (i.e., encourage cooperation). A
typical conference agenda includes:
Introduction of investigators and presentation of credentials
(be prepared to cite investigation authorities - Appendix J)
Description of investigation objectives:
The investigation objectives have been generally identified in
the project plan; however, the project plan should not be shown
to the company. As noted earlier, this is an internal document
and not to be released by the field investigation team to the
company. Additionally, during the discussion of investigation
objectives, the investigators should take care not to limit the
investigation if as a result of their findings, a new objective
becomes apparent.
A warrant is only one of several legal vehicles that should be considered. A TSCA
subpoena, issued to a high-ranking corporate official, was used successfully in one
instance as a vehicle to gain consensual entry; the limitations imposed by a warrant
were avoided.
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FIELD INSPECTION
The purpose of identifying the investigation objectives to the
company is to enable the company to identify what people and
what documents are necessary to assist in the investigation.
Description of investigation procedures and personnel needed
(develop schedule of events)
Let the management know approximately how long the
investigation will take so they can assist with the least
interruption of their regular schedules. This is often as long
as it takes until we get the information requested from the
facility.
While the government has a right to inspect at any time during
normal working hours, it is appropriate to give some
consideration to the needs of the facility. For example, perhaps
giving company personnel one half hour in the morning to get
their business in order would be beneficial and would win
"good will" for the investigators.
Presentation of inspection notices/forms
Discussion of prospective sampling and whether company
splits will be made available
Discussion of safety issues including the company's safety
requirements [Appendix F]
The government investigators may not have the same
restraints as facility personnel. However, it is prudent to
determine what safety requirements the facility personnel
have to follow and to follow those if they are more stringent
than the government requirements. Of particular importance
is to determine emergency signals and escape routes if a plant
emergency occurs. Commonly, investigators may attend a
short safety briefing and be asked to sign that they attended
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FIELD INSPECTION
that briefing. It is all right to sign an acknowledgement that a
safety briefing was attended; it is not all right to agree to
anything else or to relinquish any rights CHECK WITH THE
GOVERNMENT ATTORNEYS IF THERE ARE ANY
QUESTIONS.
Discussion on how photographs will be taken
Photographs are used to prepare a thorough and accurate
investigation report, as evidence in enforcement proceedings
and to explain conditions found at the plant. The facility,
however, may object to the use of cameras in their facility and
on their property. If a mutually acceptable solution cannot be
reached and photographs are considered essential to the
investigation, Agency supervisory and legal staff should be
contacted for advice.
Facility personnel may also request that photographs taken
during the visitation be considered confidential, and the
Agency is obliged to comply, pending further legal determina-
tion. Self-developing film, although often of less satisfactory
quality, is useful in these situations. A facility may refuse
permission to take photographs unless they can see the fin-
ished print. Duplicate photographs (one for the investigator
and the other for the facility) should satisfy this need. When
taking photographs considered TSCA Confidential Business
Information (CBI), self-developing film eliminates processing
problems; otherwise, the film processor must also have TSCA
CBI clearance. Note, however, that some self-developing film
may contain disposable negatives which must also be handled
in accordance with the TSCA CBI requirements. Giving the
facility the option of developing the film may resolve national
defense security problems when self-developing film is not
satisfactory.
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FIELD INSPECTION
Photographs must be fully documented, following procedures
for handling evidentiary materials [Appendix K].
Arrangement for document availability and copying
The Federal statutes provide broad authorities for document
review and copying. If the investigators decide that documents
need to be copied, then the investigators should either attempt
to use the facility's copier, paying a fee if necessary, or come
equipped with a portable copier (Note: renting a portable copier
from a local business store often requires advance
reservations). A company's refusal to provide documents or
refusal to allow copying can be considered similar to a denial of
entry [note that the company is NOT required to copy
documents for the government without a court order; refusal to
copy even with payment is not the same as refusal to provide
the documents]. The investigators should note the refusal in
log books (including names, titles, and times) and continue
with the on-site inspection. At the earliest possible time,
supervisors and Federal attorneys should be consulted.
Company provides overview of facility operations
This provides an opportunity for investigators to learn process
operations and to initially identify waste sources.
At the conclusion of the opening conference, information gathering
activities begin in earnest. As discussed in preceding inspection strategy
section, the next steps may include:
A general "windshield" tour of the facility
Split into teams, according to media and process/waste
management responsibilities
Process and laboratory inspections
Record/document review
Follow-up interviews
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FIELD INSPECTION
General Facility Tour
The purpose of the general facility tour is to provide investigation
team members an "on the ground" orientation and to identify/verify
activities requiring further evaluation. The team leader should compile a
i c of "must see" items, based on the background information review and
information obtained during the facility operations overview portion of the
opening conference. These could include key process/operations, waste
management areas, and areas where suspected violations are occurring.
The facility tour (attended by all team members) should include these
items; whether facility personnel are provided the specific list depends on
whether the company could potentially hide or correct violations. It may be
prudent to present the list of specific items in terms of general plant areas
to be toured.
The facility tour must be properly structured and knowledgeable
facility personnel must accompany the investigators. The route taken may
be dictated by facility layout, but material flow should be followed, to the
extent possible. The tour should include, as a minimum, raw material
storage facilities, manufacturing areas, and waste management units.
Team members need to be constantly alert for operations, processes,
materials, and waste management activities not previously identified. If a
potentially significant operation, unit, or activity (e.g., a waste spill) is
observed, "stop the bus" and take a closer look. Any regulatory violations
should be properly documented at that time.
The general site tour is also a good time to document conditions with
photographs.
Process/Waste Management Evaluation
4
Once the general site tour is completed, the investigation team may
split into smaller units (usually two, sometimes three) that focus on the
detailed process evaluations, specific media compliance, or other activities
such as laboratory inspection and sample collection. This allows one team
to gather process information and begin the compliance evaluation while
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FIELD INSPECTION
another team begins concurrent evaluations; all investigators should be
watching for potential problems in all media and possible regulatory
implications throughout the investigation.
Two key techniques are employed during this part of the
investigation: interviews and visual observations. Investigators should
employ good interviewing techniques so that the necessary information can
be clearly and accurately obtained from facility personnel. Appendix K
gives interviewing techniques. Investigators should ask probing questions
but never leading questions. Often, the investigator is required to rephrase
questions and ask them many times until he/she gets a satisfactory and
consistent answer. Body language should also be observed for clues that the
facility representative is hedging or that the investigator is starting to key in
on a particularly sensitive subject. The investigator should always write
down unexpected questions that occur to him/her, especially in situations
where these questions cannot be asked promptly. Special care should be
taken so that one investigator does not answer another investigator's
questions. If the question is posed to a company official, the official should
answer even if another investigator knows the answer.
Questioning Facility Personnel
How you ask a question can be more important than the question
itself. Try not to give a possible answer when asking a question. For
example, the following are poor ways to phrase a question:
"You don't have any toxic materials around here, do you?"
"There aren't any buried drums on your property, are there?"
"You have all the necessary records, don't you?"
"Your SPCC plan is up to date, isn't it?"
The following questions are better:
"What kinds of material do you handle?"
"Are there any materials buried on your property?"
"Where do you keep the records?"
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FIELD INSPECTION
"May I see your SPCC plan?" (Then ask an employee about the
procedure mentioned in it to verify its application.)
A conclusive question and follow up is often overlooked and taken for
granted; however, it is the meat of the inquiry. Without the affirmation of a
direct answer to the question at issue, the previous questions were of little
value.
Sometimes it is useful to convey the impression that you are there to
learn about a facility or its operations and are going to ask a lot of basic
questions. This type of "help me learn" attitude will often allow a better line
of questioning and more persistence when things become unclear or
contradictory. Generally ask open-ended questions first and then clarifying
questions as necessary.
Knowledgeable process personnel are usually not used to being
interviewed, so it is necessary to operate, initially, in their "comfort zone."
They should be asked to describe the process in some detail; the order
typically parallels the flow of raw materials and intermediate products
toward subsequent processes and the final product(s). During these
discussions, waste streams and respective management procedures and
related control equipment should be identified. Clarifying questions should
focus on raw material/intermediate movements and waste streams
produced.
Specifically, information should be obtained on where/how waste is
produced, production rates and cycles, spillage or other emissions,
housekeeping, floor drains/outlets, waste products, waste minimization,
waste mixing/dilution, recent or anticipated modifications, etc. Areas of
waste management, treatment, and disposal should also be addressed.
Major items of interest include waste spillage/leaks/discharges, how the
facility differentiates regulated waste from unregulated waste, physical
condition of pollution control equipment, units out of service, operation and
maintenance issues, diversions, bypasses and overflows, emergency
response capabilities, safety, secondary containment, overloads, waste
residuals management, and self-monitoring procedures.
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Questions should also be asked about the environmental
management program at the facility. Process personnel should explain
how they become aware of environmental regulatory requirements and
what support they get in taking required compliance actions. Probing
follow-up questions may be asked to determine corporate policy toward
regulatory compliance. Documenting recalcitrant behavior may have
major ramifications in Agency follow-up actions.
Process inspections are then conducted to verify the information
presented and discover/discuss "missing" details. These may be done after
each process or group of processes is described. Inspection of waste man-
agement units may be interspersed with process inspections, depending on
their location and facility complexity; a primary consideration is the logical
flow of information. Time must also be scheduled to review and copy rele-
vant records, and then for additional interviews to answer questions about
the records.
Document Reviews
Before the field investigation begins, each team member should know
which reports/records he/she will be responsible for reviewing. These may
include inspection logs, annual documents, operating reports, self-
monitoring procedures and data, spill clean-up reports, manifests,
notifications/certifications, emergency response plans, training records,
etc. However, some on-the-spot decisions may have to be made in situations
where unexpected information becomes available. The investigator should
not limit review to documents specified during the notification or opening
conference.
The document review should include determining whether (1) facility
personnel have prepared and maintained the required documents, (2) the
documents contain all necessary information, (3) the documents have been
prepared on time, (4) the documents have been distributed to all necessary
parties, and (5) document information is consistent by cross-checking
information recorded on more than one document. Document reviews
should be done systematically. The investigator should always plan to
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FIELD INSPECTION
make copies of documents that cannot be reviewed on-site, or are vitally
important in documenting or describing a potential violation. The use of a
portable copier should be considered to expedite this procedure.
Sampling
Sampling and sample analysis may be necessary to document
noncompliance. Normally, grab samples that are representative and
collected by acceptable methods will suffice unless a permit or other legally
enforceable document specifies a composite sample (Appendix M presents
an example of a sampling guideline to be used in conjunction with detailed
SOPs). Samples taken to identify noncompliance with permit requirements
must be collected and analyzed consistent with facility permit
requirements. Sampling should be considered when the investigator feels
that sampling would strengthen a potential enforcement case or help
document a potential violation or establish that a facility is subject to
regulation. Some situations that may require sampling are:
Sampling requested by program office (e.g., CWA/NPDES
Compliance Sampling Inspection, RCRA Compliance
Monitoring Evaluation)
Leaking drums, tanks, transformers, other containers holding
hazardous waste, other toxic materials, or other unexpected or
improper releases to the environment
Unknown waste is found
Facility's waste analysis data is questionable
Potential waste misclassification problem is suspected
Suspicious looking stains or discoloration in waste production/
management areas are unexplained
Unpermitted discharges are found
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Permitted discharges have a particularly bad appearance or
need to be characterized for toxicity/compliance
Stormwater runoff is suspected of being contaminated
Receiving waters/sediments are likely to contain toxic/
hazardous pollutants
Contaminated sludges or other waste residuals are being
improperly disposed
Closing Conference
The primary purpose of the closing conference is to provide an
opportunity for the investigators to discuss preliminary findings with
facility representatives, including any potential violations or problems that
are uncovered during the investigation. Judgment must be exercised in
deciding what findings are presented and how they are represented to
facility personnel. Nearly any finding can be discussed if it is presented in
the right context. However, the less certain the team leader is about a
specific violation or issue, the more reason not to discuss it at the closing
conference. In any case, the investigators must clearly state that
information provided during the closing conference is preliminary and
may change, as a result of additional review. Pollution prevention
strategies can also be discussed.
Another important purpose of the closing conference is to resolve any
outstanding questions or issues and verify information. Questions or
outstanding information requests that cannot be resolved in the closing
conference should be compiled into a written, agreed upon document,
which is provided to facility representatives before the investigation team
leaves the facility, if possible. Each question or information request should
be uniquely numbered in this document. Subsequently provided responses
should be referenced to the specific request.
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Some additional paperwork may need to be completed during the
closing conference. This would include signing appropriate inspection
forms such as receipt for samples or documents received and declaration of
TSCA CBI or the issuance of field citations. Multi-media investigators
must be CBI-cleared before they accept any company TSCA CBI
information.
Finally, the team leader should be prepared to discuss with facility
personnel how and when a copy of the final inspection report can be
obtained (e.g., a FOIA request, etc.).
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MEDIA SPECIFIC INVESTIGATION
PROCEDURES
RCRA
H CWA
H CERCLA
IZ ETC
-------
MEDIA SPECIFIC INVESTIGATION PROCEDURES
Presented here, are many of the significant tasks that must be
included in each of the media specific inspections. Sample collection and
inspection checklists are addressed elsewhere in this manual (Appendix I
lists media specific checklists). Media discussed include hazardous waste,
water, air, drinking water, toxic substances, pesticides, as well as
emergency planning/community right-to-know and Superfund issues.
General information on each Act is covered in Appendix A.
RESOURCE CONSERVATION AND RECOVERY ACT (RCRA)
Basic Program
The Resource Conservation and Recovery Act (RCRA) of 1976 is the
primary statute regulating the management and disposal of municipal and
industrial solid and hazardous wastes. In 1984, RCRA was amended by the
Hazardous and Solid Waste Amendments (HSWA) and in 1988 by the
Medical Waste Tracking Act (Subpart J of RCRA). The principal objectives
of RCRA, as amended, are:
Promoting the protection of human health and the
environment from potential adverse effects of improper solid
and hazardous waste management
Conserving material and energy resources through waste
recycling and recovery
Reducing or eliminating the generation of hazardous waste as
expeditiously as possible
The RCRA program consists of four waste management sub-
programs designed to meet the Congressional objectives: (1) Subtitle D -
Solid Wastes, (2) Subtitle C - Hazardous Wastes, (3) Subtitle I -
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Underground Storage Tanks (UST), and (4) Subtitle J - Medical Wastes.
This section discusses evaluating compliance under Subtitles C, I, and J.*
Subtitle C. Hazardous Wastes
Evaluating Compliance
Under Subtitle C, hazardous wastes are subject to extensive
regulations on generation, transportation, storage, treatment, and
disposal. A manifest system tracks shipments of hazardous wastes from
the generator until ultimate disposal. This "cradle to grave" management
is implemented through regulations and permits.
The investigator must clearly identify investigation objectives, the
RCRA regulatory authority (or authorities) with jurisdiction, and establish
the facility status under RCRA. RCRA investigations may be performed for
several reasons, including:
Assessing RCRA compliance with regulations and permits
Reviewing compliance status with respect to an administrative
enforcement action
Reviewing compliance with deadlines in a facility permit
Responding to alleged violations and/or complaints
Supporting case development
The regulatory agencies with RCRA authority may be EPA, a
designated State agency with full or partial authority, local agencies
working with the State, or a combination of the three.
In determining the facility status under RCRA, the investigator
must decide whether the facility is a generator, transporter, and/or
* TL
The waste management programs are presented here out of alphabetical sequence
because Subtitle D contains the definition of "solid waste" which is helpful in
understanding hazardous wastes in Subtitle C. Hazardous wastes are a subset of
solid wastes. Subtitle C hazardous wastes are defined specifically in Title 40 of the
Code of Federal Regulations (CFR), Part 261.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
treatment, storage, and disposal facility (TSDF), and whether the facility is
permitted or has interim status. Generally, EPA Regional and State offices
maintain files for the facility to be inspected. Information may include:
A summary of names, titles, locations, and phone numbers of
responsible persons involved in the hazardous waste program
A list of wastes that are treated, stored, and disposed and how
each is managed (for TSDFs)
A list of wastes generated, their origins, and accumulation
areas (for generators)
Biennial, annual, or other reports required by RCRA and
submitted to the regulatory agencies; these include any
required monitoring reports
A detailed map or plot plan showing the facility layout and
location(s) of waste management areas
The facility RCRA Notification Form (Form 8700-12)
The RCRA Part A Permit Application (for TSDFs)
The RCRA Part B Permit Application (for TSDFs, if applicable)
The RCRA permit (for TSDFs, if applicable)
Notifications and/or certifications for land disposal restrictions
(for generators)
Generators
Hazardous waste generators are regulated under 40 CFR Parts 262
and 268. These regulations contain requirements for:
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Obtaining an EPA Identification number
Determining whether a waste is hazardous
Managing wastes before shipment
Accumulating and storing hazardous wastes
Manifesting waste shipments
Recordkeeping and Reporting
Restricting wastes from land disposal (also regulated under
Part 268)
The generator regulations vary, depending upon the volume of hazardous
wastes generated. The investigator must determine which regulations
apply. Additionally, the investigator should do the following:
Verify that the generator has an EPA Identification Number
which is used on all required documentation (e.g. reports,
manifests, etc.)
Confirm that the volume of hazardous wastes generated is
consistent with reported volumes. Examine the processes
generating the wastes to show that all generated hazardous
wastes have been identified. Look for improper mixing or
dilution.
Ascertain how the generator determines/documents that a
waste is hazardous. Check to see wastes are properly
classified. Collect samples, if necessary.
Determine whether pre-transport requirements are satisfied,
including those for packaging, container condition, labeling
and marking, and placarding.
Determine the length of time that hazardous wastes are being
stored or accumulated. Storage or accumulation for more
than 90 days requires a permit. Generators storing for less
than 90 days must comply with requirements outlined in
40 CFR 262.34.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Verify RCRA reports and supporting documentation for
accuracy, including inspection logs, biennial reports,
exception reports, and manifests (with land disposal
restriction notifications/certifications).
Watch for accumulation areas which are in use but have not
been identified by the generator. Note: Some authorized State
regulations do not have provisions for "satellite storage"
accumulation areas.
Determine whether a generator has the required contingency
plan and emergency procedures, whether the plan is complete,
and if the generator follows the plan/procedures.
Determine whether hazardous waste storage areas comply
with applicable requirements.
Transporters
Hazardous waste transporters (e.g., by truck, ship, or rail) are
regulated under 40 CFR Part 263, which contains requirements for:
Obtaining an EPA identification number
Manifesting hazardous waste shipments
Recordkeeping and reporting
Sending bulk shipments (by water, rail)
Storage regulations apply if accumulation times at transfer stations
are exceeded. Transporters importing hazardous wastes, or mixing
hazardous wastes of different Department of Transportation (DOT)
shipping descriptions in the same container, are classified as generators
and must comply with 40 CFR Parts 262 and 268. Investigators evaluating
transporter compliance should do the following:
Verify that the transporter has an EPA identification number
which is used on all required documentation (e.g., manifests)
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»
Determine whether hazardous waste containers stored at a
transfer facility meet DOT pre-transport requirements
Determine how long containers have been stored at a transfer
facility. Storage over 10 days makes the transporter subject to
storage requirements
Verify whether the transporter is maintaining recordkeeping
and reporting documents, including manifests, shipping
papers (as required), and discharge reports. All required
documents should be both present and complete
Treatment. Storage, and Disposal Facilities
Permitted and interim status TSDFs are regulated under 40 CFR
Parts 264 and 265, respectively. [Part 264 applies only if the facility has a
RCRA permit (i.e., a permitted facility); Part 265 applies if the facility does
not have a RCRA permit (i.e., an interim status facility)]. These
requirements include three categories of regulations consisting of
administrative requirements, general standards, and specific standards
(see Table on following page). The investigator should do the following
items to determine compliance with Subparts A through E:
Verify that the TSDF has an EPA identification number which
is used on all required documentation.
Determine what hazardous wastes are accepted at the facility,
how they are verified and how they are managed.
Compare wastes managed at the facility with those listed in
the Hazardous Waste Activity Notification (Form 8700-12); the
Parts A and B permit applications; and any revisions, and/or
the permit.
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Table
Administrative/
nontechnical
requirements
(Subparts A-E)
PERMITTED vs. INTERIM STATUS
RCRA REGULATORY REQUIREMENTS
Permitted Facility Regulations
40 CFR Part 264
Applicability
Facility standards
Applicability
EPA identification number
Required notices
General waste analysis
Security
General inspection requirements
Personnel training
General requirements for ignitable,
reactive, or incompatible wastes
Location standards
Preparedness and prevention
Contingency plan and emergency procedures
Manifests and recordkeeping
40
Interim Status Regulations
CFR Part 265
Applicability
Facility standards
Applicability
EPA identification number
Required notices
General waste analysis
Security
General inspection requirements
Personnel training
General requirements for ignitable,
reactive, or incompatible wastes
Location standards
Preparedness and prevention
Contingency plan and emergency procedures
Manifests and recordkeeping
General standards
(Subparts F-H)
Release from solid waste management units
Closure/post closure requirements
Groundwater monitoring requirements
Closure/post-closure requirements
Specific standards
(Subparts I-R)
(Part 264, Subparts I-
O, X, AA, and BB)
(Part 265, Subparts I-
R, AA, BB)
Containers
Tanks
Surface impoundments
Waste piles
Land treatment
Landfills
Incinerators
Miscellaneous units
Air emission standards for process vents
Air emission standards for equipment leaks
Containers
Tanks
Surface impoundments
Waste piles
Land treatment
Landfills
Incinerators
Thermal treatment
Chemical, physical, and biological treatment
Underground injection
Miscellaneous units
Air emission standards for process vents
Air emission standards for equipment leaks
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Verify that the TSDF has and is following a waste analysis
plan kept at the facility; inspect the plan contents.
Identify and inspect security measures and equipment.
Review inspection logs to ensure they are present and
complete. Note problems and corrective measures.
Review training documentation to ascertain that required
training has been given to employees.
Inspect waste management areas to determine whether
reactive, ignitable, and incompatible wastes are handled
pursuant to requirements.
Review preparedness and prevention practices and inspect
related equipment.
Review contingency plans; examine emergency equipment and
documented arrangements with local authorities.
Examine the waste tracking system and associated record-
keeping/reporting requirements. Required documentation
includes manifests and biennial reports, and may include
unmanifested waste reports, and spill/release reports.
Relevant documents may include on-site waste tracking forms.
Verify that the operating record is complete according to
40 CFR 264.73 or 265.73.
The investigator can determine compliance with standards in Subparts F
through H by doing the following items:
For permitted facilities, verify compliance with permit
standards with respect to groundwater monitoring, releases
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from solid waste management units, closure/post-closure, and
financial requirements (Part 264).
For interim status facilities required to monitor groundwater,
determine what kind of monitoring program applies.
Depending on the type of investigation, examine the following
items to determine compliance:
Characterization ,of site hydrogeology
Sampling and analytical records
Statistical methods used to compare analytical data
Analytical methods
Compliance with reporting requirements and schedules
Sampling and analysis plan (for content, completeness,
and if it is being followed)
Condition, maintenance, and operation of monitoring
equipment, including wellheads, field instruments, and
sampling materials
Construction/design of monitoring system
Assessment monitoring outline and/or plan
Corrective action plan (permitted facilities)
For waste management units that undergo closure, review the
closure plan (including amendments and modifications), plan
approval, closure schedule, and facility and regulatory
certifications. Examine response actions to any release of
hazardous waste constituents from a closed or closing
regulated unit.
For waste management units in post closure care, inspect
security measures, groundwater monitoring and reporting,
and the maintenance and monitoring of waste containment
systems.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Verify that the owner/operator has demonstrated financial
assurance regarding closure.
The technical standards in Part 264 (Subparts I through 0 and X)
and Part 265 (Subparts I through R) govern specific hazardous waste
management units used for storage, disposal, or treatment (e.g., tanks,
landfills, incinerators). Standards for chemical, physical, and biological
treatment at permitted facilities under Part 264 have been incorporated
under Miscellaneous Units, Subpart X.* The investigator should do the
following:
Identify all hazardous waste management areas and the
activity at each; compare the areas identified in the field with
those listed in the permit or permit application, as appropriate.
Investigate disparities between actual practice and the
information submitted to regulatory agencies.
Verify that the owner/operator is complying with applicable
design, installation, and integrity standards; field-check the
design, condition, and operation of waste management areas
and equipment.
Determine how incompatible wastes and ignitable or reactive
wastes are managed.
Verify that the owner/operator is conducting self-inspections
where and when required; determine what the inspections
include.
Identify and inspect required containment facilities for
condition and capacity; identify leak detection facilities.
The regulations governing miscellaneous units are intended to address technologies
that were difficult to fit into the framework of prior regulations. Miscellaneous
units, defined in 40 CFR 260.10, include but are not limited to: open
burning/detonation areas, thermal treatment units, deactivated missile silos, and
geologic repositories.
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Determine whether hazardous waste releases have occurred
and how the owner/operator responds to leaks and spills.
Verify that the owner/operator is complying with additional
waste analysis and trial test requirements, where applicable.
Check the closure/post-closure procedures for specific waste
management units (e.g., surface impoundments, waste piles,
etc.) for regulatory compliance.
For landfills, determine how the owner/operator manages bulk
and contained liquids.
Field-check security and access to waste management units.
Determine what are the facility monitoring requirements (for
air emissions, groundwater, leak detection, instrumentation,
equipment, etc.) and inspect monitoring facilities and records.
When inspecting land treatment facilities, the investigator should
also review the following items:
Soil monitoring methods and analytical data
Comparisons between soil monitoring data and background
concentrations of constituents in untreated soils to detect
migration of hazardous wastes
* Waste analyses done to determine toxicity, the concentrations
of hazardous waste constituents, and, if food-chain crops are
grown on the land, the concentrations of arsenic, cadmium,
lead, and mercury. The concentrations must be such that
hazardous waste constituents can be degraded, transformed,
or immobilized by treatment
Run-on and run-off management systems
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When evaluating compliance of interim status incinerator facilities,
the investigator also should review and/or inspect the following items:
Waste analyses done to enable the owner/operator to establish
steady state operating conditions and to determine the
pollutant which might be emitted
General procedures for operating the incinerator during start-
up and shut-down
Operation of equipment monitoring combustion and emissions
control, monitoring schedules, and data output
The incinerator and associated equipment
For permitted incinerators, the investigator must evaluate the
incinerator operation against specific permit requirements for waste
analysis, performance standards, operating requirements, monitoring,
and inspections. The investigator also should do the following:
Verify that the incinerator burns only wastes specified in the
permit
Verify methods to control fugitive emissions
Determine waste management practices for burn residue and
ash
The investigator evaluating compliance of thermal treatment
facilities in interim status also should review the following items:
General operating requirements, to verify whether steady state
operating conditions are achieved, as required
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Waste analysis records, to ensure that (a) the wastes are
suitable for thermal treatment, and (b) the required analyses
in Part 265.375 have been performed
Thermal treatment facilities permitted under 40 CFR Part 264 Subpart X
will have specific permit requirements.
The investigator evaluating compliance of chemical, physical, and
biological treatment facilities in interim status also should do the following:
Determine the general operating procedures.
Review the waste analysis records and methods to determine if
the procedures are sufficient to comply with 40 CFR 265.13.
Review trial treatment test methods and records to determine
if the selected treatment method is appropriate for the
particular waste.
Examine procedures for treating ignitable, reactive, and
incompatible wastes for compliance with Subpart Q
requirements.
Chemical, physical, and biological treatment facilities permitted under
Subpart X will have specific permrt requirements.
Owners/operators of TSDFs must also comply with air emission
standards contained in Subparts AA and BB of 40 CFR Parts 264 and 265.
These subparts establish standards for equipment containing or contacting
hazardous wastes with organic concentrations of at least 10%. This
equipment includes:
Process vents
Pumps in light liquid service
Compressors
Sampling connecting systems
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Open-ended valves or lines
Valves in gas/vapor service or in light liquid service
Pumps and valves in heavy liquid service, pressure relief
devices in light liquid or heavy liquid service, and flanges and
other connections
Total organic emissions from process vents must be reduced below
1.4 kg/hr and 2.8 Mg/yr. The other equipment types above must be marked
and monitored routinely to detect leaks. Repairs must be initiated within
15 days of discovering the leak.
The facility operating record should contain information
documenting compliance with the air emission standards. A complete list
of required information is in 40 CFR 264.1035, 264.1064, 265.1035, and
265.1064. Permitted facilities must submit semiannual reports to the
Regional Administrator outlining which valves and compressors were not
fixed during the preceding 6 months. The investigator can do the following
things:
Visually inspect the equipment for marking.
Review documentation in the operating record and cross-check
this information with that submitted to the Regional
Administrator in semiannual reports.
Land Disposal Restrictions
Land disposal restrictions (LDR) in 40 CFR Part 268 are phased
regulations prohibiting land disposal* of hazardous wastes unless the
waste meets applicable treatment standards [Appendix N].** The
* Land disposal includes, but is not limited to, placement in a landfill, surface
impoundment, waste pile, injection well, land treatment facility, salt dome
formation, salt bed formation, underground mine or cave, or placement in a concrete
vault or bunker intended for disposal purposes.
** Treatment standards are in 40 CFR 268.40 through 43.
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treatment standards are expressed as (1) contaminant concentrations in
the extract or total waste, or (2) specified technologies.
Notifications and certifications comprise the majority of required
LDR documentation. Notifications tell the treatment or storage facility the
appropriate treatment standards and any prohibition levels (California List
wastes) that apply to the waste. Certifications are signed statements telling
the treatment or storage facility that the waste already meets the applicable
treatment standards and prohibition levels.
The regulations divide hazardous wastes into restricted waste groups
and apply a compliance schedule of different effective dates for each group
(40 CFR 268, Appendix VII).
Investigators evaluating hazardous waste generators for LDR
compliance should do the following:
Determine whether the generator produces restricted wastes;
review how/if the generator determines a waste is restricted.
Review documentation/data used to support the determination
that a waste is restricted, based solely on knowledge.
Learn how/if a generator determines the waste treatment
standards and/or disposal technologies.
Verify whether the generator satisfies documentation,
recordkeeping, notification, certification, packaging, and
manifesting requirements.
Ascertain whether the generator is or might become a TSDF
and subject to additional requirements.
Determine who completes and signs LDR notifications and
certifications and where these documents are kept.
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Review the waste analysis plan if the generator is treating a
prohibited* waste in tanks or containers.
Investigators evaluating TSDFs should do the following:
Ensure the TSDF is complying with generator recordkeeping
requirements when residues generated from treating
restricted wastes are manifested off-site.
Verify whether the treatment standards have been achieved for
particular wastes prior to disposal.
Review documentation required for storage, treatment, and
land disposal; documentation may include waste analyses and
results, waste analysis plans, and generator and treatment
facility notifications and certifications.
Subtitle I - Underground Storage Tanks (USTs)
Evaluating Compliance
Three basic methods are used to determine compliance in most
inspections: (1)'Interviews of facility personnel, (2) visual/field observa-
tions, and (3) document review. Because the tanks are located under-
ground, visual/field observations have limited application in determining
compliance for USTs. The UST program relies heavily on the use of
documents to track the status and condition of any particular tank.
Interviews with facility personnel are an important starting point
when determining compliance with any environmental regulation.
Questions regarding how the facility is handling its UST program will give
the inspector insight into the types of violations that may be found. Topics to
be covered in the interview include:
* Prohibitions on land disposal are explained in 40 CFR 268, Subpart C.
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Age, quantity, and type of product stored for each tank on-site
How and when tanks have been closed
Type of release detection used on each tank (if any); some
facilities may have release detection on tanks where it is not
required
Type of corrosion protection and frequency of inspections
Which tanks have pressurized piping associated with them
Visual/field observations are used to determine if any spills or
overfills have occurred that have not been immediately cleaned up. The
presence of product around the fill pipe indicates a spill or overfill. Proper
release detection methods can also be verified with field observations.
During the interviews, ask the facility if monthly inventory control along
with annual tightness testing is used. If monthly inventory control is used,
check the measuring stick for divisions of 1/8 inch. A field check of the
entire facility can also be done to determine if any tanks may have gone
unreported. Fillports and vent lines can indicate the existence of a UST.
Documents take up the largest portion of time during a UST
inspection. Documents that should be reviewed include:
Notifications for all UST systems
Reports of releases including suspected releases, spills and
overfills, and confirmed releases
Initial site characterization and corrective action plans
Notifications before permanent closure
Corrosion expert's analysis if corrosion protection is not used
Documentation of operation of corrosion protection equipment
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Recent compliance with release detection requirements,
including daily inventory sheets with the monthly
reconciliation
Results of site investigation conducted at permanent closure.
Document retention rules also apply, so be sure to get all of the documents a
facility may be required to keep. To determine if the implementing agency
has been notified of all tanks, compare the notifications to general UST lists
from the facility. Usually, the facility will keep a list of tanks separate from
the notifications and tanks may appear on that list that do not appear on a
notification form. Also, compare the notifications to tank lists required in
other documents, like the Spill Prevention Control and Countermeasures
Plan.
Subtitle J - Medical Wastes
Subtitle J was added to RCRA in November 1988 to address concerns
about the management of medical wastes. EPA enacted interim final
regulations in March 1989. The regulations, found in 40 CFR Part 259,
establish a demonstration program with requirements for medical waste
generators, transporters, and treatment, destruction, and disposal
facilities (TDDs). The demonstration program is effective in "Covered
States" during the period June 22, 1989 to June 22, 1991. The regulations
apply to regulated medical waste generated in Connecticut, New Jersey,
New York, Rhode Island, and Puerto Rico.
Basic Program
Medical waste is defined in 40 CFR 259.10 as any solid waste
generated in the diagnosis, treatment, or immunization of human beings
or animals, in related research, biological production, or testing. The
following are exempt from 40 CFR Part 259 requirements:
Any hazardous waste identified or listed under 40 CFR
Part 261
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Any household waste denned in 40 CFR 261.4(b)(l)
Residues from treatment and destruction processes or from
the incineration of regulated medical wastes
Human remains intended to be buried or cremated
Etiologic agents being shipped pursuant to other Federal
regulations
Samples of regulated medical waste shipped for enforcement
purposes
Regulated medical waste is a subset of all medical wastes and
includes seven categories:
1. Cultures and stocks of infectious agents
2. Human pathological wastes (e.g., tissues, body parts)
3. Human blood and blood products
4. Sharps (e.g., hypodermic needles and syringes used in animal
or human patient care)
5. Certain animal wastes
6. Certain isolation wastes (e.g., waste from patients with highly
communicable diseases)
7. Unused sharps (e.g., suture needles, scalpel blades, hypo-
dermic needles)
Etiological agents being transported interstate and samples of
regulated medical waste transported off-site by EPA- or State-designated
enforcement personnel for enforcement purposes are exempt from the
requirements during the enforcement proceedings.
Mixtures of solid waste and regulated medical waste are also subject
to the requirements. Mixtures of hazardous and regulated medical waste
are subject to the 40 CFR Part 259 requirements only if shipment of such a
mixture is not subject to hazardous waste manifesting (e.g., the hazardous
waste is shipped by a conditionally exempt generator).
Generators, transporters, and owners or operators of intermediate
handling facilities or destination facilities who transport, offer for
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transport, or otherwise manage regulated medical waste generated in a
Covered State must comply with the regulations even if such transport or
management occurs in a non-Covered State. Vessels at port in a Covered
State are subject to the requirements for those regulated medical wastes
transported ashore in the Covered State. The owner or operator of the
vessel and the person(s) removing or accepting waste from the vessel are
considered co-generators of the waste.
A generator who either treats and destroys or disposes of regulated
medical waste on-site [e.g. incineration, burial, or sewer disposal covered
by section 307(b) through (d), of the Clean Water Act] is not subject to
tracking requirements for that waste. However, such on-site waste
management may subject the generator to additional Federal, State, or
local laws and regulations.
Evaluating Compliance
The inspector should evaluate whether the generator has determined
what regulated medical waste streams are generated and/or managed.
Generators of less than 50 pounds per month are exempt from certain
transportation, and tracking requirements. Compliance should also be
evaluated by observing the following:
Prior to shipping waste off-site: Are wastes segregated? Are
wastes packed in the appropriate containers? If containers are
reused, are they decontaminated? Are containers properly
marked?
Does the generator use tracking forms? Are copies of the
forms and any exception reports kept for 3 years? Does the
generator export medical waste for treatment, destruction, or
disposal? If so, the generator must request that the destination
facility provide written confirmation that the waste was
received; an exception report must be filed if such a
confirmation is not received within 45 days. If the generator
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incinerates medical waste on-site, are the recordkeeping and
reporting regulations for on-site incinerators followed?
The transportation requirements apply to transporters, including
generators who transport their own waste, and owners and operators of
transfer facilities engaged in transporting regulated medical waste
generated in a Covered State. The inspector should verify that:
The proper labeling and marking of regulated medical waste
accepted for transportation has taken place or has been done.
If the waste is handled by more than one transporter, did each
transporter attach a water resistant identification tag below
the generator's marking? Is the required information on the
tag?
The transporter submitted the required notification(s) for each
Covered State.
The vehicles are fully enclosed, leakproof, maintained in
sanitary condition, secured when unattended, and marked
with the proper identification.
The applicable requirements for rail shipments are followed.
Tracking forms are used properly.
Recordkeeping and reporting requirements are followed.
The requirements for treatment, destruction, and disposal facilities
apply to owners and operators of facilities that receive regulated medical
waste generated in a Covered State, including facilities located in non-
Covered States that receive regulated medical waste generated in a Covered
State. The facilities include destination facilities, intermediate handlers,
and generators who receive regulated medical waste required to be
accompanied by a tracking form. The inspector should verify the following:
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Are tracking forms used and properly completed?
Are tracking form discrepancies resolved?
Are the recordkeeping requirements followed?
Is any additional information required by the Administrator
reported?
For rail shipments of regulated medical waste, the inspector should
determine whether the tracking forms are used properly.
Pollution Prevention
EPA is developing an Agency-wide policy for pollution prevention.
Present authorities were established in the 1984 Hazardous and Solid Waste
Amendments to RCRA [Section 3002]. The October 1990 Pollution
Prevention Act established pollution prevention as a national priority.
Evaluating Compliance
EPA has developed a policy regarding the role of inspectors in
promoting waste minimization (OSWER directory number 9938.10). As
stated in the policy, to evaluate compliance, the inspector should:
Check hazardous waste manifests for a correctly worded and
signed waste minimization certification.
Determine whether this certification was manually signed by
the generator or authorized representative.
Confirm that a waste minimization program is in place by
requesting to see a written waste minimization plan, p_r
requesting that the plan be described orally, or requesting that
evidence of a waste minimization program be demonstrated.
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The inspector can, and should visually check for evidence of a
"program in place" on-site.
Check the Biennial Report and/or Operating Record of
generators and TSDs, as appropriate. These documents are to
contain descriptions of waste minimization progress and a
certification statement. If known omissions, falsifications, or
misrepresentations on any report or certification are
suspected, criminal penalties may apply and the case should
be referred for criminal investigation.
/
Check any waste minimization language included in the facil-
ity's permits, any enforcement order, and settlement agree-
ments. Verify that any waste minimization requirements are
being satisfied.
The policy also states that the inspector should promote waste
minimization by:
Being familiar with recommending, and distributing waste
minimization literature.
Referring the facility to the appropriate technical assistance
program for more specific or technical information.
Providing limited, basic advice to the facility of obvious ways
they can minimize their waste. This advice should be issued
in an informal manner with the caveat that it is not binding in
any way and is not related to regulatory compliance.
The multi-media inspection team can also document cross-media transfers
of waste streams, which can result in false claims of waste minimization.
For example, a facility could treat a solvent waste water stream in an air
stripper that has no air pollution control devices. On paper, the amount of
solvent discharged to a land disposal unit or sewer system could show a
reduction, but the pollutants are going into the air, possibly without a
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permit. Another example would be a facility claiming a reduction in
hazardous waste generated because the waste stream was delisted.
CLEAN WATER ACT (CWA)
EPA establishes national water quality goals under the CWA. Water
pollution from industrial and municipal facilities is controlled primarily
through permits limiting discharges. Permit limits are based on effluent
guidelines for specific pollutants, performance requirements for new
sources, and/or water quality limits. Permits also set schedules and
timetables for construction and installation of needed equipment. Sources
which discharge indirectly to a municipal treatment plant are subject to
pretreatment standards. Other key provisions of the CWA require permits
for discharge of dredged and fill materials into waters (including wetlands)
and requirements for reporting and cleaning up spills of oil or hazardous
material. Nonpoint sources of water pollution, such as runoff from
agricultural fields, are addressed through programs to implement Best
Management Practices.
Although the investigator(s) responsible for determining facility
compliance with Clean Water Act requirements should focus on issues
identified below, they should be aware of the inter-relationship with other
laws, regulations, etc. For example, sludge generated at a wastewater
treatment plant (WWTP) may be regulated under solid waste disposal laws
(Toxicity Characteristic) and substances used/generated at the WWTP may
be subject to reporting requirements (EPCRA reporting for chlorine).
Basic Program
Wastewater compliance components can be generally categorized
into the following groups:
Control and treatment systems
Self-monitoring systems (including both field and laboratory
measurements)
Operation and maintenance (O&M)
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Best Management Practices (BMP)
Spill Prevention Control and Countermeasure (SPCC) Plan
Before the inspection, the investigators should determine the "yardstick" by
which facility compliance will be measured. To do so, the investigator must
obtain and review copies of the discharge permit, permit application,
discharge monitoring reports (DMRs), treatment facility plot plans, and
any additional required plans (SPCC, etc.).
Evaluating Compliance
Control and Treatment Systems
Wastewater control and treatment systems should be evaluated for
adequacy and compliance with permit or other requirements (consent
decrees, etc.) through record review and on-site inspection. This includes,
but is not limited to, the following:
Determine if all wastewaters generated by the facility are
adequately controlled, recycled, directed to the wastewater
treatment plant (on or off-site), discharged through an outfall
regulated by a National Pollutant Discharge Elimination
System (NPDES) permit, etc.
Identify any wastewater discharges directly to a receiving
waterbody that are not included in a facility NPDES Permit.
For off-site wastewater treatment, determine if the discharge
is required to meet pretreatment standards. Review any
applicable standards* and appropriate wastewater
characterization data, as necessary. Pretreatment checklists
are available in some Regional offices.
For on-site wastewater treatment, determine if the wastewater
treatment plant has the appropriate unit processes and is
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properly sized to effectively treat the quality and quantity of
wastewater generated by the facility.
Review operations records and DMRs to determine if the
facility has exceeded its NPDES permit limits.
Self-monitoring Systems
Self-monitoring consists of flow and water quality measurements
and sampling by the facility in addition to laboratory analyses of water
samples required by the NPDES permit program. The NPDES/
pretreatment permits normally identify self-monitoring requirements.
There are usually two components to the self-monitoring system
evaluation, as discussed below:
Field - Confirm that acceptable sampling and flow measurements, as
specified by iae NPDES/pretreatment permits, are conducted at the
correct locations, with the proper frequency, and by acceptable
equipment and methods. Determine if all necessary calibrations and
O&M are performed. Approved procedures are to be used in the
collecting, preserving, and transporting of samples [40 CFR 136.3(e)].
Laboratory - Evaluate laboratory procedures affecting final reported
results including:
Sample preservation methods and holding times
Chain-of-custody
Use of approved procedures (40 CFR 136 or approved
alternatives)
Adequacy of personnel, equipment, and other components of
laboratory operations
Adequacy of quality assurance/quality control program
Recordkeeping and calculations
Evaluate how the data are entered into laboratory notebooks or
computers; sign-off procedures used; analysis of spikes, blanks, and
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reference samples; how the lab data are transposed onto the official,
self-monitoring report forms (DMRs) sent to the regulatory agency;
and the extent and capability of outside contract laboratories, if used.
Operation and Maintenance
Most NPDES discharge permits have standard language that
requires proper facility operation and maintenance [40 CFR 122.4He)]. The
investigator should:
Determine if wastewater treatment processes are operated
properly through visual inspection and records review.
Observe the presence of solids, scum, grease, and floating oils
or suspended materials (pinpoint floe, etc.), odors, and weed
growth in the treatment units. Note appearance of wastewater
in all units.
Identify all out-of-service processes and determine cause.
Determine level of maintenance by observing condition of
equipment (pumps, basins, etc.) and reviewing records
(outstanding work orders, spare parts inventories).
Identify handling, treatment, and disposal of sludges and
other residues generated from processes and wastewater
treatment system.
Best Management Practices (BMP) Plan
Determine if the facility handles toxic materials and if a BMP plan is
required (40 CFR 125, Subpart K or by NPDES permit). If applicable, review
BMP Plan or BMP Permit requirements. Determine if facility is following
required provisions. Review any records required by the plan for adequacy.
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SPCC Plan
Determine if the facility is required to develop and implement an
SPCC Plan (40 CFR 112) for storage/handling and spill control of specified
substances. A facility is required to have an SPCC plan if it stores oil
and/or oil products and:
Underground capacity exceeds 42,000 gallons
Aboveground storage capacity exceeds 1,320 gallons
Any single aboveground container exceeds 660 gallons
A spill could conceivably reach a water of the United States
Obtain a copy of the plan and required records to assess compliance with
the plan provisions. The plan should be certified by a registered
professional engineer with approval and implementation certified by the
proper facility official. Identify and visually inspect all regulated tanks and
equipment including containment and run-off control systems and
procedures. Investigate any evidence of spilled materials. Discuss
training and associated procedures with facility personnel. Review
applicable records (spill reports, tank and piping inspection reports, and
loading/unloading equipment inspection reports).
CLEAN AIR ACT (CAA)
The Clean Air Act is the legislative basis for air pollution control
regulations. It was first enacted in 1955 and later amended in 1963, 1965,
1970, 1977, and 1990. The 1955 Act and the 1963 Amendments called for the
abatement of air pollution through voluntary measures. The 1965
amendments gave Federal regulators the authority to establish automobile
emission standards.
Basic Program
The Clean Air Act Amendments of 1970 significantly broadened the
scope of the Act, forming the basis for Federal and State air pollution
control regulations. Section 109 of the 1970 Amendments called for the
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attainment of national ambient air quality standards (NAAQS, 40 CFR 50)
to protect public health and welfare from the known or anticipated adverse
effects of six air pollutants (as of 1990 the standards were for small
particulates, sulfur dioxide, nitrogen dioxide, carbon monoxide, ozone, and
lead). The states were required to develop and submit to EPA
implementation plans that were designed to achieve the NAAQS. These
state implementation plans (SIPs) contained regulations that limited air
emissions from stationary and mobile sources. They were developed and
submitted to EPA on a continuing basis and became federally enforceable
when approved.
Section 111 of the 1970 Amendments directed EPA to develop
standards of performance for new stationary sources. These regulations,
known as New Source Performance Standards (NSPS, 40 CFR 60), limited
air emissions from subject new sources. The standards are pollutant and
source specific. Appendix L contains a list of the NSPS sources as of July I,
1990 and also lists sources subject to NSPS continuous emission monitoring
(CEM) and continuous opacity monitoring (COM) requirements.
Section 112 of the 1970 Amendments directed EPA to develop
standards for hazardous air pollutants. These regulations, known as the
National Emission Standards for Hazardous Air Pollutants (NESHAPs,
40 CFR 61), limited hazardous air emissions from both new and existing
sources. (Appendix L) contains a list of sources subject to NESHAPs as of
July 1, 1990. These standards are incorporated into the SIPs, usually by
reference to the EPA standard.
The Clean Air Act Amendments of 1977 addressed the failure of the
1970 Amendments to achieve the NAAQS by requiring permits for major
new sources. The permit requirements were based on whether the source
was located in an area that met the NAAQS (attainment areas, 40 CFR 81)
or in an area that did not meet the NAAQS (nonattainment areas). The
permit program for sources in attainment areas was referred to as the
prevention of significant deterioration (PSD) program.
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The Clean Air Act Amendments of 1990 significantly expanded the
scope of the Act. Section 112 amendments essentially replaced the
NESHAPs with a new program called "Title III - Hazardous Air
Pollutants." Title III listed 189 hazardous air pollutants [Appendix O] and
required EPA to start setting standards for categories of sources that emit
these pollutants within 2 years (1992) and finish setting all standards
within 10 years (2000). It also contains provisions for a prevention-of-
accidental-releases program.
Title V of the 1990 Amendments requires EPA to promulgate a
permitting program that will be implemented by the states no later than
November 15, 1994. The permits will include enforceable emission
standards, and reporting, inspection, and monitoring requirements
Title VII of the 1990 Amendments gives EPA enhanced enforcement
authority. The Agency may initiate enforcement proceedings for SIP and
permit violations if the state does not take enforcement action. Title VII
also provides for criminal penalties for Clean Air Act violations.
Evaluating Compliance
The following procedures are used to evaluate compliance with the
Clean Air Act.
Before an on-site inspection the documents listed below should be
obtained from state or EPA files and reviewed to determine what
regulations apply and what compliance problems may exist.
The state air pollution control regulations contained in the SIP
(State regulations and permits form the basis for the air
compliance inspection and will vary from state to state.)
The state operating and construction permits
The most current emissions inventory (check for sources
subject to SIP, NSPS, and NESHAPs requirements)
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The volatile organic compound (VOC) emissions inventory
(The VOC inventory may not be included in the emissions
inventory but reported separately under Title III Form R
submittals. See Emergency Planning and Community Right-
to-Know section.)
The consent decrees/orders/agreements still in effect and
related correspondence
The most recent inspection reports
The most recent monthly or quarterly CEM/COM reports
AIRS Facility Subsystem (AFS) reports
Process descriptions, flow diagrams, and control equipment
for air emission sources
Facility plot plan that identifies and locates the air pollution
emission points
The on-site inspection should include a review of the records and
documents listed below:
Process operating and monitoring records to determine if
permit requirements are being followed
Fuel analysis reports (including fuel sampling and analysis
methods) to determine if sulfur dioxide emission limits and/or
other fuel requirements are being met
Reports of process/control equipment malfunctions causing
reportable excess emissions (refer to SIP to determine
reportable malfunctions and report requirements)
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Source test reports to determine if NSPS, NESHAPs, and/or
major sources have demonstrated compliance with emission
standards
GEM reports to determine if NSPS and SIP reporting
requirements are being met (reported emissions should be
checked against raw data for accuracy and reported corrective
actions should be checked for implementation)
CEMS/COMS certification tests (relative accuracy and
calibration drift) to verify that performance specifications at
40 CFR 60, Appendix B are met
Records and reports specified in SIP regulations, NSPS and
NESHAP subparts, and applicable permits
The on-site inspection should also include the following:
Visible emission observations (VEOs), by inspectors certified to
read smoke within the last 6 months, to determine compliance
with SIP, NSPS, or NESHAPs opacity limits (document
noncompliance with EPA Method 9, 40 CFR 60, Appendix A)
A check of real time CEM measurements to determine
compliance SIP, NSPS or NESHAPs limits (opacity CEM
measurements can be compared against VEOs)
A review of CEM/COMS calibration procedures and frequency
to determine if the zero/span check requirements and analyzer
adjustment requirements of 40 CFR 60 are being met
Observations of process and control equipment operating
conditions to determine compliance with permit conditions (if
no permit conditions apply, control equipment operating
conditions can be compared to baseline conditions from stack
tests or manufacturers specifications for proper operation)
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A review of all sources to determine if existing, new, modified
or reconstructed sources have construction and operating
permits required by SIP (note other process changes that may
not require a permit but could effect emissions)
Observation of control equipment operating conditions and
review of equipment maintenance practices and records to
determine proper operation of control equipment
SAFE DRINKING WATER ACT (SDWA)
Basic Program
Public drinking water supply systems (i.e., serve at least 25 people)
are regulated by the Safe Drinking Water Act (SDWA), as amended. EPA
sets standards for the quality of water that can be served by public water
systems, [known as Maximum Contaminant Levels (MCLs)]. Public
systems must sample their water periodically and report findings to the
State (or EPA, if the State has not been delegated the authority to enforce the
SDWA). They must notify consumers if they do not meet the standards or
have failed to monitor or report. EPA is on a statutory schedule for
promulgating a large number of new MCLs.
Evaluating Compliance
Water Supply Systems
The Underground Injection Control (UIC) program was developed
pursuant to the Safe Drinking Water Act (SDWA) (Public Law 93-523),
Part C - Protection of Underground Sources of Drinking Water (40 CFR
Parts 124 and 144 through 148).
The UIC program regulates five classes of injection wells,
summarized as follows:
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Class I Industrial, municipal, or hazardous waste disposal
beneath the lowermost underground source of drinking
water (USDW)
Class II Oil- and gas-related wells used for produced fluid
disposal, enhanced recovery, hydrocarbon storage, etc.
Class III Mineral extraction wells
Class IV Hazardous or radioactive waste disposal above or into a
USDW
Class V Injection wells not included in Classes I through IV
Monitoring requirements for water supply systems and whether or
not the system can be reasonably expected to routinely provide safe potable
water should be determined. Many facilities purchase their potable water
supply from a nearby municipality. If no further treatment is provided
(e.g., chlorination by the facility), the facility remains a "consumer" rather
than becoming a "supplier," and consequently does not have the monitoring
or reporting requirements that a supplier would have. Nevertheless, the
facility does have a responsibility to assure that their actions do not result in
contamination of the municipal water supply (e.g., through cross-
connection). The audit team should be alert to these possibilities.
Inspectors should:
Verify public water system records of monitoring and reports
of exceeding MCLs.
Interview water system personnel to identify potential
operations and maintenance problems.
Obtain water source, treatment, and service area information.
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UIC inspector should determine the following:
Injection well construction
Potential pathways of endangerment to underground sources
of drinking water (USDWs)
Protection of USDWs from endangerment
Frequency and type of mechanical integrity testing (MIT)
Annular pressure
Annular pressure monitoring
Radioactive tracer surveys
Installation methods for well plugging
Remedial operations
Applicability of Land Disposal Restrictions to injection well
operations
Recordkeeping and evidence documentation
Outlets for floor drains
Connection to "dry" wells
Several states and industries have requested approval of various
alternative mechanical integrity testing methods or variances to
accommodate special local hydrogeological conditions, historical practices,
or industry interests. Inspectors and field investigators should be
cautioned to keep current with special permit conditions and the status of
any pending approvals/denials of alternative mechanical integrity testing
procedures and variances.
TOXIC SUBSTANCES CONTROL ACT (TSCA)
This section describes those specific aspects of toxic chemical control
that are addressed by the Toxic Substances Control Act (TSCA) and its
associated rules and regulations (40 CFR Parts 702 through 799).
Basic Program
The regulation of toxics under TSCA is subdivided into two
components for Agency enforcement program management purposes.
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1. "Chemical control" covers enforcement aspects related to
specific chemicals regulated under Section 6 of TSCA, such as
polychlorinated biphenyls (PCBs), chlorofluorocarbons (CFCs),
and asbestos.
2. "Hazard evaluation" refers to the various recordkeeping,
reporting, and marketing submittal requirements specified in
Sections 5, 8, 12, and 13 of TSCA; although, some elements of
what might be termed "chemical control" are also addressed
in these sections. Sections 12 and 13 of TSCA, which pertain to
chemical exports and imports, respectively, will not be covered
in this manual due to their special nature and unique
requirements.
Prior to discussing TSCA activities* at a facility, the investigator
must present appropriate facility personnel with copies of the following two
TSCA audit forms [Appendix P]:
1. Notice of Inspection - Shows purpose, nature, and extent of
TSCA audit
2. TSCA Inspection Confidentiality Notice - Explains a facility's
rights to claim that some or all the information regarding toxic
substance handling at the facility is to be considered as TSCA
Confidential Business Information (CBI)
Before leaving the site, the following two forms [Appendix P] must be
completed, as appropriate.
1. Receipt for Samples and Documents - Itemizes all documents,
photos, and samples received by the investigator during the
audit
All personnel handling material claimed as Confidential Business Information
under TSCA must be cleared for access to that material in accordance with Agency
procedures. An annual update is required.
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2. Declaration of CBI* - Itemizes the information that the facility
claims to be TSCA CBI
Evaluating Compliance
Chemical Control
Although the controlled substances most frequently encountered
during multi-media investigations are polychlorinated biphenyls (PCBs),
the investigator should determine if other regulated toxic substances are
present at the facility. Currently these include metal working fluids
(Part 747), fully halogenated chlorofluoroalkanes (40 CFR 762), and asbestos
(40 CFR 763); additional toxic substances may be regulated in the future.
Because the probability of finding PCBs and PCB items at a facility is
greater than finding other TSCA-regulated substances, the following
discussion is directed toward an evaluation of compliance with proper PCB
and PCB item handling procedures. Should other TSCA-regulated
substances be present, the investigator should consult the regulations for
appropriate requirements.
Management of PCBs/PCB items is regulated under 40 CFR 761. In
general, these regulations address recordkeeping, marking and labeling,
inspections, storage, and disposal.
Facilities which store and/or dispose of PCBs and PCB items should
have EPA-issued Letters of Approval which contain facility operating and
recordkeeping requirements in addition to those specified in 40 CFR 761.
The investigator must obtain a copy of these approvals and any subsequent
notifications to evaluate facility compliance. The inspector should review
Part 761.30 to identify uses of PCB transformers which are prohibited
beginning October 1, 1990, but with effective dates extending to October 1,
1993. The inspector should also review the requirements found in
These forms are generally completed during the closing conference. During the
opening conference, facility personnel should be made aware that the latter form is
used to itemize TSCA CBI material.
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Part 761.30 which allow the installation of PCB transformers for emergency
use.
In general, the compliance evaluation includes obtaining and
reviewing information from Federal, State, and local regulatory agency
files; interviewing facility personnel regarding material handling activity;
examining facility records and inspecting material handling units.
Specific investigation tasks include:
Inspect all in-service electrical equipment, known or suspected
of containing PCBs, for leaks or lack of proper marking. A
similar inspection should also be made of any equipment that
the facility is storing for reuse. Make certain that any
remedial actions were quick and effective in the case of leaks,
spills, etc.
If the above equipment includes any PCB transformers make
certain that all relevant prohibitions are being met, such as
those inv 7 enhanced electrical protection, as well as other
requirements in the Use Authorization section of the PCB
Rule. Likewise with large PCB capacitors. Make certain that
any hydraulic or heat transfer systems suspected of containing
PCB fluids have been properly tested.
Determine whether the facility is involved with servicing PCB
items or using/collecting/producing PCBs in any manner. If
so, make certain that the appropriate requirements of the PCB
Rule are being met.
Determine whether the facility is involved with either the
storage or disposal of PCBs/PCB items. Inspect all storage for
disposal facilities for proper containment, leaking items,
proper marking, dates/time limits, location, protection from
elements, and other necessary requirements. If the facility
disposes of PCBs, make certain that proper methods are being
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employed and that design and operation of disposal units is in
accordance with regulatory requirements.
Determine whether storage/disposal facilities are complying
with the notification and manifesting requirements contained
in Subpart K of the PCB Rule.
Thoroughly review, for purposes of adequacy and regulatory
compliance, all records and reports required by the PCB Rule
including the following:
Annual documents
Inspection logs
PCB transformer registration letters
Manifests/certificates of destruction
Test data
Spill clean-up reports
EPA issued permits or Letters of Approval
SPCC plan, if one is necessary
Operating records
Notification of PCB activity
Hazard Evaluation
Establishing compliance with the various hazard evaluation aspects
of TSCA is best accomplished through review and evaluation of the
recordkeeping, reporting, and submittal data required by the various
regulatory components of Sections 5 and 8. In general, Section 5 addresses
new chemicals (i.e., those not on the TSCA Chemical Substances
Inventory) and Section 8 provides for control of existing chemicals (i.e.,
those chemicals that are on the TSCA Chemical Substances Inventory).
Much of the information obtained and reviewed under these two
sections of TSCA will be declared "TSCA Confidential Business
Information" (CBI) by company officials and, thus, special security
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procedures must be followed during review and storage of the documents,
as discussed elsewhere.
The glossary [Appendix Q] and 40 CFR Parts 703 through 723 should
be consulted for an explanation of TSCA terms and definitions. The
following list summarizes the different objectives for inspections of the key
TSCA Sections 5 and 8 components.
1. Premanufacture Notification (PMN)
a. Verify that all commercially manufactured or imported
chemicals are either on the TSCA Chemical Substances
Inventory, are covered by an exemption, or are not
subject to TSCA.
b. Verify that commercial manufacture or import of new
chemicals did not begin prior to the end of 90-day review
date [Appendix A, page A-24], and not more than 30 days
before the Notice of Commencement (NOC) date. If
commercial manufacture or import has not begun, ver-
ify that no NOC has been submitted .
c. Verify the accuracy and documentation of the contents of
the PMN itself.
2. Research and Development (R&D) Exemption
a. Verify that the recordkeeping and notification
requirements are being met for all R&D chemicals.
b. Verify that "Prudent Laboratory Practices" and
hazardous data searches are adequately documented.
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3. Test Marketing- Exemption (TME)
a. Verify that the conditions spelled out in the TME
application are being met, particularly with respect to
dates of production, quantity manufactured or imported,
number of customers and use(s).
b. Verify that the TME recordkeeping requirements are
being met.
4. Low Volume Exemption (LVE) and Polymer Exemption (PE)
a. Verify that specific conditions of the exemption
application are being met, and that all test data have
been submitted.
b. For an LVE, verify that the 1,000-kg limit per 12-month
period has not been exceeded. For a PE, assure that the
chemical structure and monomer composition(s) are
accurate.
c. Verify that recordkeeping requirements for both LVEs
and PEs are being met.
5. 5(e)/5(f) Order. Rule, or Injunction
a. Verify that all conditions of the order, rule, or injunction
are being followed, including use of protective
equipment, glove testing, training, and recordkeeping.
b. If a testing trigger is specified, verify production volume
and status of testing activity.
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6. Significant New Use Rule CSNUR)
a. Verify that no commercial production has occurred
prior to the 90-day review date.
b. Verify that SNUR notices have been submitted for all
applicable manufactured, imported, or processed
chemicals.
c. Verify technical accuracy of SNUR submittal and
completeness of required recordkeeping.
7. Bona Fide Submittals
Determine the commercial production (or import) status and
R&D history of those bona fide chemicals not found on the
confidential 8(b) inventory. Verify findings against applicable
PMN, TME, or other exemption.
8. Section 8(a) Level A PAIR and CAIR Report
a. Determine if Preliminary Assessment Information Rule
(PAIR) and Comprehensive Assessment Information
Rule (CAIR) reports have been submitted for all 8(a)
Level A listed chemicals manufactured or imported by
the facility.
b. Verify the accuracy of submitted PAIR information,
particularly the reported figures for total production
volume and worker exposure levels.
c. Verify the accuracy of submitted CAIR information and
if the report meets the date specified in the regulation.
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9. Section 8(b) Inventory Update Rule (IUR)
a. Verify the accuracy of the information submitted in
response to the IUR.
b. Determine that required information was submitted by
the prescribed deadline for all chemicals subject to IUR.
10. Section 8(c) Recordkeeping
a. Determine if the facility has a Section 8(c) file and that
allegations of significant health and environmental
harm on record are properly filed and recorded.
b. Determine that all applicable allegations have been
recorded and filed.
c. Determine if the facility has a written Section 8(c) policy
and if the policy includes outreach to the employees.
11. Section 8(d) Reporting
Determine if copies (or lists) of all unpublished health effects
studies have been submitted by manufacturers, importers, and
processors for any Section 8(d) listed chemical.
12. Section 8(e) Reporting
a. Verify that all Section 8(e) substantial risk reports to the
Agency were accurate and submitted within the
required time frames.
b. Verify that all substantial risk incidents and/or test
results have been reported to EPA.
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c. Determine that the company has an adequate written
policy addressing Section 8(e), and that it relieves
employees of individual liability.
FEDERAL INSECTICIDE. FUNGICIDE. AND RODENTICIDE ACT
(FIFRA)
Basic Program
Pesticides are regulated by FIFRA and regulations developed under
delegated State programs. Under FIFRA, pesticide products must be
registered by EPA before they are sold or distributed in commerce. EPA
registers pesticides on the basis of data adequate to show that, when used
according to label directions, they will not cause unreasonable adverse
effects on human health or the environment.
To ensure that previously registered pesticides meet current
scientific and regulatory standards, in 1972 Congress amended FIFRA to
require the "reregistration" of all existing pesticides.
Evaluating Compliance
The following list is for use in conjunction with specific storage/
use/disposal requirements found on pesticide labels. FIFRA requires a
written notice of inspection and written receipt for samples and documents
collected.
Determine types and registration status of all pesticides
produced, sold, stored, and used at the facility, particularly if
any are restricted or experimental use pesticides.
Determine use(s) of each pesticide.
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Determine certification status of facility/handlers.
Verify who certifies facility/pesticide handlers [EPA,
State, Department of Defense (DOD)].
Determine if commercial or private application.
If restricted-use pesticides are used, check if pesticide
applicators are authorized to use these pesticides.
Check expiration dates on licenses/certificates.
Review applicable records.
Check previous audit records and complaints.
Check application records.
Check restricted-use pesticides records (must be kept at
least 2 years). Document suspected violations
accordingly.
Check inventory records.
Check training records.
Check equipment repair records.
Inspect storage, mixing/loading, and container disposal areas.
Check bulk storage areas for compliance with Federal/
State rules.
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Check location, ventilation, segregation, shelter, and
housekeeping of pesticide storage/handling areas.
Check security, fire protection, and warning signs, as
may be required by State regulations.
Check mixing equipment/procedures for reducing
handlers' exposures to pesticides.
Check for safety equipment/procedures/use.
Check container cleanup and disposal procedures.
Pesticide waste disposal
Check to see that pesticides are disposed of in
accordance with applicable label and RCRA
requirements.
Determine measures taken to ensure worker safety.
Check pesticide use records for re-entry time limit
notation.
Check pesticide use records for record of informing
farmer or warm-ng workers and/or posting fields.
Provide farmer and/or applicator copy of current worker
protection standards.
Observe actual pesticide application.
Observe mixing/loading and check calculations for
proper use dilution.
Observe when spray is turned on/off with respect to ends
of field.
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Watch for drift or pesticide mist dispersal pattern.
Note direction of spraying pattern and trimming
techniques.
Record wind speed and direction, air temperature, and
relative humidity.
Observe application with respect to field workers,
houses, cars, power lines, and other obstacles.
Determine if applicator and assisting personnel are
wearing safety gear required by the label.
EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNQW ACT
(EPCRA)
Basic Program
The Emergency Planning and Community Right-to-Know Act
(EPCRA) of 1986 is a free-standing law contained within the Superfund
Amendments and Reauthorization Act (SARA) of 1986. EPCRA is also
commonly known as SARA Title III. EPCRA requires dissemination of
information to State and community groups and health professionals on
chemicals handled at regulated facilities.
An EPCRA audit verifies that the facility owner/operator has notified
State and local agencies of regulated activities; has submitted information
to specific State and local agencies; and has prepared and submitted all
other required reports.
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Evaluating Compliance
Emergency Planning (Sections 301 through 303)
EPA promulgated regulations which identify extremely hazardous
substances and the levels to be regulated under EPCRA. The inspector
should determine whether the facility is subject to EPCRA regulation. If
the facility does meet the requirements, the inspector should verify whether
the facility owner/operator:
Notified the State emergency response agency and the local
emergency planning committee that the facility is regulated
under EPCRA
Designated a facility emergency coordinator to assist the local
emergency planning committee in the planning process
Notified the local emergency planning committee of the
emergency coordinator's identity
Emergency Notification (Section 304)
The owner/operator of a facility subject to EPCRA must immediately
report releases of hazardous substances. Substances subject to this
requirement are the extremely hazardous substances listed in 40 CFR Part
355 and substances subject to the emergency notification requirements
under CERCLA Section 103(a) or (c). The inspector should verify whether
an immediate notification was made to the:
State emergency response commission
Local emergency planning committee
National Response Center for spills involving CERCLA
reportable quantities
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Community Right-to-Know Requirements (Sections 311 through 313>
Manufacturing facilities subject to the Occupational Safety and
Health Act (OSHA) Hazardous Communication Regulation (29 CFR Part
1910) are required to prepare Material Safety Data Sheets (MSDS) for each
hazardous chemical handled at the facility. Manufacturing facilities
covered are contained within Standard Industrial Classification (SIC)
Codes 20 through 39. OSHA revised its Hazardous Communication
Regulation, effective September 23, 1987, to require that MSDSs be prepared
by nonmanufacturing facilities. The inspector should verify that the facility
owner/operator has sent the following to the State emergency response
commission, the local emergency planning committee and the local fire
department:
MSDS or a list of chemicals covered by MSDS found at the
facility
An annual inventory of hazardous chemicals found at the
facility
Toxic Chemical Release Reporting (Section 313)
Covered facilities (40 CFR Part 372.22) that manufacture, import,
process, or use certain chemicals must annually report releases to the
environment. The inspector should determine whether the facility owner/
operator is required to submit a report (Form R) by July 1 for the preceding
calendar year(s). All the following conditions must apply at the facility in
order to meet the reporting requirements:
The facility has 10 or more full-time employees
An operation(s) identified in SIC Codes 20 through 39 is
present
The amount of chemical(s) handled exceeds the applicable
threshold quantity
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COMPREHENSIVE EMERGENCY RESPONSE. COMPENSATION. AND
LIABILITY ACT (CERCLA)
The Superfund law of 1980 (CERCLA) including the SARA
amendments of 1986 authorizes EPA to clean up hazardous substances at
closed and abandoned waste sites and to recover the cost of cleanup and
associated damages from the responsible parties. EPA can also take
enforcement action against responsible parties to compel them to clean up
sites. Other provisions of CERCLA require releases of hazardous
substances over a specified amount ("reportable quantities") to be reported.
CERCLA is mostly an "after-the-fact" cleanup program, and there
are no routine compliance monitoring inspections as in other programs.
Sites are visited and environmental and other data are gathered for
evaluation and assessment purposes, as well as to identify potential
responsible parties. This information may ultimately be used in
enforcement actions to recover the costs of cleanup or to compel cleanup by
responsible parties.
Although CERCLA is not oriented to routine inspections of active
industrial facilities, inspectors should be alert to signs of potential
abandoned dump sites, spills, potential release of hazardous wastes, or
other Superfund-type situations while they are out in the field, such as:
Rusting drums and containers, evidence of spills, discolored
vegetation, discolored water, foul-smelling lagoons
Statements by facility personnel about how they handle wastes
Records of spills or other releases of hazardous substances, or
potential releases of hazardous substances
Records of non-RCRA sites where hazardous substances have
been stored, treated, or disposed
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The investigator should determine, through records review,
interviews, etc., whether all RCRA and CERCLA sites have been reported
to the proper authorities. The investigator should also evaluate assessment
and response programs at a facility, if this objective is within the scope of
the audit.
Additionally, the facility should be evaluated concerning State and
local requirements controlling past and current disposal of municipal
waste, nonhazardous industrial waste, and construction debris. The
information concerning such past disposal activities may lead to
unreported RCRA and CERCLA sites.
The initial step in evaluating compliance with solid/hazardous waste
requirements is to identify all present and past waste streams generated at
the facility and determine which are regulated by Federal,* State,** or local
regulations, licenses, and approvals. Preferably, this determination is
initiated during background document review before the on-site facility
audit and supplemented/modified using information obtained while on-site.
All waste streams generated (even those that the generator claims are not
regulated) must be evaluated for regulatory inclusion. This will allow the
investigator to determine whether the generator has properly identified all
regulated waste streams.
Once regulated waste is identified, the investigator can track the
material from generation to final on-site disposition (on-site treatment/
disposal) or storage and transport for off-site disposal and determine
compliance with* applicable regulations. Throughout the investigation, the
investigator must keep in mind that both past and present activities need to
be evaluated for compliance with applicable regulations.
* *
Definitions, identification, and listing of Federally regulated waste are given in
40 CFR 260 and 261 and CERCLA § 101.
Nonhazardous solid waste is usually regulated by the State and these regulations
must be obtained to evaluate applicable facility activity.
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LABORATORY AND DATA QUALITY AUDITS
The purpose of laboratory evaluations and data quality assessment is
to determine if all analytical and monitoring requirements have been met
and to characterize data usability. The two approaches used are:
(1) performance and (2) systems audits. This section discusses the
approach to laboratory auditing under the CWA, RCRA waste handling,
and RCRA groundwater regulations.
Performance audits are independent checks made to evaluate the
quality of data produced by the total measurement system. This type of
audit assesses the results and usually does not examine the intermediate
steps to achieve these results. One example, is the performance evaluation
check sample which is used to validate calibration accuracy but usually not
the overall effectiveness of the methodology. Another example is an audit of
a particular measurement device using a reference device with known
operational characteristics.
A systems audit typically involves an inspection of the components
comprising the total measurement system. The Agency has certain
expectations of the process used to sample, analyze, and report results. The
systems audit is designed to objectively examine each important part of that
process to determine deviations from required or recommended practice.
The systems audit is more qualitative than the performance audit. A
systems audit assesses such items as equipment, personnel, physical
aspects, analytical and quality control procedures, quality assurance
procedures, and other laboratory or measurement procedures. From a
regulatory perspective, this type of audit may find noncompliance with
equipment or procedural requirements, or even fraud.
Typically, a systems audit combined with performance audits will be
conducted in order to extract the maximum amount of information.
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A detailed list of items should be requested from the company and
contract laboratory. This list should include:
Standard Operating Procedures (SOPs)
Quality Assurance Plan
Personnel resumes
Instrument maintenance and calibration records
Monitoring data to be looked at
If performance evaluation samples are to be analyzed, these should
be forwarded to the company at the earliest possible time. If preliminary
data is available, it should be carefully examined for problems and if
problems are found, a more careful examination of these areas can be
made on-site.
During the on-site visit, every component of sample handling,
sample analysis, and data reduction should be examined. The auditor
starts with the laboratory supervisor and QA officer to verify that the
information supplied on personnel training, quality assurance/quality
control, and SOPs is correct. For each parameter determined, the
individual or individuals who actually make that determination are
interviewed. The analyst is asked to detail exactly what happens to each
sample and demonstrate the use of equipment including instrument
calibration. Checklists are prepared as an aid to the inspector. Bench data
(initially recorded numbers, strip charts, etc.) is selected. Final results are
calculated from the bench data by the inspector and compared with the
results reported to the agency. On-site personnel will be asked to explain
any discrepancies at this time. Other documents necessary to the case or
as potential evidence are copied.
The final assessment and data quality determination is normally
performed following the on-site audit. Critical data are re-examined for
trends and anomolies. Where necessary, data is computerized and
analyzed using statistical software packages. Techniques such as mass
balance, solubility product determination, oxidation-reduction state
consistency are used, where applicable, to indicate data problems. A
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
propagation of error treatment may be used to establish data quality.
Performance audit results are evaluated against reference database
statistics. Tasks for common laboratory audits are:
NPDES f Water)
Determine that the exact date, time, and person who takes
each sample are recorded.
Determine that the exact date, time, person, and method used
for each type of determination are recorded.
Inspect permit carefully to ensure that the permittee adheres
to specified conditions.
Ensure that methods used are in conformance with 40 CFR 136
unless alternate approval has been obtained.
Ensure that proper chain-of-custody, accurate flow
measurements, field preservation techniques, and instrument
calibration procedures are practical.
RCRA Waste
Determine which parts of the regulations are applicable to the
site.
Determine which waste analysis plans (WAPs) were in effect
during the time of records and evaluation.
Determine that the WAPs meet the specifications of the
regulation.
Determine that each type of analysis specified in the WAPs is
performed in accordance with the methodology specified and
under the circumstances required.
Determine that the methodology specified is adequate.
RCRA Groundwater
Determine that the sampling and analysis plan (SAP) is
adequate.
Determine that the laboratory follows the methodology
specified in the SAP.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
Determine that this methodology is adequate.
Calculate detection limits to ensure that they are adequate for
groundwater protection.
FIELD CITATIONS AND DOCUMENTATION
Field Citations
The use of field citations will be predicated on policies established by
the individual program offices. They will be used if appropriate forms exist
and the universe of violations for which they apply are well defined, unless
specifically requested not to do so.
Other Facility Material
A serialized, document control system should be used to ensure that
all facility documents are readily available when preparing the
investigation report, and that all will be accounted for when the project is
completed. All facility documents should be numbered, logged in for
accounting purposes, provided to the appropriate investigation personnel,
and ultimately filed or attached to the final investigation report, depending
on the nature of the document. The team leader should have full
responsibility for implementing this system for his/her particular
investigation(s).
Documents received from a facility should be inventoried and a
receipt for documents provided to the facility. EPA laws allow for the
copying of documents. In some cases, facilities may not provide copies of
requested documents so the investigators will have to provide their own
document copying equipment (e.g., a rental portable copying machine). If
the company provides copies, the investigator should offer and be prepared
to pay a reasonable cost for each copy (see FOIA guidance/procedures for
guidance on typical costs).
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Project Logbook
The team leader should provide a bound logbook to every individual
participating in the investigation. Each investigator should maintain
his/her own investigation logbook, and they will form the basis for
preparing the written investigation report. All logbooks issued by EPA are
the property of EPA and should be turned over to the team leader for filing,
after the final report is completed. In addition to documenting pertinent
observations/findings/comments, logbooks should also include any in situ
measurements and descriptive information relative to all sampling
operations. Any change in the logbook should be initialed and dated. It is
important to remember that logbooks can end up in court, and therefore,
must only contain facts, figures, and observations.
Chain-of-Custody
The team leader should be responsible for taking an adequate
number of sample tags and chain-of-custody forms for the on-site
investigation. If possible, these should be in serialized order. He/she
should distribute them to the team members on an as needed basis. Each
investigator that collects samples must prepare and be custodian of all
chain-of-custody records for those samples until they are returned to the
laboratory. When chain-of-custody records are no longer needed by the
sampler, the original copies should be given to the team leader who will
then file them for possible future use.
Photographs
All photographs should remain in the possession of the investigator
that took them. That person will also be responsible for properly labeling
the photographs so that they can be attached to the investigation report, and
making a copy of each so they can be included in the master project file.
Each photograph should be given a separate number for identification
purposes, when it is taken. Corresponding entries should also be made in
the logbook. For each numbered photograph, the photographer should
include the following information in his/her logbook:
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Name of photographer
Date
Time
Subject of photograph
Direction of photograph
Additional information on photographs/microfilm is presented in
Appendix J.
INVESTIGATION REPORT
After the on-site investigation is completed, information obtained is
further evaluated and findings/conclusions are developed. An inspection
report is then written to present the findings, conclusions, and supporting
information in a logical organized manner. Reports should be prepared
and peer-reviewed before they are published in final form. The procedure
involves developing a draft for internal review, then a subsequent, revised
draft for external (client) review. Upon receipt of comments on the external
review draft, a final report is prepared. The final report is the basis for
follow-up activities or enforcement actions that might be initiated.
Inspection reports are prepared by the appropriate individual or
project team member(s) under the direction of the team leader. All
participants in the report preparation process must assure that their
individual contributions to the report are accurate, relevant, objective,
clear, fully supportable, and commensurate with Agency policy.
Supporting information and documents used or referred to in the report are
implicitly endorsed, unless disclaimed. Report authors are responsible for
determining where such disclaimers are needed. Although the overall
responsibility for the preparation and content of the reports rests with the
project coordinator, team members are responsible for the quality,
accuracy, and admissibility of information in the final report.
Many different formats are possible for the multi-media inspection
report. Generally, reports for the Categories C and D inspections are
longer and require more effort to produce a cohesive, readable document.
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(*
The potential audience for a multi-media inspection report may be diverse
and includes not only technical peers but also managers, lawyers, judges,
reporters, informed citizens, and other non-technical readers; the reports
are written for this diverse audience.
Readability of the longer reports may be enhanced by organizing the
report into two major sections: the Executive Summary and the Technical
Report. The Executi- Summary section clearly states inspection
objectives, discusses relevant background information, summarizes
inspection methods, and, as appropriate, presents conclusions regarding
facility compliance which are supported by a brief summary of the findings.
The Summary should include enough specifics to accurately determine
whether a violation has occurred (e.g., "insufficient aisle space" is not all
right; "aisle space less than 15 inches" is all right). The Technical Report
section more comprehensively describes the inspection, giving specific
details about the findings, including sample collection and analysis, and
other pertinent aspects of the investigation. Findings in the Executive
Summary must correlate to and be supported by discussion in the
Technical Report.
Distribution of final reports is coordinated with the requesting office,
program office, and Regional counsel. Reports containing confidential
business information (CBI) may be subject to distribution restrictions. EPA
reports containing material asserted to be CBI by the company may not be
shared with non-Federal agencies without obtaining specific authorization
from the company.*
OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION .
The Secretary of Labor and Administrator of EPA signed a
Memorandum of Understanding (MOU) on November 23, 1990 with the goal
of establishing a program for improved environmental and workplace
health and safety. Implementation of the program is to be coordinated
primarily by the Occupational Safety and Health Administration (OSHA)
Restrictions on distribution of CBI information are presented in 40 CFR Part 2.
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MEDIA SPECIFIC INVESTIGATION PROCEDURES
and EPA Office of Enforcement. Although the two agencies have worked
cooperatively together in the past on a number of issues and investigations,
no comprehensive structure existed to focus that cooperative effort
nationally. Having such a comprehensive structure is particularly critical,
given the need to assure the most effective use of limited Federal resources
and potential overlapping EPA-OSHA responsibilities.
The MOU provides for coordinated and joint inspections of facilities
believed to be in violation of Federal workplace or environmental standards,
facilitates the exchange of technical information, computer data bases, and
other information to allow for better targeting of inspections, and provides
for cross-training programs.
The MOU requires that a number of specific actions be taken,
including the development of a workplan for 1991 with subsequent annual
workplans to be developed by the beginning of each succeeding fiscal year.
Separate agreements and data exchange will also be developed in the
future.
Furthermore, all Agency investigators should be aware of OSHA
requirements and be alert for potential violations of OSHA requirements.
Team leaders should be aware of appropriate procedures to refer potential
violations to OSHA.
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REFERENCES
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REFERENCES
1. U.S. Department of Health and Human Services
NIOSH/OSHA/USCG/EPA. 1985. Occupational Safety and Health
Guidance Manual for Hazardous Waste Site Activities U.S.
Government Printing Office.
2. U.S. Department of Health and Human Services. 1987. NIOSH
Respirator Decision Logic. DHHS Publication No. 87-108.
3. U.S. Department of Justice. James C. Cissel, United States Attorney,
Southern District of Ohio. 1980. Proving Federal Crimes. U.S.
Government Printing Office.
4. U.S. Environmental Protection Agency. A.D. Schwope, P.P. Costas,
J.O. Jackson, J.O. Stull, D.J. Weitzman. 1987. Guidelines for the
Selection of Chemical Protective Clothing. Prepared for the Office of
Administration.
5. U.S. Environmental Protection Agency. Enforcement Specialist
Office. 1987. Federal Environmental Criminal Laws and Ancillary
U.S. Code Violations.
6. U.S. Environmental Protection Agency. Hazardous Waste Ground-
Water Task Force. 1986. Protocol for Ground-Water Evaluations.
OSWER 9080.0-1.
7. U.S. Environmental Protection Agency. National Enforcement
Investigations Center. 1981. NEIC Manual for Ground-
water/Subsurface Investigations at Hazardous Waste Sites. EPA-
330/9-81-002.
8. U.S. Environmental Protection Agency. National Enforcement
Investigations Center. 1978 [Revised August 1991]. NEIC Policies
and Procedures Manual.
9. U.S. Environmental Protection Agency. Occupational Health and
Safety Staff/Office of Administration. 1986. Occupational Health and
Safety Manual. Transmittal 1440.
10. U.S. Environmental Protection Agency. Office of Enforcement and
Compliance Monitoring. 1989. Basic Inspectors Training Course:
Fundamentals of Environmental Compliance Inspections.
11. U.S. Environmental Protection Agency. Office of Federal Activities.
1989. Generic Protocol for Environmental Audits of Federal
Facilities. EPA/130/4-89/002.
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REFERENCES (cont.)
12. U.S. Environmental Protection Agency. Office of Ground-Water
Protection. 1987. Guidelines for Delineation of Wellhead Protertinn
Areas.
13. U.S. Environmental Protection Agency. Office of Pesticides and
Toxic Substances. 1989. Pesticides Inspection Manual.
14. U.S. Environmental Protection Agency. Office of Solid Waste. 1984.
Waste Analysis Plans: A Guidance Manual. EPA/530-sw-84-012.
15. U.S. Environmental Protection Agency. Office of Toxic Substances.
1984. TSCA Confidential Business Information Security Manual.
16. U.S. Environmental Protection Agency. Office of Waste Programs
Enforcement. 1991. Conducting RCRA Inspections at Mixed Waste
Facilities. OSWER 9938.9.
17. U.S. Environmental Protection Agency. Office of Waste Programs
Enforcement. 1989. Hazardous Waste Incinerator Inspection
Manual. OSWER 9938.6.
18. U.S. Environmental Protection Agency. Office of Waste Programs
Enforcement. 1988. Hazardous Waste Tank Systems Inspection
Manual. OSWER 9938.4.
19. U.S. Environmental Protection Agency. Office of Waste Programs
Enforcement. ' "?Q-, RCRA Ground-water Monitoring Systems:
HCR.A Compr ve Ground-water Monitoring Evaluation
Document. Opera^n and Maintenance Inspection Guide. RCRA
Laboratory Audit Inspection Guidance. OSWER 9950.4
20. U.S. Environmental Protection Agency. Office of Waste Programs
Enforcement. 1988. RCRA Inspection Manual. OSWER 9938.2a.
21. U.S. Environmental Protection Agency. Office of Waste Programs
Enforcement. RCRA Technical Case Development Guidance
Document. OSWER 9938.3.
22. U.S. Environmental Protection Agency. Pesticides and Toxic
Substances Enforcement Division. 1990. Toxic Substances Control
Act Inspection Manual.
23. U.S. Environmental Protection Agency. Region X. 1990. KISS
Manual. Prepared for the Basic Inspector Training Course.
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REFERENCES (cont.)
24. U.S. Environmental Protection Agency. Solid Waste and Emergency
Response. 1989. Land Disposal Restrictions: Inspection Manual.
OSWER9938.1a.
25. U.S. Environmental Protection Agency. Solid Waste and Emergency
Response. 1991. Land Disposal Restrictions: Summary nF
Requirements. OSWER 9934.0-la.
26. U.S. Environmental Prot ction Agency. Office of Water Enforcement
and Permits. May 1988. NPDES Compliance Inspection Manual
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APPENDICES
A SUMMARY OF POLLUTION CONTROL LEGISLATION
B MULTI-MEDIA INSPECTIONS - DEFINITIONS AND TRAINING
C TEAM LEADER RESPONSIBILITIES AND AUTHORITIES
D TYPES OF INFORMATION
E SOURCES OF INFORMATION
F PROJECT PLAN AND SAFETY PLAN EXAMPLES
G MULTI-MEDIA INVESTIGATION EQUIPMENT CHECKLIST
H SUGGESTED RECORDS/DOCUMENT REQUEST
I MULTI-MEDIA CHECKLISTS
J INVESTIGATION AUTHORITY/SUMMARY OF MAJOR
ENVIRONMENTAL ACTS
K EVIDENTIARY PROCEDURES FOR PHOTOGRAPHS/MICROFILM
L KEY PRINCIPLES AND TECHNIQUES FOR INTERVIEWING
M SAMPLING GUIDELINES
N LAND DISPOSAL RESTRICTIONS PROGRAM
0 SOURCES SUBPART (40 CFR PART 60) EFFECTIVE DATE OF
STANDARD AIR POLLUTANTS SUBJECT TO NSPS
P TSCA FORMS
Q TSCA SECTIONS 5 AND 8 GLOSSARY OF TERMS AND ACRONYMS
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APPENDIX A
SUMMARY OF POLLUTION CONTROL LEGISLATION
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Appendix A
SUMMAEY OF POLLUTION CONTROL LEGISLATION
This appendix is a synopsis of the Federal approach to environmental
regulation, EPA enforcement remedies and a summary of each of the
major pollution control acts: the Clean Air Act (CAA), the Clean Water Act
(CWA), the Resource Conservation and Recovery Act (RCRA), the
Comprehensive Environmental Response, Compensation and Liability Act
(CERCLA/Superfund), the Toxic Substances Control Act (TSCA), the
Federal Insecticide, Fungicide and Rodenticide Act (FIFRA), the Safe
Drinking Water Act (SDWA), and the Emergency Planning and
Community Right-to-Know Act (EPCRA). Because these laws and the
regulations promulgated thereunder typically are very complex and are
continually being modified, the investigator should carefully review the
specific provisions which apply to the operations of the facility before
conducting an inspection.
GENERAL FEDERAL APPROACH TO ENVIRONMENTAL
REGULATION :
National standards are established to control the handling, emission,
discharge, and disposal of harmful substances. Waste sources must
comply with these national standards whether the programs are
implemented directly by EPA or delegated to the States. In many cases, the
national standards are applied to sources through permit programs which
control the release of pollutants into the environment. EPA establishes the
Federal standards and requirements and approves State programs for
permit issuance.
The States can set stricter standards than those required by Federal
law. Some of the larger programs which have been delegated by EPA to
qualifying States are the National Emissions Standards for Hazardous Air
Pollutants (NESHAP), and the Prevention of Significant Deterioration (PSD)
permits under the CAA, the Water Quality Standards, and the National
Pollution Discharge Elimination System (NPDES) programs under the
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CWA, the Hazardous Waste Program under RCRA, and the Drinking
Water and Underground Injection Control (UIC) programs under the
SDWA. Conversely, TSCA is administered entirely by the Federal
government; although, States may have their own program regulating
PCBs and asbestos.
EPA ENFORCEMENT OPTIONS
Issuance of an Administrative Compliance Order, sometimes
preceded by a Notice of Violation* - A Compliance Order will specify
the nature of the violation and give a reasonable time for compliance.
The order, if violated, can lead to enforcement action pursuant to the
civil and/or criminal process of environmental laws.
Issuance of an administrative complaint for civil penalties - Parties
named in such complaints must be given notice and an opportunity
for a hearing on the alleged violations before a penalty can be
assessed by EPA.
Under certain statutes (e.g., SDWA) EPA may take whatever action
is necessary to protect the public health, in emergency situations,
without first obtaining a judicial order.
EPA generally may go directly to Federal court seeking injunctive
relief or a civil penalty without using administrative procedures.
EPA also may obtain an emergency restraining order halting activity
alleged to cause "an imminent and substantial endangerment" or
"imminent hazard" to the health of persons.
EPA may go directly to Federal court seeking criminal sanctions
without using administrative procedures. Criminal penalties are
available for "knowing" or for "willful" violations.
A concise written statement with factual basis for alleging a violation and a specific
reference to each regulation, act, provision or permit term allegedly violated
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In addition, EPA may suspend and/or debar a company or party that
fails to comply with the environmental statutes by preventing it from
entering into Federal contracts, loans, and grants. In cases where the
party has been convicted of certain criminal offenses under the CAA or
CWA, Federal agencies are expressly prohibited from entering into
contracts, etc., with that entity.
CLEAN AIR ACT
The Clean Air Act (CAA), as amended in 1990, is one of the most
comprehensive and ambitious environmental statutes ever enacted.
Through it's various programs, it is intended to protect human health and
the environment by reducing emissions of specified pollutants at their
sources, thus allowing the achievement and maintenance of maximum
acceptable pollution levels in ambient air. The CAA also contains
provisions which seek to prevent presently existing unpolluted areas from
becoming significantly polluted in the future. Regulations implementing
the multitude of amendments enacted in 1990 will be promulgated
pursuant to statutory deadlines for many years to come. Where regulations
under the amendments have not yet been promulgated, requirements
which existed prior to the 1990 amendments will continue to be enforceable
until amended or new requirements are promulgated.
National Ambient Air Quality Standards (NAAQS)
As in prior versions of the CAA, Section 109 continues to require that
EPA establish NAAQS to protect public health and welfare from air
pollutants. These standards will apply in all areas of the country.
"Primary" NAAQS must be designed to protect human health while
building in an adequate margin for safety, whereas "secondary" NAAQS
protect public welfare, including wildlife, vegetation, soils, water, property,
and personal comfort. EPA has promulgated NAAQS for six air pollutants
(criteria pollutants): ozone, carbon monoxide (CO), particulate matter
(PM-10), sulfur dioxide (S02), nitrogen dioxide and lead.
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State Implementation Plans (SIPs)
The States, through adoption of plans known as SIPs, are required to
establish procedures to achieve and maintain all NAAQS promulgated by
EPA. EPA has designated 247 Air Quality Control Regions (AQCRs). Each
AQCR has been evaluated to determine whether the NAAQS for each of the
criteria pollutants has been met. AQCRs which do not meet the NAAQS for
any of the criteria pollutants are designated as "non-attainment" for those
pollutants. Thus, one AQCR may be attainment for some pollutants and
non-attainment for others.
The SIP program dates back to the 1970 Clean Air Act, which
required States to promulgate SIPs by 1972 to assure attainment of air
quality standards by 1977. Having not met that goal, the 1977 amendments
continued the program, requiring additional controls designed to achieve
attainment by 1982, or at the latest 1987. While the goals of the SIP program
were again not reached, the 1990 amendments have further continued the
effort, adding several requirements which may increase the effectiveness of
the program, including the use of modeling and other specified analytical
techniques to demonstrate the ability to achieve attainment and a wide
range of specified control requirements. An additional advantage of the
new SIP program is that under the 1990 amendments it is no longer the
primary mechanism for implementation of NAAQS. Instead, the
comprehensive permit program under the 1990 amendments will assume a
large part of that burden by detailing the specific requirements applicable to
individual sources, thereby resolving any uncertainties as to what
requirements are applicable.
A SIP must contain strategies designed to meet targets for
attainment of any NAAQS for which an area is non-attainment by
prescribed dates. SIPs must meet Federal requirements, but each State
may choose its own mix of emissions for stationary and mobile sources to
meet the NAAQS. The deadline for attainment of primary NAAQS is no
more than five (5) years after the area was designated non-attainment,
although EPA has the authority to extend the deadline for up to
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five (5) additional years. Attainment for secondary NAAQS must be
achieved "as expeditiously as practicable."
In order to accomplish attainment, States must impose controls on
existing sources to reduce emissions to the extent necessary to ensure
achievement of the NAAQS. In attainment areas, new sources and those
which are undertaking modifications which will increase emissions by
more than a de minimis amount must obtain State construction permits
after demonstrating that anticipated emissions will not exceed allowable
limits. In non-attainment areas, emissions from new or modified sources
must be offset by emissions reductions from existing sources.
Each State must submit a proposed SIP to EPA for approval within
three (3) years of designation as non-attainment. Failure to submit a SIP,
failure to submit an adequate SIP or failure to implement a SIP may subject
a State to the imposition of sanctions such as increased offset ratios for
stationary sources, prohibition of Federal highway grants or a ban on air
quality grants. For ozone non-attainment areas, failure to attain the
NAAQS will result in -eclassification of the area, thus imposing more
stringent control requirements and imposition of financial penalties on
stationary sources in severe or extreme non-attainment areas. Where an
acceptable SIP is not submitted by a State, EPA will be required to propose
and enforce a Federal Implementation Plan for that State. EPA and the
States have concurrent enforcement authority for SIPs.
Deadlines and control requirements imposed upon non-attainment
areas vary depending upon the severity of the existing air pollution
problem, with correspondingly more stringent control requirements and
longer deadlines applying to more polluted areas. The CAA creates five (5)
classes of ozone non-attainment and two (2) categories each for carbon
monoxide and PM-10 non-attainment areas.
Prevention of Significant Deterioration (PSm
The purpose of PSD, which remains largely unchanged by the 1990
amendments, is to avoid significant future degradation of the nation's
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clean air areas. A clean air area is one where the air quality is better than
the ambient primary or secondary standard. Designation is pollutant
specific so that an area can be non-attainment for one pollutant but clean
for another. PSD applies only to new and modified sources in attainment
areas. Clean air areas are divided into three categories: Class I includes
wilderness areas and other pristine areas, where only minor air quality
degradation is allowed; Class II includes all other attainment and non-
classified areas where moderate degradation is permitted; and Class III
includes selected areas that States designate for development where
substantial degradation is permitted. In no case would PSD allow air
quality to deteriorate below secondary NAAQS.
"Baseline" is the existing air quality for the area at the time the first
PSD permit is applied for. "Increments" are the maximum amount of
deterioration that can occur in a clean air area over baseline. Increments
in Class I areas are smaller than those for Class II areas and Class II
increments are smaller than those for Class III areas. For purposes of
PSD, a major emitting source is one which falls within 28 designated
categories and emits or has the potential to emit more than 100 tons per
year of the designated air pollutant. A source that is not within the 28
designated categories is a major source if it emits more than 250 tons per
year. Modifications to major sources that will result in a "significant net
emissions increase" of any regulated pollutant are also subject to PSD. The
amount of emissions which qualifies as significant varies for the regulated
pollutants.
Under this program, new "major stationary sources" and "major
modifications" to such sources located in attainment areas must obtain a
permit before beginning construction. Permit requirements include
installation of Best Available Control Technology (BACT) for each regulated
pollutant emitted in significant amounts, assurance that the new
emissions will not exceed NAAQS or any maximum allowable "increment"
for the area, and assurance that the new emissions will not adversely
impact any other air quality related values, such as visibility, vegetation or
soils.
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Hazardous Air Pollutants
Prior to the enactment of the 1990 amendments, Section 112 of the
CAA required the establishment of National Emission Standards for
Hazardous Air Pollutants (NESHAPs) to regulate exposure to dangerous
air pollutants that are so localized that the establishment of NAAQS is not
justified. NESHAP standards were to be based on health effects, with
strong reliance on technological capabilities. They applied to both existing
and new stationary sources. During the 20 years in which this program
existed, effective regulations for only seven (7) substances were enacted:
benzene, beryllium, asbestos, mercury, vinyl chloride, arsenic, and
radionuclide emissions.
As rewritten in 1990, the goal of Section 112 remains the same - to
protect public health and the environment from toxic air pollutants for
which NAAQS will not be established. While the new program requires
standards to be set for categories and subcategories of sources that emit
hazardous air pollutants, rather than for the air pollutants themselves as
under the NESHAP program, the seven (7) NESHAPs promulgated prior to
the amendments will generally remain applicable until they are revised
pursuant to the timetables established in the new Section 112.
Under the 1990 amendments, two types of sources have been
identified for purposes of establishing emission standards - "major
sources", which include stationary sources or a group of stationary sources
within a contiguous area and under common control that emit or have the
potential to emit 10 tons per year of a single listed hazardous air pollutant
or 25 tons per year of any combination of listed hazardous air pollutants;
and "area sources", which include numerous small sources that may
cumulatively produce significant quantities of a pollutant resulting in a
threat of adverse effects on human health or the environment. An initial
list of 189 air pollutants requiring regulation was established by Congress
and EPA has been tasked with the responsibility for establishing lists of
categories and subcategories of major sources and area sources subject to
emission standards.
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Maior Sources
EPA is required to set technology-based standards for sources of the
listed pollutants which are designed to achieve "the maximum degree of
reduction in emissions" (Maximum Achievable Control Technology -
MACT) while taking into account costs and other health and
environmental impacts. The standards for new sources "shall not be less
stringent than the most stringent emissions level that is achieved in
practice by the best controlled similar source" in the same category or
subcategory. For existing sources, the standards may be less stringent
than those for new sources, but in most circumstances must be no less
stringent than the emissions control achieved by the best performing 12% of
sources in the category or subcategory [or five (5) sources in a category with
less than 30 sources]. Existing sources are given three (3) years following
the promulgation of standards to achieve compliance, with the possibility of
a one- (l)-year extension. Sources that voluntarily reduce emissions by 90%
before an applicable MACT is proposed (95% for hazardous particulates)
may be granted one (1) six- (6)-year extension from the MACT. Solid waste
incinerators will be required to comply with both these hazardous air
pollutant standards and the new source performance standards to be
promulgated pursuant to Section 111 of the CAA.
The second provision of Section 112 relating to major sources sets
health-based standards to address situations in which a significant
residual risk of adverse health effects or a threat of adverse environmental
effects remains after installation of MACT. Within six (6) years of
enactment of the CAA, and after consultation with the Surgeon General
and opportunity for public comment, EPA must report to Congress
regarding the public health significance of the residual risks,
technologically and commercially available methods and costs of reducing
such risks and legislative recommendations to address such residual risks.
If Congress does not act on the recommendations submitted by EPA, the
EPA must issue residual risk standards for listed categories and
subcategories of sources as necessary to protect public health with an
ample margin of safety or to prevent adverse environmental effects.
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Area Sources
The goal of the area source program is to reduce the incidence of
cancer attributable to stationary area sources by at least 75% through a
comprehensive national strategy for emissions control in urban areas. By
November 15, 1995, EPA is required to identify the 30 hazardous air
pollutants emitted from area sources that pose the most significant risks to
public health in the largest number of urban areas and the source
categories and subcategories of those pollutants. Area sources
representing at least 90% of the emissions of the 30 identified pollutants will
be subject to regulations to be promulgated by EPA by November 15, 2000.
Prevention of Sudden Catastrophic Releases
As added by the 1990 amendments, Section 112 of the CAA imposes a
general duty on owners and operators of stationary sources which handle
hazardous substances to: identify hazards which may result from releases,
design and maintain safe facilities, take action to prevent releases, and
minimize the consequences of accidental releases that do occur. It also
requires EPA to promulgate a list of substances which, in the event of an
accidental release, may reasonably be anticipated to cause death, injury, or
serious adverse health and environmental effects, as well as threshold
quantities for each of those regulated substances. Requirements for release
prevention, detection and correction of regulated substances must be
promulgated by EPA. Among the requirements will be preparation and
implementation of risk management plans by owners and operators of
facilities with regulated amounts greater than the threshold quantity.
Emergency policies and the opportunity to secure relief in the district
courts is provided to EPA to protect against an imminent and substantial
endangerment to health or the environment as a result of an actual or
threatened release of a regulated substance. An independent, five-member
Chemical Safety and Hazard Investigation Board to be appointed by the
President will investigate any accidental release that results in a fatality,
serious injury or substantial property damage, and will issue a report to
EPA and OSHA recommending regulations for preparing risk
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management plans and general requirements for preventing and
mitigating the potential adverse effects of accidental releases.
New Source Performance Standards (NSPS)
With the exception of the extension and establishment of deadlines
for EPA's proposal of various regulations, the NSPS program remains
largely unchanged by the 1990 amendments. NSPS establishes nationally
uniform, technology-based standards for categories of new industrial
facilities by providing maximum emission levels for new or extensively
modified major stationary sources. The emission levels are determined by
the best "adequately demonstrated" continuous control technology
available, taking costs into account. Regulations for source categories
listed prior to November 15, 1990, must be proposed in phases, beginning on
November 15, 1992. Standards for new categories listed after November 15,
1990, must be proposed within one (1) year of listing and must be finalized
within one (1) year after proposal.
The owner or operator of a new or extensively modified major source
is required to demonstrate compliance with an applicable NSPS within
180 days of initial start-up of the facility and at other times required by EPA.
Primary authority for enforcement of NSPS lies with EPA unless that
authority is delegated to States, in which case EPA and the States have
concurrent enforcement authority.
Emission Standards for Mobile
Section 202 of the CAA directs EPA to regulate air pollutants emitted
by motor vehicles which "cause, or contribute to air pollution which may
reasonably be anticipated to endanger public health or welfare." In
response, the Agency has set standards governing motor vehicle emissions
of carbon monoxide, hydrocarbons, oxides of nitrogen and particulates.
These standards have given rise to the emission control systems that first
appeared in automobiles in the early 1970s. The CAA generally prohibits
the removal (or rendering inoperative) of any emission control device that
was installed by the vehicle manufacturer in order to meet the applicable
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emission standards. Most States have enacted similar laws enforcing this
prohibition and/or have incorporated such prohibitions as part of their SIP.
The CAA provides EPA with the authority to control or prohibit the
use of fuels which pose a public health risk or which "impair to a
significant degree the performance of any emission control device or
system." The Agency's regulations are based upon both of these rationales.
(The best example of this is the regulations governing the lead content of
gasoline.) Enforcement of the fuel standards is achieved through a
combination of Federal and State efforts, and is based, in part, upon SIP
provisions and/or State laws.
The 1990 amendments tightened emission standards for both heavy
duty and light duty vehicles. These standards take effect at different times
for different types of vehicles, beginning in 1994.
Beginning in 1995, "reformulated" gasoline limiting emissions of air
pollutants must be sold in the nine worst ozone non-attainment areas (Los
Angeles, San Diego, Baltimore, Philadelphia, New York, Hartford,
Chicago, and Milwaukee). Other ozone non-attainment areas may elect to
use reformulated gasoline as it becomes more widely available.
Two "alternative ,uel" programs are expected to reduce emissions in
the most seriously polluted areas. California will develop a program
requiring introduction of low emission vehicles and ultra low emission
vehicles beginning in 1996. Additionally, in more than 20 metropolitan
areas, fleets of 10 or more vehicles are required to phase in usage of "clean
fuel vehicles" beginning in 1998.
Acid Rain Control
The acid rain program, added to the CAA by the 1990 amendments,
primarily impacts emissions of sulfur dioxide (SO2) and nitrogen oxides
(NOx) from powerplants. It requires establishment of specific NOx
emission rate limitations and implementation of a two-phase reduction of
SC-2 emissions by the year 2000.
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As determined by a formula based on 1985 SO2 emissions and 1985 to
87 annual average fuel consumption for individual powerplants.
marketable allowances are to be allocated to powerplants by EPA. As a
general rule, only powerplants operating prior to November 15, 1990, will
receive an allocation of allowances for S02 emissions. New units which
begin operation after November 15, 1990, will be required to obtain offset
allowances from existing facilities in order to continue operation after the
year 2000. Allowances can be bought, sold, shared with other regulated
units or banked for future use. Facilities are not allowed to emit more S02
than the amount for which they hold allowances.
Penalties will be imposed at the rate of $2,000 per excess ton of SO2 on
any facility which does not have sufficient allowances to cover its S02
emissions. Additionally, any offending facility will be required to reduce its
SO2 emissions by one ton the following year for each ton of excess SO2
emitted.
Stratospheric Ozone Protection Program
Another program added by the 1990 amendments is designed to
protect the earth's stratospheric ozone layer by phasing out production and
use of ozone-depleting substances, providing limited exemptions for uses
such as medical, aviation, and fire-suppression. Production of Class I
substances, those with the greatest depleting potential, will generally be
prohibited after January 1, 2000. Production of Class II substances, those
with less depleting potential, will be prohibited after January 1, 2030. EPA
is required to promulgate rules governing issuance of production
allowances for Class I and II substances and banning the production, after
November 15, 1992, of non-essential products that release Class I
substances.
Permitting
Under the Clean Air Act as it existed prior to the 1990 amendments,
permits were required for only a limited number of facilities. While these
requirements will continue to apply until new regulations are
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promulgated, the 1990 amendments have expanded the permit program to
require most regulated stationary sources to have permits.
The new permitting program, patterned after the NPDES program,
is designed to consolidate all operation and control requirements in one
permit. However, unlike the NPDES program which focuses on individual
sources within a facility, air permits are expected to be issued to a facility as
a whole. As a result of this comprehensive program, greater consistency is
expected and facilities will not be subjected to conflicting requirements.
Permits are required for any facility that qualifies as a "major
source", which generally includes any source emitting more than 100 tons
of pollutants per year, but extends to smaller sources in the more seriously
polluted non-attainment areas. Permits are also required for major
sources and area sources subject to regulation for emissions of hazardous
air pollutants under Section 112 and all sources subject to NSPS.
Regulations establishing the numerous requirements for state
permit programs must be promulgated by EPA by November 15, 1991.
States must then develop and submit to EPA an operating permit program
for approval by November 15, 1993. If all or any part of the program is
disapproved by EPA, the States must correct the deficiencies and resubmit
the program. A failure to timely submit a program or correct deficiencies
will result in sanctions. If a program is not completely approved within
2 years after initial submission of the program to EPA or by November 15,
1995, whichever is earlier, EPA must promulgate and administer a permit
program for the State.
Permit applications must be filed within 12 months after the permit
program takes effect and must include a compliance plan for the facility.
The permits, as issued, will contain enforceable emission limitations and
standards, a schedule of compliance, and compliance certification,
inspection, entry, monitoring and reporting requirements. Compliance
with a permit will, to some extent, shield a source from enforcement
actions. The extent of the protection provided by compliance will be
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governed by EPA's permitting regulations to be promulgated by
November 15, 1991.
Enforcement
The 1990 Amendments greatly expanded enforcement options
available under the CAA and impose heavy penalties, both civil and
criminal, for violations of the Act.
Administrative penalties of up to $25,000 per day, to a maximum of
$200,000, may be imposed by EPA for violations of any requirement,
prohibition, permit, rule, or order without the initiation of a court
proceeding. These penalties can be overturned only if, on judicial review,
they are not supported by substantial evidence. Field investigators are also
authorized to issue "field citations" imposing penalties of up to $5,000 per
day per violation for minor violations observed while on site.
Administrative orders requiring specific actions to comply with the CAA
may be issued where compliance can be achieved within 1 year.
Additionally, private citizens are now authorized to bring citizen suits
seeking civil penalties for violations of the CAA where neither EPA nor the
State is "diligently prosecuting a civil action" to require compliance, or
seeking to compel EPA to discharge a non-discretionary duty, such as
promulgating regulations by statutory deadlines.
Knowing violations of many provisions of the CAA qualify as felony
crimes, punishable by fines for individuals of up to $250,000 and
imprisonment up to 5 years, with each day counting as a separate violation.
Fines for corporations may be up to $500,000 per day per violation. Penalties
may be doubled for second convictions. The negligent release of a
hazardous air pollutant or extremely hazardous substance under SARA
that puts another person in imminent danger of death or serious bodily
injury is punishable by fines and imprisonment for up to 1 year, while
knowingly releasing such substances is punishable by up to $250,000 per
day and 15 years imprisonment for individuals and up to $1 million per day
for businesses.
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EPA is also authorized to pay a "bounty" of up to $10,000 for
information leading to a criminal conviction or a judicial or administrative
civil penalty for violations of the CAA.
The CAA contains a presumption that once a violation which is likely
to be of a continuing nature is proven, the violation is presumed to continue
until full compliance is achieved unless the defendant can prove that the
violation ceased.
CLEAN WATER ACT (FEDERAL WATER POLLUTION CONTROL ACT)
Through the 1950s and 1960s, emphasis was on the States setting
ambient water quality standards and developing plans to achieve these
standards. In 1972, the Federal Water Pollution Control Act was
significantly amended. These changes emphasized a new approach,
combining water quality standards and effluent limitations (i.e.,
technology-based standards). The amendments called for compliance by all
point-source discharges with the technology-based standards. A strong
Federal enforcement program was created and substantial monies were
made available for construction of sewage treatment plants. The Federal
Water Pollution Control Act was amended in 1977 to address toxic water
pollutants and in 1987 to refine and strengthen priorities under the Act as
well as enhance EPA's enforcement authority. Since the 1977
amendments, the Federal Water Pollution Control Act has been commonly
referred to as the Clean Water Act (CWA).
State Water Quality Standards and Water Quality Management Plans
Section 303 of the CWA authorizes the States to establish ambient
water quality standards and water quality management plans. If national
technology standards are not sufficient to attain desired stream water
quality, the State shall set maximum daily allowable pollutant loads
(including toxic pollutants) for these waters and, accordingly, determine
effluent limits and compliance schedules for point sources to meet the
maximum daily allowable loads.
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The National Pollutant Discharge Elimination (NPDES) Program
This program was established by Section 402 of the CWA and, under
it, EPA and approved States have issued more than 50,000 NPDES permits.
Permits are required for all point sources from which pollutants are
discharged to navigable waters. An NPDES permit is required for any
direct discharge from new or existing sources. Indirect discharges
through POTWs are regulated under a separate program (see discussion of
pretreatment standards below). In 1979 and 1980, the permit program was
revised and one of the new features was the use of Best Management
Practices (BMPs) on a case-by-case basis to minimize the introduction of
toxic and hazardous substances into surface waters. BMPs are industry
practices used to reduce secondary pollution (e.g., raw material storage
piles shall be covered and protected against rain and runoff). BMPs do not
have numerical limits and, therefore, are different from effluent limits.
Section 304 of the CWA sets restrictions on the amount of pollutants
discharged at industrial plant outfalls. Amounts are usually expressed as
weight per unit of product (i.e., 0.5 lb/1,000 Ib product manufactured). The
standards are different for each industry. Effluent guidelines are applied to
individual plants through the NPDES permit program.
There are three levels of technology for existing industrial sources:
Best Practicable Control Technology (BPT), Best Conventional Technology
(BCT), and Best Available Technology Economically Achievable (BAT).
Under the 1972 Act, BPT was intended to be put in place by industry in 1977
and BAT in 1983. These timetables have been modified by subsequent
amendments.
The 1987 CWA Amendments modified the compliance deadlines for
the following:
BPT limits requiring a substantially greater level of control
based on a fundamentally different control technology
BAT for priority toxic pollutants
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BAT for other toxic pollutants
BAT for nonconventional pollutants
BCT for conventional pollutants
For each technology the new deadline requires compliance "as
expeditiously as practicable, but in no case later than 3 years after the date
such limitations are promulgated. . .and in no case later than March 31,
1989."
New Source Performance Standards (NSPS) are closely related to
BAT for existing sources but are not quite the same. NSPS are different for
each industrial category. These standards must be achieved when the new
industrial source begins to discharge. NSPS permits will be effective for a
period of 10 years vs. 5 years or less for the BPT and BAT-type permits. This
10-year protection insulates against change in BCT or BAT requirements
but does not hold against Section 307(a) toxic pollutant standards or against
"surrogate" pollutants that are used to control hazardous or toxic
pollutants.
A permit application must be made. Adequate information must be
submitted including basic facility descriptions, SIC codes, regulated
activities, lists of current environmental permits, descriptions of all
outfalls, drawings, flows, treatment, production, compliance schedules,
effluent characteristics, use of toxics, potential discharges, and bio-assay
toxicity tests performed.
Applicants must conduct analytical testing for pollutants for BOD,
COD, TOC, TSS, ammonia, temperature, and pH. The applicant, if
included within any of the 34 "primary industry" categories, must sample
for all toxic metals, cyanide, and phenols given in EPA Application
Form 2C and for specified organic toxic pollutant fractions.
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The applicant must list hazardous substances believed to be present
at the industrial plant. Testing is not required but analytical results must
be provided, if available.
NPDES Permit
The NPDES permit, issued by EPA or the State, enforces Federal
effluent limitations promulgated for individual industrial categories;
NSPS; toxic effluent standards; State water quality standards under
Section 303 of the CWA, if any are applicable; and hazardous substances
otherwise regulated under Section 311 of the CWA that may be incorporated
under the NPDES permit instead. Permit elements include the amount of
pollutants to be discharged expressed in terms of average monthly and
maximum daily loads; compliance schedules, if applicable standards
cannot be met now; and monitoring, testing, and reporting requirements.
Routine Noncompliance Reports - The Discharge Monitoring Form
The Discharge Monitoring Report (DMR) gives a summary of the
discharger's records on a monthly or quarterly basis for flow
measurement, sample collection, and laboratory analyses. Noncompliance
reports must be submitted quarterly on the cause of noncomplying
discharges, period of noncompliance, expected return to compliance and
plans to minimize or eliminate recurrence of incident.
Emergency Reporting
Health: EPA shall be notified within 24 hours of noncompli-
ance involving discharge of toxic pollutants, threat to drinking
water, or injury to human health.
Bypass: Noncompliance due to intentional diversion of waste
shall be reported promptly to the permitting agency and may be
permissible if essential to prevent loss of life or serious
property damage.
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Upset: Temporary noncompliance due to factors beyond the
reasonable control of the permittee shall be promptly reported
to the agency.
The 1987 CWA Amendments establish a schedule for the regulation
of municipal and industrial stormwater discharges under NPDES permits.
Initially, (before October 1, 1992), only major dischargers and those who are
significant contributors of pollutants will be required to obtain permits.
Pretreatment Standards for Indirect Discharges to Publicly-Owned
Treatment Works
Coverage
New and existing industrial users who discharge to POTWs are
subject to general and categorical pretreatment standards. The categorical
standards are primarily directed to control of toxic pollutants in specific
industries. Note that localities with approved pretreatment programs may
have imposed local limits, which are enforceable by EPA.
Requirements
* General Pretreatment Standards
Prohibit fire or explosion hazards, corrosivity, solid or viscous
obstructions, "slug" discharges, and heat sufficient to inhibit
biological activity at POTWs.
Categorical Standards
Standards to be expressed as concentration limits or
mass weight per unit of production.
Source must be in compliance 3 years after
promulgation of standards.
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Variances can be obtained for fundamentally different
factors or if industrial pollutants are consistently being
removed by POTW.
Reports
Users must provide appropriate agency (EPA, State, or POTWs
having approved pretreatment programs) with basic
information; SIC code; average and maximum daily
discharge; characteristics or pollutants, applicable standards
and certification whether standards are being met and, if not,
what pretreatment is necessary; and a compliance schedule.
Monitoring. Sampling, and Analysis
Users shall submit sampling data for each regulated pollutant
in discharge.
Progress Reports
Reports and information shall be submitted at 6-month
intervals.
Nonpoint Source Pollution Control
Section 208 of the CWA provides for control of nonpoint source
pollution and directs States to establish planning bodies to formulate area-
wide pollution control plans. NPDES permits cannot be issued where the
permit may conflict with an approved Section 208 plan.
The 1987 CWA Amendments require States or EPA to develop
nonpoint source management programs under Section 319.
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Municipal and Industrial Stormwater Discharges
For some time there has been considerable debate over whether
permits should be required for stormwater discharges from point sources,
particularly those municipal or industrial discharges which may well
contain toxic and other pollutants. The 1987 Amendments provide that five
(5) types of stormwater discharges will be regulated under NPDES:
1. Discharges which have NPDES permits issued as of February
1987
2. Discharges "associated with industrial activity"
3. Discharges "from a municipal separate storm sewer system
serving a population of 250,000 or more"
4. Discharges "from a municipal separate storm sewer system
serving a population of 100,000 or more but less than 250,000"
5. Other discharges designated by the EPA administrator or the
State if such discharge "contributes to a violation of a water
quality standard or is a significant contributor of pollutants to
waters of the United States"
Final regulations governing stormwater discharges were
promulgated in November 1990.
Dredge or Fill Discharge Permit Program
Section 404 of the CWA regulates the discharge of dredged or fill
material into waters of the United States. Dredged material is excavated or
dredged from a water body. Fill material is that material used to replace
water with dry land. The Section 404 permit program is administered by
the U.S. Army Corps of Engineers. EPA provides guidelines for the
issuance of permits by the Corps of Engineers. States may assume
responsibility for portions of the program.
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Discharge of Oil and Hazardous Substances
Section 311 of the CWA prohibits discharges of oil or hazardous
substances in quantities that may be harmful to waters of the United States.
The appropriate Federal agency must be immediately notified of any spill of
a "reportable quantity." Section 311 provides for cleanup of spills and
requires plans for preparation of Spill Prevention, Control, and
Counter-measures (SPCC) plans.
Over 300 substances have been defined as hazardous under Section
311 and each of these substances has a "reportable quantity" (40 CFR,
Parts 116 and 117, 1980).
A person or corporation who properly notifies the Agency of the
discharge of a reportable quantity of oil or hazardous substance is immune
from criminal prosecution but is liable for civil penalties. Additionally,
those who cause the spill are liable for the costs of cleanup and removal. If
the Federal government must clean up the spill, the discharger of the spill
is liable for cleanup costs. There are maximum liability limits depending
upon the type of facility and spill. These limits do not apply if the discharge
resulted from willful negligence or willful misconduct of the owner.
Certain discharges of oil and hazardous material that flow from a
point source may be excluded from Section 311 liability if, during
preparation of the NPDES permit covering that facility, conditions are
added to the permit to avoid the occurrence of a spill.
Enforcement
Section 309 of the CWA provides several enforcement options which
can result in large penalties to violators.
Criminal violations can result in penalties for individuals of up to
$250,000 and imprisonment for 15 years for "knowing endangerment",
while penalties against organizations for similar violations can reach
$1,000,000. "Knowing violations" result in fines of $5,000 to $50,000 per day
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and imprisonment of up to 3 years per day of violation. "Negligent
violations" carry penalties of $2,500 to $25,000 and up to 1 year
imprisonment per dav of violation. Falsification of reports is punishable by
a $10,000 fine and imprisonment of up to 2 years. All penalties may be
doubled for second offenses.
Civil penalties may be assessed in an amount up to $25,000 per day of
violation. Factors to be considered by the court in determining the amount
of a civil penalty include the seriousness of the violation, the economic
benefit to the defendant as a result of the violation, compliance history,
good-faith efforts applied by the violator and the economic impact of the
penalty on the violator.
Administrative penalties may also be imposed against violators
through the initiation of an administrative penalty proceeding.
Section 309(g) provide for two classes of penalties, Class I and Class II,
which differ with respect to the limits on the penalties which can be
imposed and the procedures which must be followed in order to impose
those penalties.
RESOURCE CONSERVATION AND RECOVERY ACT OF 1976 (RCRA)*
RCRA, as enacted in 1976, was designed to establish "cradle-to-
grave" control of hazardous wastes by imposing extensive requirements on
those who generate and/or handle *uch wastes. RCRA applies primarily to
current activities at active facilities, yet there is authority for addressing
imminent hazards and for taking corrective actions based upon past
actions. Although RCRA has been amended several times, the most
significant amendments are the Hazardous and Solid Waste Amendments
(HSWA) of 1984. HSWA requires, among other things, that regulations be
promulgated to address underground storage tanks, to establish a schedule
for restricting/prohibiting the land disposal of hazardous wastes, and to
revamp the toxicity characteristic as a means for determining whether a
43 U.S.C. §§6901 et seq. and Solid Waste Disposal Act amendments of 1980, P.L. 96-
482, 94 Stat. 2334.
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waste is hazardous. (The process of promulgating implementing
regulations in these areas is ongoing but almost is complete.)
Solid wastes, if land disposed, are regulated through State programs
under Subtitle D of RCRA. Hazardous solid wastes are subject to regulation
in their generation, transport, treatment, storage, and disposal under
Subtitle C of RCRA. Subtitle C of the statute authorizes a comprehensive
Federal program to regulate hazardous wastes from generation to ultimate
disposal. A waste is hazardous under Subtitle C if it is listed by EPA as
hazardous, or it exhibits a hazardous characteristic (corrosivity, reactivity,
ignitability, and toxicity) and is not delisted or excluded from regulation.
There are special management provisions for hazardous wastes created by
small quantity generators and hazardous wastes that are intended to be
reused or recycled.
Solid waste includes garbage, refuse and sludge, other solid, liquid,
semi-solid, or contained gaseous material which is discarded, has served
its intended purpose, or is a mining or manufacturing byproduct. Most
industrial and commercial byproducts can qualify as a solid waste.
Exclusions from solid waste include domestic sewage, irrigation return
flows, materials defined by the Atomic Energy Act, in situ mining waste
and NPDES point sources.
Solid wastes excluded from regulation as hazardous solid wastes are
household waste; crop or animal waste; mining overburden and wastes
from processing and benefication of ores and minerals; flyash, bottom ash
waste, slag waste and flue gas emission control waste and drilling fluids
from energy development. A waste can be "delisted" from the hazardous
waste listing or excluded for other reasons. Some materials intended to be
reused or recycled are not fully regulated as solid/hazardous wastes, while
others, depending upon the type of waste generated and the recycling
process used, are fully regulated.
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List of Hazardous Wastes
Hazardous waste streams from specific major industry groups and
some generic sources (40 CFR, Part 261, Subpart D, §261.31 and 261.32) and
well over 200 toxic commercial chemical wastes (i.e., discarded commercial
chemical products and chemical intermediates) are included on the list of
hazardous waste (40 CFR §261.33). If a commercial chemical substance is
on the list, its off-spec species is also considered hazardous when
discarded, as are spill residues. Some of the listed wastes are acutely toxic
and are more closely regulated than other hazardous wastes [see 40 CFR
§§261.33(e), 261.5(e), and 261.7(bX3)].
Special Management Provisions
Small Quantity Generators
Small quantity generators are those that generate less than 1,000 kg
per month of hazardous waste. There are two classes of small
quantity generators:
1. Generators of between 100 and 1,000 kg per month that are
subject to most of the requirements of 40 CFR Part 262 which
apply to fully regulated generators, except that they are
allowed to accumulate up to 6,000 kg of hazardous waste and to
store waste for up to 180 to 270 days.
2. Generators of less than 100 kg per month that are exempt from
regulation under 40 CFR Part 262 so long as they do not
accumulate greater than 1,000 kg of hazardous waste, properly
identify their wastes, and comply with the less stringent waste
treatment, storage and/or disposal requirements of 40 CFR
§261.5.
Note that the classification of the generator is a function of the total
wastes generated in a calendar month, not each waste stream. In
addition, for acutely toxic wastes, if more than 1 kg per month of
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waste or 100 kg per month of spill residues are generated, all
quantities of that waste are fully regulated.
Recycling or Reuse
The type of waste generated and/or the recycling process employed
will determine whether recycled/reused materials are a solid/
hazardous waste. Some of these materials are not considered solid
wastes, some are solid wastes but not hazardous wastes, while others
are hazardous but are not subject to full regulation, and still other of
these materials are both solid and hazardous wastes that are fully
regulated. The circumstances surrounding the apparent recycling/
reuse of waste materials should be thoroughly documented during
inspection.
Land Disposal Restrictions
A major feature of HSWA is the schedule for prohibiting the land
disposal of untreated hazardous wastes. The key dates and
statutory/regulatory requirements are as follows:
May 8, 1985 - Landfilling of bulk or noncontainerized liquid
hazardous waste or free liquids in hazardous waste is
prohibited.
November 8, 1986 - Land disposal of certain solvents, as well as
dioxin containing hazardous wastes (F-series wastes) is
prohibited unless treatment standards are met.
July 8, 1987 - Land disposal of hazardous wastes listed in
Section 3004(d)(2) of RCRA (the "California list") is prohibited
unless treatment standards are met.
August 8, 1988 - Land disposal of 1st Third of listed hazardous
wastes (primarily F and K wastes) is prohibited unless
treatment standards are met.
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June 8, 1989 - Land disposal of 2nd Third of listed hazardous
wastes (F, K, U, and P wastes) is prohibited unless treatment
standards are met.
May 8, 1990 - Land disposal of 3rd Third of listed hazardous
wastes (the remaining listed wastes) as well as wastes
exhibiting hazardous characteristics is prohibited unless
treatment standards are met.
Requirements for Generators
Identification - Hazardous wastes must be identified by list, testing,
or experience and assigned waste identification numbers.
' Notification - No later than 90 days after a hazardous waste is
identified or listed in 40 CFR, Part 261, a notification is to be filed with
EPA or an authorized State. An EPA identification number must be
received.
Manifest System - Implement the manifest system and follow
procedures for tracking and reporting shipments. Beginning
September 1, 1985, a waste minimization statement is to be signed by
the generator [see RCRA Section 3002(b)].
* Packing - Implement packaging, labeling, marking, and placarding
requirements prescribed by DOT regulations (40 CFR, Parts 172, 173,
178, and 179).
Annual Report - Submittal required March 1 using EPA
Form 8700-13.
Exception Reports - When generator does not receive signed copy of
manifest from designated TSDF within 45 days, the generator sends
40 CFR Part 262
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Exception Report to EPA including copy of manifest and letter
describing efforts made to locate waste and findings.
Accumulation - When waste is accumulated for less than 90 days,
generator shall comply with special requirements including
contingency plan, prevention plan, and staff training (40 CFR,
Part 265, Subparts C, D, J, and 265.16).
* Permit for Storage More Than 90 Days - If hazardous wastes are
retained on-site more than 90 days, generator is subject to all
requirements applicable to TSDFs and must obtain a RCRA permit.
Requirements for Transporters*
Notification - No later than 90 days after a hazardous waste is
identified or listed in 40 CFR, Part 261, a notification is to be filed with
EPA or an authorized State. Receive EPA identification number.
Manifest System - The transporter must fully implement the
manifest system. The transporter signs and dates manifest, returns
one copy to generator, assures that manifest accompanies waste,
obtains date and signature of TSDF or next receiver and retains one
copy of the manifest for himself.
Delivery to TSDF - The waste is delivered only to designated TSDF or
alternate.
Record Retention - Transporter retains copies of manifest signed by
generator, himself, and accepting TSDF or receiver and keeps these
records for a minimum of 3 years.
Discharges - If discharges occur, notice shall be given to National
Response Center. Appropriate immediate action shall be taken to
* 40 CFR Part 263
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protect health and the environment and a written report shall be
made to the DOT.
Requirements for Treatment. Storage, or Disposal Facilities (TSDFs)*
Notification - No later than 90 days after a hazardous waste is
identified or listed in 40 CFR, Part 261, a notification of hazardous
waste management activities is to be filed with EPA or an authorized
State by TSDFs, which manage newly identified or listed hazardous
waste.
Interim Status - These facilities include TSDFs; on-site hazardous
waste disposal; on-site storage for more than 90 days; in-transit
storage for greater than 10 days and the storage of hazardous
sludges, listed wastes, or mixtures containing listed wastes intended
for reuse. Interim status is achieved by:
Notification (see above)
Being in existence on November 19, 1980 or on the date of
statutory or regulatory changes which require the facility to
have a permit
Filing a Part A by the date specified in the regulation covering
the facility (40 CFR, Parts 261, 264, or 265)
Interim Status Facility Standards - The following standards and
requirements shall be met.
General information (Subpart B)
Waste analysis plan
Security
Inspection plan
Personnel training
* 40 CFR Parts 264 and 265
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Handling requirements
Preparedness and prevention
Contingency planning and emergency procedures (Subparts C
and D)
Records and reports
Manifest system
Operating logs
Annual and other reports (Subpart E)
Groundwater Monitoring (Subpart F)
Closure and post-closure plans (Subpart G)
Financial requirements (Subpart H)
Containers, tanks, surface impoundments, piles (Subparts I,
J, K, L)
Land treatment, landfills, incinerators, thermal treatment,
chemical, physical and biological treatment (Subparts M, N, O,
P,Q)
Underground injection (Subpart R)
Permit - In order to obtain a permit:
Facilities with interim status must file a Part B RCRA permit
application when directed to do so by EPA or an authorized
State and final facility standards must be met or the facility
must be on an approved schedule to meet those standards.
New facilities and facilities which do not qualify for interim
status are to receive a RCRA permit before construction can
begin or a hazardous waste can be handled.
State Hazardous Wastes Programs
Under RCRA, states can obtain approval from EPA to implement
programs governing hazardous wastes "in lieu of the federal program
administered by EPA. State programs must be "equivalent" to the federal
program to obtain approval, and include the ability to enforce program
requirements. Once approved the state standards govern all regulated
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entities and any assessment of a facility's compliance must be based upon
those state regulations. Thereafter, when federal standards change, each
authorized state must submit a revised program for EPA approval. Until
such approval is received, those new standards generally do not have any
effect in those states. The major exception to this regulatory scheme is
rule-making based upon the HSWA of 1984. HSWA provides that imple-
menting regulations are to take effect at the same time in all states.
Authorized states must still modify their programs to include HSWA
requirements, but there is no gap in regulation between the time that the
Agency promulgates a final HSWA-based rule and the time that the state
receives final approval of the program revision which is equivalent to the
federal HSWA rule. As a result, until a revised state program addressing
all HSWA requirements is approved for an authorized state, the adminis-
tration and enforcement of the overall hazardous waste program will
involve both EPA and the authorized state.
Enforcement
EPA and authorized States may pursue enforcement actions based on
administrative orders, as well as judicial actions seeking civil and criminal
penalties for RCRA violations.
An administrative action involves issuance of an administrative
order requiring compliance with the regulations. Injunctive relief may be
sought in a civil action filed in the U.S. District Court. Civil penalties of up
to $25,000 per day of violation may be imposed for violations of Subtitle C of
RCRA. Failure to comply with an administrative order may result in
suspension or revocation of a permit.
Criminal penalties of up to $50,000 and/or 2 years' imprisonment
may be imposed for certain "knowing violations." "Knowing endanger-
ment" that places another person in imminent danger of death or serious
bodily injury can result in a fine of up to $250,000 and/or 15 years'
imprisonment.
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COMPREHENSIVE1, ENVIRONMENTAL RESPONSE. COMPENSATION,
AND LIABILITY ACT (SUPERFUNDl
The Superfund Act was enacted December 11, 1980. The Federal
government is authorized to clean up toxic or hazardous contaminants at
closed and abandoned hazardous waste dumps and the government is
permitted to recover costs of this cleanup and associated damages by suing
the responsible parties involved. Cleanup monies come out of a
"superfund" created by taxes on chemicals and hazardous wastes.
The act provides that, when there is a release of hazardous
substance, either real or threatened, the parties who operated the vessel or
facility which created the release are liable for the containment, removal,
remedial action, response, and injury damages to natural resources under
Section 107(a). The act also establishes limitations on liability.
If claims are presented to the liable parties but are not satisfied, the
act then allows claims to be reimbursed from the Superfund.
Regulatory provisions under Sections 102 and 103 of the act require
that release of hazardous substances into the environment be reported
unless the release is in accordance with an established permit. Spills of
any "reportable quantity," established pursuant to regulations promulgated
under the Act, must be reported.
All owners or operators of any facility handling and disposing of
hazardous substances or that has handled hazardous substances in the
past (including previous owners and operators) were required to inform the
EPA Administrator by June 1981 of their facility activities unless they have
a RCRA permit or have been accorded "interim status." Failure of
notification is a crime and, if the party knowingly fails to provide these
data, they are not entitled to the prescribed limits and defenses of liability.
On October 17, 1986, the Superfund Act was amended under the
Superfund Amendments and Reauthorization Act (SARA). Those
amendments provide mandatory schedules for the completion of various
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phases of remedial response activities, establish detailed cleanup
standards, and generally strengthen existing authority to effect the cleanup
of superfund sites.
Enforcement
Civil and criminal penalties and awards are available under
CERCLA. Section 106 provides that failure or refusal to comply with an
order directing immediate abatement of a release or threatened release of a
hazardous substance which creates an imminent and substantial
endangerment to the public health or welfare or the environment is
punishable by a fine of up to $25,000 per day of violation. Section 109 also
provides for penalties of up to $25,000 per day of violation, to be imposed by a
U.S. District Court or in an administrative proceeding for failure or refusal
to comply with other provisions of CERCLA.
Under Section 109(d), a "bounty" in the amount of up to $10,000 may
be paid to any individual who provides information leading to the arrest and
conviction of any person for a CERCLA violation.
Criminal penalties of up to $10,000 and imprisonment for 3 years are
available under Section 103 for various violations, including failure to notify
of a release and falsification of records. Second and subsequent violations
may result in imprisonment of up to 5 years.
TOXIC SUBSTANCES CONTROL ACT (TSCA)
TSCA regulates existing and new chemical substances. TSCA
applies primarily to manufacturers, distributors, processors, and
importers of chemicals. TSCA can be divided into five parts as follows:
Inventory and Premanufacture Notification
EPA has published an inventory of existing chemicals. A substance
that is not on this list is considered "new" and requires Premanufacture
Notification (PMN) to EPA at least 90 days before the chemical can be
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manufactured, shipped, or sold (TSCA, Section 5). If EPA does not make a
declaration within 90 days to restrict the product, then full marketing can
begin and the chemical is added to the inventory. In addition, a
manufacturer may obtain a test marketing exemption and distribute the
chemical before the 90-day period has expired. Conversely, EPA, in
response, may reject PMN for insufficient data; negotiate for suitable data,
prohibit manufacture or distribution until risk data are available; or,
pending development of a Section 6 rule, completely ban the product from
the market or review the product data for an additional 90 days.
Testing
Under TSCA, Section 4, EPA can require product testing of any
substance which "may present an unreasonable risk of injury to health or
to the environment." Some testing standards are proposed, but no test
requirements for specific chemicals are yet in effect.
Reporting and Recordkeeping
TSCA, Section 8(a) deals with general reporting. The "first tier" rule
(PAIR) now in effect is a short form seeking production and exposure data
on over 2,300 existing chemicals. A "second tier" rule is expected to obtain
more detailed data on a relatively small group of chemicals that may
become priority candidates for regulation.
Section 8(c) calls for records of significant adverse effects of toxic
substances on human health and the environment. It requires that records
of alleged adverse reaction be kept for a minimum of 5 years.
Section 8(d) allows EPA to require that manufacturers, processors,
and distributors of certain listed chemicals (designated under 40 CFR
716.13) submit to EPA lists of health and safety studies conducted by, known
to, or ascertainable by them. Studies include individual files, medical
records, daily monitoring reports, etc.
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Section 8(e) requires action upon discovery of certain data. Any
person who manufactures, processes, or distributes a chemical substance
or mixture, or who obtains data which reasonably supports the conclusion
that their chemical presents a substantial risk of injury to health or to the
environment, is required to notify EPA immediately. Personal liability can
only be limited if the company has a response plan in effect.
Regulation Under Section 6
EPA can impose a Section 6 rule if there is reason to believe that the
manufacture, processing, distribution or use, or disposal of a chemical
substance or mixture causes, or may cause, an unreasonable risk of injury
to health or to the environment. Regulatory action can range from labeling
requirements to complete prohibition of the product. Section 6 rules are
currently in effect for several chemical- including PCBs. A Section 6 rule
requires informal rulemaking, a hearing, and a cost-benefit analysis.
Imminent Hazard
This is defined as a chemical substance or mixture causing an
imminent and unreasonable risk of serious or widespread injury to health
or the environment. When such a condition prevails, EPA is authorized by
TSCA, Section 7, to bring action in U.S. District Court. Remedies include
seizure of the chemical or other relief including notice of risk to the affected
population or recall, replacement, or repurchase of the substance.
Enforcement
Civil penalties may be assessed through administrative proceedings
in an amount not to exceed $25,000 per day of violation. Appeals relating to
civil penalties are reviewed in the U.S. Court of Appeals.
Criminal penalties for knowing and willful violations of TSCA may
be imposed in amounts of not more than $25,000 per day of violation and/or
imprisonment for up to 1 year.
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Actions to restrain violations, compel compliance, or seize and
condemn any substance, mixture, or article may be brought in the U.S.
District Courts.
FEDERAL INSECTICIDE. FUNGICIDE. AND RODENTICIDE ACT
(FIFRA)
A pesticide is defined as any substance intended to prevent, destroy,
repel, or mitigate pests. FIFRA requires registration of all pesticides,
restricts use of certain pesticides, authorizes experimental use permits and
recommends standards for pesticide applicators and the disposal and
transportation of pesticides.
Pesticides are registered for 5 years and classified for either general
or restricted usage. Restricted use means that they are to be applied either
by or under the direct supervision of a certified applicator. Pesticides must
be labeled and specify ingredients, uses, warnings, registration number,
and any special use restrictions. Regulations also specify tolerance levels
for certain pesticide chemicals in or on agricultural commodities. These
limits apply to 310 different compounds and residue tolerances range from
0 to 100 ppm. A few pesticides are also regulated as toxic pollutants under
Section 307(a) of the CWA and by Primary Drinking Water Standards under
the SDWA.
Enforcement
FIFRA provides for relatively low penalties when compared with
many of the other environmental statutes. Civil penalties range from as
little as $500 for private applicators on a first offense, to not more than
$5,000 per violation for registrants, commercial applicators, wholesalers,
dealers, retailers, and distributors. Criminal penalties against private
applicators are misdemeanors punishable by fines of not more than $1,000
and/or imprisonment for up to 30 days. Commercial applicators who
knowingly violate FIFRA may be fined up to $25,000 and/or imprisoned for
up to 1 year. Registrants, applicants for a registration and producers who
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knowingly violate this statute are subject to fines of up to $50,000 and/or
imprisonment for up to 1 year.
Any person who, with intent to defraud, uses or reveals information
relating to product formulas acquired pursuant to FIFRA's registration
provisions may be fined up to $10,000 and/or imprisoned for up to 3 years.
SAFE DRINKING WATER ACT
The SDWA of 1974 was established to provide safe drinking water to
the public. Both primary and secondary drinking water standards have
been set by EPA regulations which apply to water after treatment by public
drinking water systems. National Interim Primary Drinking Water
Regulations were adopted in 1975 to protect public health (40 CFR, Part 141).
Regulations covering radionuclides were added in 1976. Regulations for
trihalomethanes were promulgated in 1979. Secondary regulations were
established in 1979 as guidelines to States to protect the nonhealth-related
qualities of drinking water. The 1986 amendments to the SDWA:
(1) establish a mandatory schedule, requiring the promulgation of primary
drinking water regulations for 83 contaminants, (2) prohibit the use of lead
in public water systems, (3) provide civil and criminal penalties for persons
who tamper with public water systems, and (4) require closer scrutiny of
State programs, including the direct enforcement of drinking water
standards, if necessary.
The SDWA also provides for protection of underground sources of
drinking water. Final regulations have been issued whereby States are to
establish Underground Injection Control (UIC) waste disposal programs to
ensure that contaminants in water supplies do not exceed National
Drinking Water Standards and to prevent endangerment of any
underground source of drinking water. Injection wells are divided into five
classes for regulatory handling. Construction and disposal standards are
established for the permitting of Class I to III wells. Class I and IV wells
are subject to RCRA requirements. Class IV wells are those used by
generators of hazardous or radioactive wastes to dispose of hazardous
wastes into formations within one-quarter mile of an underground source
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of drinking water. New Class IV wells are prohibited and existing Class
IV wells must be phased out within 6 months after approval or
promulgation of a UIC program in the State. There are numerous State
regulatory requirements affecting groundwater which should be consulted
by multi-media compliance inspectors. In addition, the 1986 amendments
to SDWA strengthen EPA's enforcement authority for UIC programs.
Enforcement
Civil penalties of not more than $25,000 per day of violation may be
assessed for failure to comply with national primary drinking water
regulations [Section 300g - 3(b)], failure of an owner or operator of a public
water system to give notice to persons served by it of failure or inability to
meet maximum containment level requirements [Section 300(g) - 3(c)],
failure to comply with an administrative order requiring compliance
[Section 300g - 3(g)], or failure to comply with requirements of an applicable
underground injection control program [Section 300h - 2(b)].
Any person who fails or refuses to comply with an administrative
order issued where a contaminant is contaminating or is likely to
contaminate an underground source of drinking water and may present an
imminent and substantial endangerment to human health, is subject to
civil penalties of up to $5,000 per day of violation (Section 300i).
Administrative orders relating to violations of underground injection
regulations may impose penalties of up to $5,000 per day of violation up to a
maximum administrative penalty of $125,000.
Tampering with a public water system may result in a criminal fine
and/or imprisonment for up to 5 years. Threats to tamper carry fines
and/or imprisonment of up to 3 years. Civil penalties may also be imposed
against persons who tamper, attempt to tamper, or make threats to tamper
with a public water system. The maximum fine is $50,000 for tampering
and $20,000 for an attempt or threat to tamper.
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EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT
fEPCRA)
EPCRA was enacted as a part of the Superfund Amendments and
Reauthorization Act of 1986, as a freestanding provision to address the
handling of "extremely hazardous substances" and to establish an
extensive information collection system to assist in responding to releases
of those substances. EPCRA is comprised of three subtitles: (1) Subtitle A,
which establishes the framework for emergency response planning and
release notification; (2) Subtitle B, which contains reporting requirements;
and (3) Subtitle C, which contains general provisions, including
enforcement, penalties, and trade secrets.
Subtitle A - Emergency Planning and Notification
The goal of Subtitle A is to provide States and local communities with
the information necessary to adequately respond to unplanned releases of
certain hazardous materials. Through the establishment of State
Emergency Response Commissions (SERC) and Local Emergency Planning
Committees (LEPC), Subtitle A mandated the development and implemen-
tation of emergency response plans. Subtitle A also requires facilities at
which certain "extremely hazardous substances" are present in excess of
established threshold planning quantities to notify the State Commission of
the presence of the substances and to report releases of those substances in
excess of specified reportable quantities.
Subtitle B - Reporting Requirements
Sections 311 - 313 of EPCRA (Subtitle B) contain reporting
requirements for facilities at which "hazardous chemicals" are present in
excess of specified thresholds or which experience environmental releases
of "toxic chemicals" in excess of the established threshold quantities.
Section 311 requires facilities at which "hazardous chemicals" are
present in amounts exceeding threshold levels, to submit material safety
data sheets (MSDSs) or lists of substances for which they maintain MSDSs
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to the SERC, LEPC, and local fire departments in order to give notice to
those authorities of the types of potential hazards present at each facility.
Section 312 requires submission of annual and daily inventory
information on the quantities and locations of the hazardous chemicals.
"Tier I" reports provide the required general information. "Tier II" reports
providing chemical-specific information must be submitted in place of
Tier I reports upon request of the SERC, LEPC, or local fire department.
Section 313 requires annual reporting to EPA and the State of any
environmental releases of listed "toxic chemicals" in excess of specified
threshold quantities. A facility is required to submit a "Form R" Toxic
Chemical Release Inventory Report in the event of a release if it has 10 or
more full-time employees; is grouped in SIC codes 20 through 39; and
manufactures, processes, or otherwise uses a toxic chemical in excess of
the established reporting thresholds.
Enforcement
Section 325 of EPCRA sets forth the civil, criminal, and
administrative penalties which may be assessed for violations of that Act.
Violation of an administrative order may result in civil penalties of up to
$25,000 per day. Penalties for violations of the emergency notification
provisions of Section 304 may be assessed through administrative or
judicial proceedings, with potential penalties ranging from $25,000 per
violation to $25,000 per day of violation. Any person who knowingly or
willfully fails to provide emergency notification may be assessed a criminal
penalty of up to $25,000 and/or 2 years' imprisonment, ($50,000 and/or
5 years for second and subsequent convictions).
Violations of reporting requirements carry civil penalties of up to
$25,000 per violation. Frivolous trade secret claims may result in penalties
of up to $25,000 per claim, whereas the knowing and willful disclosure of
actual trade secret information may be punishable by a fine of up to $20,000
and/or imprisonment up to 1 year.
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APPENDIX B
MULTI-MEDIA INSPECTIONS
DEFINITIONS AND TRAINING
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MULTIMEDIA INSPECTIONS - DEFINITIONS AND TRAINING
To describe a proposed program for multimedia inspections and inspector trainin-
we must first establish some definitions: " " ''
1.
2.
Compliance Programs - These are administrative,
raent programs as authorized to EPA.
civil, and criminal enforce-
Inspection categories - All inspections, for purposes of this proton
description can be grouped into four categories.
Category A -
Category B -
Category C -
Category D -
An inspection for a single program. A program may have one or
more types of inspections.
A simplified screening multimedia inspection is conducted in
addition to the single program (Category A) inspection. Th*
screening inspection is intended to identify the more obvious
and readily detectable instances of non-compliance or in-
dicators of possible non-compliance in other compliance
program areas with only minimal additional resources
required. Information obtained would be referred to the
appropriate compliance program office(s) for follow-up.
Follow-up action could include a full inspection for one or
more programs or in some instances immediate enforcement
action. The inspector would use a simplified checklist as a
guide and to record observations and pertinent information.
As an example, observations of potential compliance issues
could Include inoperable control systems, unusual emissions/
discharges, evidence of spillage or leaks, breached dikes,
new emission/discharge sources, lack of permits or SPCC plan,
abandoned drums, etc.
A multi-program inspection is an inspection of a facility for
two or more (Category A inspections) compliance programs but
not compliance with all applicable requirements. The in-
spection may be conducted by either one or a team of
inspectors. The team which is headed by a team leader,
conducts a detailed Inspection for each of the targeted
programs represented. The inspection may include screening
for the more obvious and readily detectable Indicators of
possible non-compliance in other compliance program areas.
A multimedia Inspection is a comprehensive inspection which
addresses relevant program compliance requirements operative
for a single facility at a specific point In time that can be
used In subsequent enforcement actions. The inspection is
usually conducted by a team of inspectors lead by a team
leader. Team members may be comprised of ESD, program,
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contractors, state, NEIC, or local agency inspectors.
The inspection may focus on facility processes to identi'
activities and wastes potentially subject to regulations a-'
Co identify potential cross-program issues.
3. Inspector Training - For
, . . .,, L purposes of this program description, inspector
training will be described in terms of four inspector
Level 1 -
Level 2 -
Level 3 -
Level 4 -
traini ng levels.
The Level 1 (single program) inspector is a person who has
been trained to be a lead inspector per EPA Order 3500.1
Safety, Fundamentals curriculum, and
a single compliance program.
(Basic Health &
specific minimum)
for
program
The Level 2 (screening) inspector is a person who has received
training beyond Level 1 to screen for and report on the more
obvious or key indicators of non-compliance in all environ-
mental program areas relevant to a particular facility or
site (Category B inspection). The additional training
requires a minimum of time (1 co 2 days) is keyed to a
simplified checklist, and is designed to enable the inspector
to ask key questions and readily recognize the more obvious
environmental problems or key indicators of non-compliance.
Additionally, the training will enable the inspector to
readily recognize and report the more obvious violations of
OSHA regulations and as a minimum disseminate pollution
prevention Information. The training could be heavily aided
by extensive use of videos to demonstrate critical observa-
tions.
The Level 3 (multi-program) inspector is a person who has
been trained to be a lead inspector per EPA Order 3500.1
for two or more compliance programs and has started the
leadership project management and team building training
required for Level 4 Inspector training. Level 3 inspector
training Is a prerequisite for Level 4.
The Level 4 (multimedia) inspector Is a senior, experienced
person who has received training beyond Levels 2 or 3 to lead
a team of inspectors to conduct either a multimedia (Category
D) inspection which addresses all relevant compliance program
requirements or a multi-program (Category C) inspection which
addresses the requirements of two or more compliance programs.
The inspector in addition to having significant experience in
leading Inspections, should complete the following:
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Page 3
* leadership project management and team building
training
* training to recognize cross-media impacts and
integrate cross media evaluations
* training and experience to merge diverse written
reports into a coherent whole.
A summary in matrix form, of multimedia inspection and inspector trainir, de-'-
Initions are shown in Figure 1.
PROGRAM GOALS
The overall goal of each region would be a multimedia compliance program with
Inspectors in each region equipped to perform all four categories of inspections.
The specific goals of the FBCs is:
1. To have all inspectors trained per EPA Order 3500.1 (Level 1) to as a
minimum, be able to conduct inspections for a single compliance
program (Category A).
2. To have all inspectors trained to be Level 2 inspectors and conduct
thTenTof ' Inspectlons durlnS a^ compliance inspections by
3. To have teams of dedicated multi-program (Level 3) and multimedia (Level
4) Inspectors trained to conduct or lead multi-program (Category C) or
multimedia inspections (Category D) as required by the end of FY 1993.
4. To have Inspectors progress on a career ladder from Level 1 to Level 4
inspectors.
5. To build into the Inspections and inspector training program as
appropriate the reporting of enviromental results.
These goals require a dedicated effort to develop and Improve upon the skills
that would be required for a single program Inspector. Regional compliance
programs can be agresslve In targeting multi-program and multimedia inspections
to achieve environmental results using TRI data, comparative risk, geographic
and other enforcement Initiatives. Similarly, the FBCs can take the Initiative
to Identfy overlapping routine program inspection requests and flag potential
multi-program enforcement opportunities. Achievements of these goals would
provide enhanced capability for responding to special requests from the RA/DRA
and providing support to the office of criminal Investigations.
-------
MULTIMEDIA INSPECTIONS
DEFINITION AND TRAINING NEEDS
^S. INSPECTION
^XCATAOORT
INSPECTOR ^S^
TRAININO LEVEL ^S^
1. Lead in on*
program .
2. Level 1 Plus
Screening
Training
3. Lead in Two or
Mora Programs
4. Laval 3 Plua
Team Laadar
Training
Non Laad
Inspector
A
Singla Program
Inspection
Lead
Lead
Lead
Lead
Team Member
B
Screening
Inspection
(Single fn>fnm
flat SrrvMfaf)
Lead
Team Member
C
Nulti Program
Inspection
(lor mart
frofmna)
Team Member
Team Member
Lead/Team Member
Lead
Te am Membe r
D
Multimedia
Inspections
(All KtUnvU
Rtqulrtmmti)
Team Member
Team Member
Team Member
Lead
Team Member
-------
APPENDIX C
TEAM LEADER RESPONSIBILITIES AND AUTHORITIES
-------
C-l
Appendix C
TEAM LEADER RESPONSIBILITIES AND AUTHORITIES
INTRODUCTION
The team leader is the lead person for a given project. The team
leader for each project is selected by the Branch Chiefs, based on factors
such as project needs, employee development opportunities, and personnel
availability. In general, the team leader is a work group leader, the central
focal point for a particular project, responsible for ensuring that project
objectives are met in a timely manner. 'The team leader is given certain
responsibilities and authorities, as outlined below, and is expected to fulfill
the responsibilities and exercise authority to successfully plan, coordinate,
conduct, and complete the project.
The extent of input and involvement by the supervisor in these team
leader responsibilities is dependent on the team leader's grade and
experience. GS-12 and GS-13 team leaders should be able to perform most,
if not all, required tasks. Team leaders of other grades will require more
assistance from their supervisor or mentor.
Team leader responsibilities and authorities may vary somewhat
with unique requirements of each project. However, general responsibili-
ties and authorities for conducting a complete and timely project are
common for most projects. The following discussion of team leader respon-
sibilities is presented in two sections: responsibilities and authorities. The
discussion of responsibilities is presented by project phases (most projects
will involve some form of each project phase). The discussion of authorities
follows. Because the team leader has similar authorities for most project
phases, the authorities are not discussed in terms of project phases.
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C-2
TEAM LEADER RESPONSIBILITIES
Phase 1 - Project Request/Project Objectives
As stated previously, the team leader is the central focal point for a
given project responsible for assuring that project objectives are met in a
professional and timely fashion. The team leader uses the media specific
and Multi-Media Investigation manuals as guidance for conducting envi-
ronmental compliance investigations. General project phases and associ-
ated team leader responsibilities follow. Phase 1 of any project begins with
a request for assistance. Depending on the specifics of the request, work is
required to develop that request into a project plan that addresses the
requestor's needs.
The team leader, in conjunction with his/her supervisor, project
requestor and, often times, members of the project team, is responsible for:
Defining project objectives
Defining specific tasks required to fulfill project objectives
Identifying resource needs (both equipment and personnel)
Identifying potential on-the-job training (OJT) opportunities
associated with the various project phases and, in conjunction
with supervisors (and, in some cases, staff), develop OJT
objectives for other personnel
Scheduling project tasks
Coordinating with supervisors to ensure availability of project
members for project tasks
Developing and assigning work tasks to team members (this
should include identifying any OJT opportunities)
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C-3
Ensuring that a comprehensive Project Plan is prepared (this
task may be a separate project phase - project phase 3 - depend-
ing on the extent of information available during the project
request)
Maintaining communication with project requestor and
appropriate personnel (team members, team member
supervisors, counterparts in other agencies, etc.)
Phase 2 - Background Information Retrieval and Review
This project phase involves identifying, collecting and reviewing
background information applicable to a specific project. The team leader,
often in conjunction with' project team members, is responsible for:
Identifying necessary background information (including
applicable laws and regulations, facility description, past
compliance status, safety considerations, etc.)
Arranging for access to background information
Arranging for receipt of background information (such as file
review and document retrieval, phone requests, phone
conversations, etc.)
Ensuring that background information is properly organized
and filed
Ensuring that background information is provided to
appropriate project personnel
Conducting reconnaissance inspection, if appropriate
Providing guidance to project members and ensuring that any
associated OJT objectives are met
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C-4
Maintaining lines of communication with appropriate NEIC
personnel (team members, team member supervisors, etc.)
Phase 3 - Project Plan
The project plan is a written document completed at some point prior
to the field work on most projects. The plan identifies work to be conducted
to address project objectives and includes a site safety plan. The team
leader is responsible for:
Overall completion of a final project plan (including site safety
plan, if site work is required)
Ensuring that the project plan is peer reviewed
Obtaining concurrence from the project requestor
* Providing all project team members with copies of the project
plan
Ensuring that all project members are familiar with the
contents of the plan, including individual project
responsibilities, project schedules, and safety requirements
Ensuring that the project requestor receives the final project
plan prior to any on-site work
Providing guidance to project members and ensuring that any
associated OJT objectives are met
Phase 4 - On-site Investigation
This project phase involves the on-site field work and necessary
logistics/personnel actions to ensure that the field investigation is carried
out in a complete, efficient, and timely manner. During this project phase,
the team leader is responsible for:
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C-5
Ensuring that all personnel actions (overtime/compensatory
time, work schedule changes, etc. are addressed)
Ensuring that logistical issues are addressed (transportation
of personnel and equipment to the site, lodging arrangements,
etc.)
Developing and maintaining a working relationship between
all parties involved (including investigation target and
contractors)
Coordinating all on-site activities, including scheduling
Ensuring that all project objectives are addressed during the
on-site investigation
Ensuring that the site safety plan is followed (or more
stringent facility requirements, if appropriate)
Maintaining communication with appropriate personnel
(team members, team member supervisors, etc.) and with
other appropriate personnel (such as project requestor,
contractors, Department of Justice, FBI)
Providing guidance to team members and ensuring that any
associated OJT objectives are met
Ensuring that contaminated equipment is properly disposed of
or cleaned
Directing public inquiries to proper authorities
Phase 5 - Information Evaluation/Report Preparation
A report of project activities, information evaluation, and findings is
prepared for most projects. The project report is usually the major conduit
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C-6
for presenting project findings to the project requestor. In general, the
coordinator is responsible for ensuring that the project report addresses all
the project objectives, is accurate, and is reviewed and completed in a
timely fashion.
~*
Preparing a report outline (or otherwise identifying report
structure and contents to project members)
Identifying and assigning preparation of project report
sections to individual project members
Identifying and communicating report writing schedules to
project members
Coordinating with supervisors to ensure availability of project
members for report preparation
Maintaining communication with project requestor and
appropriate personnel (team members, team member
supervisors, etc.)
Providing guidance to project members and ensuring that all
associated OJT objectives are met
Coordinating all portions of report preparation with other
groups (Graphics, Report Services, etc.)
Assembling draft reports
Ensuring that report is properly reviewed and revised
(including transmittal of drafts for external review, tracking of
copies, and return of external draft copies)
Assembling and transmitting final report
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C-7
Phase 6 - Project Follow-up
Project follow-up includes project activities that follow transmittal of
the final report. This normally includes providing input into legal action
such as case preparation, court testimony, settlement negotiations, and
depositions. During project follow-up, the team leader is responsible for:
Maintaining post-project report contact with project requestor
or other designated project contact to remain informed of legal
or other activities
Coordinating any requests for additional assistance
Advising supervisors and appropriate staff of additional or
potential additional project support
Preparing project file for turn-in to central files
Providing the supervisor of each project member a critique of
the project member's activities, including a discussion of the
OJT objectives as identified by project coordinator and project
member's supervisor during project request phase
Provide each team member with an individual, verbal critique
of his/her performance
TEAM LEADER AUTHORITIES
As the central focal point and leader of a team of employees, the team
leader has some "first-line" supervisor authorities for most project phases.
Once project members are selected and general responsibilities of each
member are agreed upon (agreement between team leader and project
member's supervisor and often times the project member), the team leader
has the authority to:
Set and/or modify project schedules
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C-8
Identify and modify, as necessary, specific project staff tasks
(including activities in all project phases such as project plan
preparation, field work, and report preparation).
Direct field operations
Enforce project safety plan requirements (including barring
personnel without the proper equipment and/or training from
the identified "hot" zone)
Set working hours for team members during field work
Approve/verify OT/CT hours worked
Negotiate terms of inspection with company (e.g., taking of
photographs, requesting/copying documents, advance
notification of areas to be inspected, personnel to be
interviewed, handling of CBI materials, etc.) so long as no
statutory or regulatory authorizations are compromised
Arrange for inspection of off-site facilities related to project
objective (e.g., off-site contractor laboratory, waste transfer
station, etc.)
Request/arrange for assistance from other groups (e.g.,
Laboratory Services, ORD, EPIC, etc.)
Procure project-specific equipment/services
Require project team members to follow established protocols
for conduct, investigation, preparing reports, and participation
in follow-up actions, and enforce ground rules identified for
specific investigations
Ensure security of project files report, etc. and investigation
findings
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APPENDIX D
TYPES OF INFORMATION
-------
D-l
Appendix D
TYPES OF INFORMATION
TECHNICAL INFORMATION
Facility Background
Maps showing facility location and environmental and
geographic features (stacks, discharge pipes, and solid waste
disposal sites)
Geology/hydrogeology of the area
Aerial photographs
Names, titles, phone, numbers of responsible facility officials
Process description, process flow charts, and major production
areas
Records reflecting changes in facility conditions since previous
audit/permit application
Production levels - past, present, and future
Audit Reports. Records, and Files
Federal and State compliance files
Correspondence between the facility and the local, State, and
Federal agencies
Citizens' complaints and reports, follow-up studies, findings
Audit records, reports, correspondence on past incidents or
violations
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D-2
Emissions inventory
Self-monitoring data and reports
EPA, State, and consultant studies and reports
Annual reports by the facility (e.g., PCB annual documents
and inventories, Securities Exchange Commission §10K
reports)
Records, applications, reports, manifest files, etc. (e.g., RCRA
reports, CERCLA submittals)
Laboratory audit reports, QA/QC activities
Records of previous hazardous substances spills and
malfunctions
Pollutant and Waste Generation. Control. Treatment, and Disposal
Systems
Description and design data for pollution control systems and
process operations
Sources and characterization of wastewater discharges,
hazardous wastes, emissions, types of treatment, and disposal
operations
Type and amount of waste generated which is discharged,
emitted, stored, treated, and disposed
Waste storage, treatment, and disposal areas
Waste/spill contingency plans
Available bypasses, diversions, and spill containment facilities
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D-3
Industrial process, pollution control, treatment and disposal
methods, monitoring systems
Legal Information
Requirements. Regulations, and Limitations
Permit applications, draft or existing permits, registrations,
approvals, and applicable Federal, State, and local regulations
and requirements
Application certificates, EPA identification numbers
Information on draft permits which is different from current
conditions
Exemptions and waivers
Receiving stream water quality standards, ambient air
standards, State Implementation Plans, protected uses
RCRA notification and Part A and Part B applications
Pesticide labels
Grant applications for publicly owned treatment works,
research and development demonstration projects and
progress reports on these projects
Federal and State classification of facility (e.g., Interim Status,
Small Quantity Generator)
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D-i
Enforcement History
Status of current and pending litigation against the facility*
Deficiency notices issued to facility and responses by the facility
Status of administrative orders, consent decrees, and other
regulatory corrective actions, if any, and compliance by the
facility
Penalties imposed against the company
Information Sources
Laws and Regulations - Federal laws and regulations establish
procedures, controls, and other requirements applicable to a facility
[Table 1]. In addition, State laws and regulations and sometimes
even local ordinances may be applicable, or take precedence.
Permits and Permit Applications - Permits provide information on
the limitations, requirements, and restrictions applicable to
discharges, emissions and disposal practices; compliance schedules;
and monitoring, analytical, and reporting requirements.
Applications provide technical information on facility size, layout,
and location of pollution sources; waste and pollutant generation,
treatment, control and disposal practices; contingency plans and
emergency procedures; and pollutant characterization - types,
amounts, and locations of discharge, emissions, or disposal.
Regional and State Files - These files often contain grant records,
applications, facility self-monitoring data, and audit reports, as well
as permits and permit applications pertaining to individual facilities.
Coordination should occur prior to the audit (in conjunction with the EPA Regional
Office) with the local Assistant United States Attorney or Justice Department attorney
responsible for the civil or criminal case and any consent decree.
(03/92)
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Table 1
FEDERAL STAriJIES/REGULATIONS FOR MULTI MEDIA INVESTIGATIONS
Air
CAA
Inspection Authority 1 1 4 ,a 2 1 1 a
[80, Be6]
Hecordkeeping 114,208
Authority [51,57,58,60,
61,79,85.86]
Confidential 206, 307
Information [2.201 -2215,
2.301,53,57,
Qrtl
80]
Emergency 303
Authority
Employee 322
Prelection
Permits
Basic requirements
include applications,
standa'd permit
condi; . ,. moni-
toring, reporting
EPA procedures [124]
for permit issuance
Technical [52]
requirements
Specific NSPS'
References NESHAP9[61]
CEM^leO]
SIP* p)
PSD* (50)
Superfund
Water CERClAand
CWA EPCRA
308,402 104
[12241]
308,402 103
[12241, 37210
122.48]
308 104
[2.201-2.215, (22012215)
2302,122.7] 322
(350)
504 104. 106
[300.53, 300 65]
507 110
[122, 125]
124]
[129,133,
136. 302^
BMPd[125J
SPCC6 [11 2]
Waivers [125, 130]
Effluent guidelines
[400-460]
BMP (125),
SPCC [11 2),
Pretreatment
1 125. 403),
Toxic (129)
a Statute (e g , Clean Air Act, Section 114 or 211)
b (80, 86] - 40 CFR, Parts 80 and 86, CFR relers to Code of Federal Regulations
c Reportable quantities
d BMP - Best Management Practices
e SPCC - Spill Prevention Control and Countermeasures Plan
Pesticides Solid Waste
FIFRA RCRA
8, 9 3007. 9005
[160.15,1693) [270 30]
4,8 3001,3002.3003,
(16063.169. 3004,9003
160185-195] [26240,26322,
264 74, 264 279,
264309,26574,
264 309. 270 30]
7, 10 3007. 9005
[2201-2215 [2201-2215,
2 307] 2 305, 260 2,
27012]
27 7003
(164 166)
7001
[270]
[124)
[260 266]
Generators [262],
Transporters (263|,
ISO' (265), Stds tor
I SO Permits (264),
Interim Stds (265),
Storage <90 days (262J,
Exemptions (261)
Drinking Waier Toxics
SOWA TSCA
1445 11
(14234, 144,51] (717 17. 792 15)
1445 8
(1413133, [704,710,
144 51. 144 54] 717 15, 7?0 78, 761 180.
76280. 763 114.
792185 195)
1445 14
(2201-2215, (22012215,2306,
2304,1445] 7047,70775,7107,
712 15,717 19,
720 80 95,
75016,75036,
/62 60, 76374)
1431 7
1450 23
[144. 147]
[124(
[146,264]
RGBs [761 1
Dioxin[//5|
/ fMSPS New Source Performance Standards
g NESI IAP - National Emission Standards tor Hd/ardous Air Pollutants,
h CLM Continuous Emission Monitoring
i ISO ! rudiment, Storage and Disposal
/ ' SIP State Implementation Plan
k PSD Prevention ol Significant Deterioration
(06/9 I
-------
D-6
These information sources can provide compliance, enforcement,
and litigation history; special exemptions and waivers applied for
and granted or denied; citizen complaints and action taken; process
operating problems/solutions; pollution problems/solutions; and
laboratory capabilities. Consultant reports can provide design and
operating data and recommendations for processes; pollutant
sources; treatment, control, and disposal systems; and remedial
measures.
Technical Reports. Documents, and References - These sources
provide information on industrial process operations, data on
available treatment, control and disposal techniques, such as their
advantages or drawbacks, limits of application, etc. Such sources
include Effluent Guideline and New Source Performance Standard
development documents and EPA's Treatability Manual. Similar
guidance documents on hazardous waste generation, treatment/
disposal are also available.
The background information sources for overall program areas and
those that apply specifically to the water, air, solid waste, pesticides, and
toxic substances programs are listed in Table 2.
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Table 2
BACKGROUND REVIEW INFORMATION SOURCES
Overall Program Areas
Water Pollution
CWA
Air Pollution
CAA
Solid Wastes
Pollution
RCRA
Toxic Substances
Pollution
TSCA
FIFRA/CERCLA
NEIC Information Retrieval
System data on corporate
structure, financial con-
ditions, pollution control
history, environmental and
health impacts of pollutants
of interest
EPA grants(R&D,
constructing, planning)
Information available on
process operations; pol-
lutants of interest; existing
treatment, control and
disposal practices, raw
matenal
Administrative Orders
issued for environmental
noncomphance
Applicable local ordinances
on environmental control
Compliance history and
present compliance status
Available correspondence
between regulating officer
and facility officials
Available contractor/
consultant report on facility
environmental control
matters
Environmental compliance
schedules and present
status
Available aerial
photography
NPDES permits/permit
applications/draft permits
Applicable effluent
guidelines
Compliance inspection
reports (Federal/State/
local)
Laboratory performance
reports
Self-monitoring require-
ments and self-reporting
data
Best Management
Practices Plan
Spill Prevention Control and
Countermeasure Plan
Pretreatment requirements
if facility discharges to
POTW
Applicable Federal/State
regulations related to water
pollution control at facility
Technical manuals and
references on pollution
treatment/control technol-
ogy, process operation,
monitoring inspection
procedures
Interstate Commission
water quality data (Ohio
River Sanitary Commission,
Delaware River Basin
Commission, Interstate
Commission on the
Potomac River
Air permits and permit applications
(Federal/State/local)
Self-monitoring requirements and
self reported data
Compliance inspection reports
(Federal/State/local)
Applicable NESHAP
Applicable NSPS
Applicable air quality standards
State Implementation Plan
Ambient air quality reports for
AQCR
Stack test reports
Air pollutants emission inventories
Continuous monitoring practices
and facility and applicable
performance inspections
Available contractor/consultant
reports
Technical manuals and references
on applicable pollution treatment/
control technology, process
operators, air pollution monitoring,
inspection procedures
Part A of permit application
(TSDs only) to designate type
and .-.lume of wastes
handled, type and design
capacity of treatment, storage
and/or disposal processes
Part B of permit application, if
available
Draft/final RCRA permit
Applicable regulations for
source designations
Groundwater monitoring
plans/data
UIC permit and present status
Hydrogeologic reports on local
area relative to UIC permit
Self-monitoring requirements
and self reported data
Applicable regulation on
manifest requirements
Inspection reports
(Federal/State/local)
Technical manual and
references on applicable
treatment/control and
disposal technology,
inspection and monitoring
procedures and techniques
Available information on
chemical substances produced
by facility
Applicable regulations regarding
manufacture, identification, self-
reporting requirements, con
cernmg toxic materials (e g ,
PCB rules)
Inspection reports (Federal/
State/local)
Technical manuals and
references on applicable
treatment/control and disposal
technology, inspection and
monitoring procedures and tech
niques
FIFRA
Establishment num
bers, Certified
Applicator numbers
Applicable labels
Inspection reports
(Federal/State)
EPA Pesticide
Inspection Manual
State Facility Permits
for procedures, bulk
storage
Preliminary Assess
ment (PA) reports
Site Inspection
(SI) reports
Remedial Investiga-
tion/Feasibility Study
(RI/FS) reports
Records of Decision
(RODs)
Remedial Design (RD)
reports
Removal Action
reports
(Oh'91 |
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APPENDIX E
SOURCES OF INFORMATION
-------
E-l
APPENDIX E
SOURCES OF INFORMATION
I. General References:
A. NEIC Policies and Procedures Manual - Covers chain-of-
custody, shipping, document handling, report preparation,
and in general, how to conduct an investigation
[EPA 33019-78-001-R, August 1991].
B. RCRA Orientation Manual, 1990 Edition. USEPA, Office of
Solid Waste/Permits and State Programs Division and the
Association of State and Territorial Solid Waste Management
Officials. GPO 1990-261-069/24136H
C. Standard Operating Safety guides. USEPA Office of
Emergency and Remedial Response, Emergency Response
Division. July 1988. GPO 1988-548-158/87012.
D. EPA Publications Bibliography. Quarterly listing of all EPA
publications distributed through the National Technical
Information Service, indexed alphabetically, numerically, and
by key word. NTIS, U.S. Department of Commerce,
Springfield, VA 22161 (703)487-4650.
E. Access EPA: Libraries and Information Services. NTIS, U.S.
Department of Commerce, Springfield, VA 22161 (703) 487-
4650.
B. Computer Data Systems - A description of the automated data
systems accessed by NEIC. Indexes 41 sources accessing over
1,000 data bases.
II. Technical References:
A. Kirk-Othmer Encyclopedia of Chemical Technology. Wiley,
3rd ed., 1981; 4th ed. in publication process.
B. Merck Index: Encyclopedia of chemicals, drugs, and
biological compounds. Good source for chemical properties
and safety plan details.
C. Directory of Chemical Producers: Lists major chemical
producers and the products they make. SRI, International:
Menlo Park, California. Annual.
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E-2
III. Legal/Regulatory References:
A. Statutes at Large: The official publication of a public and
private laws and resolutions enacted during a session of
Congress.
B. United States Code: A codification of the general and
permanent laws of the United States. New editions appear
approximately every 6 years with cumulative annual
supplements.
C. Regulations
1. Federal Register. Daily publication of proposed and final
rules.
2. Code of Federal Regulations: Annual compilation of
regulations.
3. LSA (Lists of CFR Sections Affected): Monthly updates
of CFR by section.
IV. Computer Data Systems - A description of the automated data
systems accessed by NEIC follows:
-------
CONTENTS
AGENCY INTERNAL INFORMATION SYSTEMS CURRENTLY ACCESSIBLE BY
NEIC
Aerometric Information Retrieval System (AIRS)
AIRS Facility Subsystem (AFS)
Chemicals in Commerce Information System (CICIS)
Comprehensive Environmental Response, Compensation and Liability
Information System (CERCLIS)
Consent Decree Tracking System (CDETS)
Docket System
DUNS Market Identifiers (DMI)
Emergency Response Notification System (ERNS)
Enforcement Document Retrieval System (EDRS)
Facility and Company Tracking System (FACTS)
Facility Index System (FINDS)
Federal Reporting Data System (FRDS)
NPDES Industrial Permit Ranking System
Permit Compliance System (PCS)
Pollution Prevention Information Exchange System (PIES)
Potentially Responsible Parties System
Records of Decision System (RODS)
Resource Conservation and Recovery Information System (RCRIS)
Site Enforcement Tracking System (SETS)
STORET
Superfund Financial Assessment System (SFFAS)
TECHLAW Evidence Audit System
Toxic Release Inventory System (TRIS)
AGENCY INFORMATION SYSTEMS NOT CURRENTLY ACCESSIBLE BY NEIC
FIFRA/TSCA Tracking System (FITS)
rn
i
-------
CONTENTS (cont.)
PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS CURRENTLY
ACCESSIBLE BY NEIC J.
Bibliographic Retrieval Service (BRS)
Chemical Information System (CIS)
Colorado Alliance of Research Libraries (CARL)
DataTimes
DIALOG Information Services, Inc.
Dun and Bradstreet
Groundwater On-Line (GWOL)
Justice Retrieval and Inquiry System (JURIS)
NEXIS/LEXIS
National Library of Medicine (NLM)
Scientific and Technical Information Network (STN)
VU/TEXT
WESTLAW
-------
AGENCY INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NE1C
System
Description
Application
Aerometric Information
Retrieval System
(AIRS)
Chemicals in Commerce
Information System
(CICIS)
AIRS Facility Subsystem
(AFS)
Comprehensive
Environmental
Response, Compensation
and Liability Information
System
(CERCLIS)
Consent Decree Tracking
System
A national system in ADABAS maintained by the
National Air Data Branch which incorporates
information from many of the Agency's air databases.
Emissions data (formerly in NEDS) is now available in
AIRS.
A national system containing the results of the 1977
TSCA inventory and later cumulative supplement of
approximately 60,000 unique chemical substances (7,000
claim confidentiality) used commercially in the United
States.
A national system containing compliance information
including compliance status, agency actions (e.g.,
inspections), etc. for major sources of the five primary
air pollutants. Recently converted from the Compliance
Data System (CDS), AFS is one of five AIRS subsystems.
A national system containing names and locations of
uncontrolled hazardous waste sites in the U.S.,
summary response event status information, alias
names and site characteristic data. Recent
modifications include provisions for tracking
enforcement activities, and technical and chemical
information at CERCLA sites. Superfund
Comprehensive Accomplishment Plan (SCAP) data is
also available through CEKCL1S.
A national system containing a computerized inventory
of consent decrees to which EPA is a party, and
computerized summaries of the contents of decrees by
facility. NEIC maintains a hardcopy library of all
consent decrees within the system. This repository has
been converted to a full text database on JURIS.
Data currently available from AIRS consists of the
ambient air quality data collected by States, utilized fur
trends analysis and pollution control strategies and
emissions and compliance data collected by EPA and
State agencies.
NEIC can access the system by company name and
geographical area, generate listings by company name,
CAS registry number or geographical area
NEIC can acquire the Significant Violators list and
compliance event data for individual sources, whole
facilities, sources within a certain geographical area
and sources of a specific industrial classification
NEIC can generate site inventory listings for
geographical area, the National Priorities List,
technical event status reports, and enforcement history
for any uncontrolled hazardous waste site and cleanup
expenditure reports.
NEIC can produce hard copies of all decrees in the
inventory, and produce computer reports of the
inventory, the entire contents of decrees, the milestones
to be met in specific decrees or for decrees within a
Region and the contents of all decrees for
-------
AGENCY INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
System
Description
Application
Docket System
DUNS Market Identifiers
(DMI)
Emergency Response
Notification System
(ERNS)
Enforcement Document
Retrieval System
(EDRS)
Facility and Company
Tracking System
(FACTS)
Facility Index System
(FINDS)
A national system containing all pertinent information
regarding a civil or administrative enforcement action
taken by EPA or designated States against violators of
all Federal environmental statutes.
Leased by the Agency from Dun and Bradstreet, DMI
contains basic business information for privately- and
publicly-owned companies in the United States.
A national system containing information on reported
releases of oil and hazardous substances and responses
by EPA, the U.S. Coast Guard and others to the reported
releases.
EDRS is a full-text national database of EPA
enforcement documents including the General
Enforcement Policy Compendium and the Policy
Compendiums for FIFRA, TSCA, RCRA, CERCLA/
SARA and CWA/FWPCA.
A national database which provides basic business
information for privately- and publicly-owned
companies in the United States, and facility information
for EPA-regulated facilities. FACTS is comprised of the
DMI and FINDS subsystems.
A national database which serves as a cross-reference
index on a facility basis to point to media-specific EPA
databases to acquire additional data. This is the link
with other EPA data systems.
NEIC can access the entire system to produce reports of
enforcement actions in a geographical area, for a
specific statute or media or for a specific source
classification.
NEIC can generate reports with business information
such as number of employees, amount of sales, telephone
number, principal officer title, and line of business.
Reports can be generated to identify specific releases
and to aggregate data on the number and types of
releases throughout the country and in specific states
and regions.
EDRS can be used to retrieve all enforcement documents
containing a word like "landfill" or relevant to an
issue, law or regulation.
NEIC can generate facility listings for any
geographical area, type of business, and/or corporation.
DMI locates business information such as number of
employees, amount of sales, telephone number, and
principal officer. FINDS provides facility information
for EPA-regulated databases.
NEIC can generate facility listings for any
geographical area, as well as a tabulated listing of
whether other databases contain information about that
facility.
ni
i
cr
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AGENCY INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
System
Description
Application
Federal Reporting Data
System
(FRDS)
NPDES Industrial Permit
Ranking System
Permit Compliance System
(PCS)
Pollution Prevention
Information Exchange
System
(PIES)
A national system containing an inventory of public
water supplies in support of the Safe Drinking Water
Act. It contains identiln.ation and statistical summary
information for each public water supply including type
of data collected or monitored, and analytical
procedures.
An NEIC-operated and maintained system which
contains criteria, ranking factors and calculation
mechanisms to rate (1) a facility's effluent discharge
pollution potential, including toxics; (2) health impact
potential; and (3) water quality impact potential which is
then used in PCS for major/minor differentiation.
A national computerized management information
system containing an inventory of NPDES permits,
milestone forecasts, inspection events, effluent
measurement data, effluent and compliance violations
and enforcement actions.
A national computerized information network
providing access to technical, programmatic, and
legislative pollution prevention information. Includes
a calendar of events, case studies, directory of contacts,
an interactive message center, and document ordering
capability.
NEIC can acquire source information and location,
service areas, geographic areas, and historical
information. Information on noncompliance
enforcement actions can also be obtained.
and
NEIC can access the specific data for any of 12 criteria,
ranking factors, and resultant ratings for each of the 12,
as well as the total ranking for any or all of the three
potentials. NEIC can access the data by Effluent Guide-
line subcategory, as well as by Standard Industrial
Classification Code.
NEIC can acquire limit/measurement data for
individual discharges or whole facilities, facilities
within a geographic area, sources of a specific industrial
classification and the Quarterly Noncompliance Report
(QNCR) by Region or State. Information on effluent and
compliance schedule violations and enforcement
actions/tracking can be obtained.
NEIC can use the system to stay abreast of policy and
program activities at HQ and the regions as well as
industry specific technical information. Case studies of
enforcement settlements incorporating pollution
prevention projects can be obtained.
Potentially Responsible
Parties System
An NEIC-automated system, which links PRPs from
SETS, SFFAS, and Techlaw files.
This system is used as an inventory of specific
generators or parent corporations identified at and 1-1
among hazardous waste sites. i
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AGENCY INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
System
Description
Application
Records of Decision System
(RODS)
Resource Conservation and
Recovery Information
System (RCRIS)
Site Enforcement Tracking
System (SETS)
STORET
Superfund Financial
Assessment System
(SFFAS)
A full-text national database of over 2,000 Superfund
Records of Decision
Conversion to RCRIS from HWDMS is currently under-
way on a per state basis. RCRIS is scheduled to be operat-
ing as the official automated source of information on
RCRA program activities by January 1992.
A centralized national database tracking notice letters
which have been sent to potentially responsible parties.
A national database containing water quality data for
some 1,800 unique parameters from over 200,000
collection points including lakes, streams, wells and
other waterways. New STORET software provides an
interface between STORET and PCS data.
Nationally available computer application designed to
calculate the remedial costs a responsible party can
theoretically afford to pay for cleanup of a site. Three
common financial ratios are used to make this
determination: (1) Cash flow to total debt, (2) total debt to
equity, and (3) the interest coverage ratio.
NEIC can retrieve a specific ROD by searching onsite tn
name or ID number or can identify all RODS having u
selected media, contaminants, or remedies.
NEIC is planning to use the RCRIS National Oversight
Database, which is derived from the 10 regional RCRIS
databases. Information available will include handler
identification, permitting/closure/post-closure, compli
ance monitoring and enforcement, and corrective
action and program management data.
NEIC uses this database to supplement currently
available responsible party information.
NEIC can access and produce reports of water quality,
including groundwater quality, for specific geographi
cal areas, for specific parameters (e.g., organics), and
for a specific station.
NEIC has used the SFFAS to provide financial
assessments for potentially responsible parties in
response to HQ/Regional requests for several sites
including the following: Seymour Recycling (several
hundred responsible parties), Re-Solve (more than 200
responsible parties), and MIDCO I and II (approximately
100 responsible parties).
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AGENCY INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
System
Description
Application
TECHLAW Evidence Audit
System
Under contract to NEIC, TECHLAW provides document
inventories, evidence profiles and generator
transaction databases. TECHLAW has produced, for
about 30 cases, document inventories containing key
word searching capability of all related records
contained in Regional office, Headquarters,
Department of Justice and/or office files. For sample
related activities, including those of the contractor
laboratories, TECHLAW produces sample tracking
profiles. For hazardous waste sites, TECHLAW has
produced document inventories of available records
dealing with the generators, volume and type of water,
etc.
NEIC can access the document inventories to
substantiate the universe of information on which a case
is based, to demonstrate the efficacy and utility of an
evidence audit system in enforcement case preparation
and to provide demonstrative examples of actual
applications to establish protocols and implementation
procedures.
Toxic Release Inventory
System (TRIS)
A national database containing information directly
related to the Toxic Chemical Release Inventory Report
Form "R." Two types of submissions will be present:
Partial (facility and chemical information) and
Complete (offsite transfers, emission and releases,
waste treatment, waste minimization, activities and
uses, and maximum amount stored onsite).
NEIC can generate reports for facilities, geographic-
areas, and chemical compounds listing facility and
chemical information with emissions, releases,
activities, etc., for complete submissions.
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AGENCY INTERNAL INFORMATION SYSTEMS
NOT CURRENTLY ACCESSIBLE BY NE1C
System Description Application
FIFRA/TSCA Tracking A PC-based regional system that tracks FIFKA and NEIC has limited access through Headquarters. The
System (FTTS) TSCA inspections, samples, case reviews, enforcement national database is used to produce facility listing*
actions, referrals, and State grants. A national showing inspections, enforcement data, and product
database is planned for FY89. lists.
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PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
System
Description
Application
Bibliographic Retrieval
Service (BRS)
Chemical Information
System (CIS)
Colorado Alliance of
Research Libraries
(CARL)
DataTimes
DIALOG Information
Services, Inc.
Dun and Bradstreet
The BRS system contains more than 100 databases with
unique files in the chemical technology and standards
and specification areas.
The CIS is a collection of scientific and regulatory
databases containing numeric, textual and some
bibliographic information in the areas of toxicology,
environment, regulations, spectroscopy, and chemical
and physical properties.
The CARL system includes the catalogs of the member
libraries, an index of over 10,000 periodicals, a full text
encyclopedia, Choice book reviews, and a bibliography of
GPO publications.
DataTimes provides online access to numerous full-text
databases, including newspapers, wire services, and
Dow Jones News/Retrieval.
The DIALOG system contains more than 330 databases
covering a variety of disciplines: Science, technology,
engineering, social sciences, business, and economics.
The databases contain more than 120,000,000 records and
are regularly updated to provide the most recent
information.
Dun and Bradstreet, a credit-reporting firm, provides
business information reports for privately and
publicly-owned companies and government activity
reports which list Federal contracts, grants, fines and
debarments for specific companies.
BRS is used mainly as a backup when the DIALOG
system is unavailable but is also used to obtain chemical
manufacturing and production information Cor specific
compounds.
NEIC uses the CIS to locate mass spectral information,
environmental fate information, formulation ingredi
ents for commercially available products such as
pesticides and waste disposal methods for hazardous
substances.
CARL is searched by NEIC staff for general reference, to
locate books, and to identify articles and documents.
DataTimes is a source of national environmental news
Newspaper databases from all regions are updated
daily.
NEIC uses the DIALOG databases to obtain: (I) expert
witness information, including biographies, publica-
tions authored, congressional testimony; (2) up-to date-
pollution control technology for hazardous waste, air
and water; and (3) business information such as corpo
rate officers, subsidiaries, and line of business.
NEIC uses the Dun and Bradstreet system to locate
corporate information such as business done by the
company, company history, financial condition,
subsidiaries and corporate officers for privately held
companies.
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PUBLICLY AVAiiABLE EXTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NE1C
System
Description
Application
Groundwater On-Line
(GWOL)
Justice Retrieval and Inquiry
System
(JURIS)
NEXIS/LEXIS
National Library of
Medicine (NLM)
The National Groundwater Information Center
Database is a bibliographic database containing
references to materials on hydrogeology and water well
technology with emphasis on reports or projects
sponsored by EPA.
The Justice Retrieval and Inquiry System (JURIS) is a
legal information system developed by the Department
of Justice. It contains the complete text of Federal cases,
statutes, and regulations in addition to selected DOJ
Appellate Court Briefs, trial briefs, and the full text of the
U.S. Attorneys' Manual. The full-text of the NEIC
Consent Decree repository has been added to JURIS.
JURIS also coinairis computerized legislative histories
of the environmental statutes, model pleadings, and
other work products of DOJ attorneys, and EPA General
Counsel opinions from 1970 to the present.
NEXIS/LEXIS contains the full text of more than 600
business and general news files, including the
Washington Post and New York Times. Statutory and
case law are provided for computer-aided legal
research.
The National Library of Medicine system contains
more than 5,000,000 references to journal articles and
books in the health sciences published since 1965.
NEIC accesses GWOL to locate publications on
groundwater topics and to verify or locate groundwatt-i
experts.
JURIS is used to identify relevant caselaw and current
statutory and regulatory environmental information.
NEIC uses NEXIS/LEXIS to keep informed of the latest
Agency and environmental news stones and to track
corporate and financial status of U.S. businesses
involved in environmental litigation.
NEIC uses the NLM system to obtain. (1) toxicity and
environmental health effects information for
individual chemicals or groups of chemicals,
(2) physical and chemical properties of specific
compounds, (3) analytical methodology references, and
(4) National Cancer Institute carcinogenic bioassay
information.
ri
-------
System
Scientific and Technical
Information Network
(STN)
VU/TEXT
WESTLAW
PUBLICLY AVA1I.ABLE EXTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
Description
Application
The STN system contains databases covering
chemistry, science, and engineering that are regularly
updated to provide the most recent information. STN has
strong coverage of European and Japanese scientific
databases.
VU/TEXT contains the full text of 30 daily newspapers,
including nationally recognized papers such as the
Boston Globe, Chicago Tribune, Detroit Free Press,
Philadelphia Inquirer, and regional papers such as the
Orlando Sentinel, the Sacramento Bee and the San Jose
Mercury News.
The WESTLAW system contains legal information,
including the full text of cases from the Supreme Court]
U.S. Court of Appeals, U.S. District Courts, and State
Courts. It contains Shepards' Citations, regulatory
information from the Code of Federal Regulations,
Federal Register, U.S. Code and the expert witness
information from Forensic Services Directory.
NEIC uses the STN databases to obtain: (1) chemical
structures and synonyms for a chemical compound,
(2) analytical methods and techniques, and (3) toxicity
of a chemical compound.
NEIC uses VU/TEXT to keep informed of the latest
Agency and environmental news stories and to track
corporate and financial status of U.S. businesses
involved in environmental litigation.
NEIC uses WESTLAW to identify precedent cases, to
locate all cases decided by a certain judge or all cases
represented by a certain attorney and to locate possible
expert witnesses.
-------
APPENDIX F
PROJECT PLAN AND SAFETY PLAN EXAMPLES
-------
F-l
Example
PROJECT PLAN*
MULTI-MEDIA COMPLIANCE INVESTIGATION
XYZ COMPANY, MIDTOWN, ANYSTATE
INTRODUCTION
The XYZ Company operates a plant at 1234 Anywhere Road in the
middle part of Midtown, Any state [Figure 1]. EPA Region XX requested
that NEIC conduct a multi-media compliance investigation of the XYZ
plant. The specific objectives of the investigation are to determine
compliance with:
Water pollution control regulations under the Clean Water Act
(CWA), including wastewater pretreatment requirements and
Spill Prevention and Control Countermeasures (SPCC)
regulations
Hazardous waste management regulations, under the
Resource Conservation and Recovery Act (RCRA) and the
Anystate Administrative Code (AAC)
Underground Storage Tank (UST) regulations
Air pollution control regulations under the Clean Air Act
(CAA), Federal Implementation Plan (FIP), and the Federally
approved portions of the State Implementation Plan (SIP)
Toxic Substances Control Act (TSCA) PCB regulations
Superfund Amendments Reauthorization Act, Title III,
Emergency Planning and Community Right-To-Know Act
(EPCRA) regulations
Compliance with other applicable environmental regulations may be
determined by thew NEIC. Region XX personnel will evaluate compliance
with TSCA Sections 5, 8, 12, and 13 during the NEIC inspection, and report
their findings separately.
BACKGROUND
XYZ began operating the plant in 1492. Compounds A, B, and C;
chemicals D, E, and F; pesticides G and H, and special containers for these
materials have been manufactured on site. In 1942, some operations
(formerly under the Middle Division) were acquired by a company known as
Subject to revision
(3/S2)
-------
F-2
"Newage, Inc." The remaining XYZ plant currently manufactures water
soluble specialty items, and conducts research and development.
The XYZ plant employs a total of about 1,300 people, in a Primary
Division, a Secondary Division, a Tertiary Division, and R and D
Laboratory. The Primary Division manufactures compounds A, B, and C
(240 tons in 1990). Raw materials for the compounds are purchased from
an outside source. The Secondary Division makes chemicals and pesticides
under numerous brand names (180 tons in 1990), and the Tertiary Division
makes special containers for these materials (3 million containers in 1990).
Research and development are conducted by R and D Laboratory.
The EPA Region XX Environmental Compliance Division, Midtown
District Office (MDO), conducted a multi-media inspection of the XYZ plant
during the first quarter of 1991. The MDO inspection report identified
concerns with wastewater control, hazardous waste management,
documentation, and spill prevention control.
Approximately 1.2 million gallons of wastewater per day are
discharged to the Midtown Wastewater Treatment Plant (MWTP) of
Midtown, Anystate. There are two direct National Pollutant Discharge
Elimination System discharges (001 and 002) to the Midtown River at this
facility. Additionally, sewered plant effluent discharge is regulated by the
MWTP pretreatment standards, and the Federal effluent limitations and
standards for the Compounds, Chemicals, Pesticides and Containers point
source category. The R and D Laboratory conducts the Company's effluent
analyses.
Violations of the MWTP pretreatment ordinance effluent limitations
have occurred for solids, and the toxic standards. MWTP is concerned with
data indicating the discharge of solids and toxics J, K, and L from the
plant. XYZ also may have modified their pretreatment plant without
obtaining a construction permit required by the Anystate Environmental
Resources Department (AERD).
XYZ submitted the original RCRA Part A permit application on
November 15, 1980. The application listed 19 hazardous waste management
units, including 4 container storage areas, 10 storage tanks, and 5 storage
surface impoundments. AERD is responsible for monitoring hazardous
waste activities.
The facility's June 1990 contingency plan lists 14 above ground and 22
underground tanks on site. The tanks range in size from 2,000 to 50,000
gallons, with the majority between 5,000 and 20,000 gallons. These tanks
are located in a tank farm area and near production areas.
The plant emits both volatile organics and particulates. There is no
volatile organic constituent emission control equipment. Particulate
emissions are controlled by three dust collectors. Five wet scrubbers are
(03/92)
-------
F-3
used to control fugitive particulate emissions when mixing bags of dry raw
materials in reaction vessels. Air emissions are regulated by "Anystate
Permits and Air Pollution regulations including AERD Operating Permits.
EPA also promulgated a FIP on February 14, 1991.
On August 31, 1983, EPA Region XX conducted a PCB sampling
inspection at the plant. XYZ was fined for violations, including cracks in
the floor of the PCB storage area, not conducting monthly inspections, no
annual document, and not properly marking PCB transformers.
The Toxic Release Inventory (TRI) for this plant lists emissions of A,
B, C, and D. The TRI also lists various inorganics, including E, F, G, and
H.
INVESTIGATIVE METHODS
Investigation objectives will be addressed by:
Compilation and review of EPA, AERD, and MWTP database
and file information
Meetings with EPA Region XX personnel to discuss
investigation specifics including: objectives, logistics, and
potential sampling locations
An on-site inspection
Meetings with Region XX personnel took place (date). The on-site
inspection, scheduled to begin (date), will include:
Discussing plant operations with facility personnel
Reviewing and copying, as appropriate, facility documents
including operating plans and records
Visually inspecting plant facilities including processing,
material storage, and waste handling facilities
Sampling and analysis of appropriate waste streams and/or
any unknown/unauthorized discharges to assist in compliance
determination, as follows:
(a) MWTP will collect and analyze wastewater samples for
organic constituents during the week of (date). All
QA/QC will be the responsibility of MWTP.
(b) NEIC will collect wastewater samples for volatile
organic constituent analysis during the on-site
inspection. NEIC will conduct the associated analysis.
(03/92)
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F-4
After completing the on-site inspection, NEIC investigators will brief
appropriate EPA Region XX Program and Office of Regional Counsel
personnel regarding preliminary findings.
A draft report, including any analytical data, will be written by NEIC
personnel and transmitted to EPA Region XX personnel for review and
comment. A final report will be completed about two weeks after Region V
comments are received. If analytical data are not available by (date), they
will be presented in an addendum to the report.
NEIC personnel will be available for any additional support required
(negotiations, litigation, etc.) until noncompliance issues are resolved.
DOCUMENT CONTROL PROCEDURES
NEIC document control procedures* will be followed during the
investigation. TSCA "Notice of Inspection" and "Confidentiality" forms
will be completed during the opening conference. Documents and records
obtained from the Company will be uniquely numbered and listed on
document logs. Photograph logs will also be maintained. A copy of the
document and photograph logs, with a Receipt For Samples/Document
form, will be offered to the Company prior to completion of the on-site
inspection. Any documents declared to be confidential business
information pursuant to 40 CFR Part 2 will be so noted on the log and
secured appropriately.
SAFETY PROCEDURES
Safety procedures to be followed during the on-site inspection will
comply with those described in the attached safety plan [Appendix A], and
established NEIC safety procedures. These procedures are contained in
EPA 1440 - Occupational Health and Safety Manual (1986 edition), Agency
orders, and applicable provisions of the NIOSH/OSHA/USCG/EPA
Occupational Safety and Health Guidance Manual for Hazardous Waste
Site Activities. The Company's safety policies will also be reviewed and
followed.
TENTATIVE SCHEDULE
(date) Region XX will notify facility of inspection (verbally and in
writing)
(date) Initiate on-site inspection
(date) Brief Region V regarding preliminary findings
(date) Draft report to Region V
NEIC Policies and Procedures Manual, revised August 1991
(03/92)
-------
APPENDIX
NEIC
SAFETY PLAN
FOR
HAZARDOUS SUBSTANCES RESPONSES AND FIELD INVESTIGATIONS
The OSHA Hazardous Waste Site Worker Standards (29 CFR 1910.120)
and EPA protocols require certain safety planning efforts prior to
field activities. The following format is aligned with these
requirements. Extensive training and certifications are required
in addition to this plan.
PROJECT: . . NEIC Reporting Code:
Project Coordinator: . Date
Branch Chief: Date .
On Scene Coordinator or Supervisor:
Health and Safety Manager
Approval: Date
DESCRIPTION OF ACTIVITY
If any of the following information is unavailable, mark "UA"; if covered in project plan, mark 'PP'.
Site Name:
Location and approximate size:
Description of the response activity and/or the job tasks to be
performed:
Duration of the Planned Employee Activity:
Proposed Date of Beginning the Investigation
Site Topography:
Site Accessibility by Air and Roads:
-------
HAZARDOUS SUBSTANCES AND HEALTH HAZARDS
INVOLVED OR SUSPECTED AT THE SITE
Fill in any information that is known or suspected
Chemical and Identity of Substance
Areas of Concern Physical Properties and Precautions
Explosivity:
Radioactivity:
Oxygen Deficiency:
(e.g., Confined Spaces)
Toxic Gases:
Skin/Eye Contact
Hazards:
Heat Stress:
Pathways from site for hazardous substance dispersion:
WORK PLAN INSTRUCTIONS
A. Recommended Level of Protection: A B C
Cartridge Type, if Level C:
Additional Safety Clothing/Equipment:
-------
F-;
Monitoring Equipment to be Used:
CONTRACTOR PERSONNEL:
Number and Skills
CONTRACTOR SAFETY CLOTHING/EQUIPMENT REQUIRED:
Have contractors received OSHA required training and certification?
(29 CFR 1910.120)
Yes Not Required
(If "yes", copy of training certificate(s) must be obtained from contractor)
B. Field Investigation and Decontamination Procedures:
Decontamination Procedures (contaminated protective clothing,
instruments, equipment, etc.):
Disposal Procedures (contaminated equipment, supplies, disposal
items, washwater, etc.):
-------
F-8
IV. EMERGENCY CONTACTS
Hospital Phone No.:
Hospital Location:
EMT/Ambulance Phone No.:
Fire Assistance Phone No:
NEIC Health and Safety Manager: Steve Fletcher - 303/236-5111
FTS 776-5111
Radiation Assistance: Wayne Bliss, Director
Office of Radiation Programs
Las Vegas Facility (ORP-LVF)
702/798-2476
FTS 545-2476
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APPENDIX G
MULTI-MEDIA INVESTIGATION EQUIPMENT CHECKLIST
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G-l
Appendix G
MULTI-MEDIA INVESTIGATION EQUIPMENT CHECKLIST
DHL/Federal Express forms
Packing/shipping labels
Packing tape/fiber tape
Custody tape/evidence tape
Coolers with TSCA locks
Cartridges for respirators (14 organic vapor)
Extra vehicle keys
TSCA lock and bar on rear closet doors of van
Accordian folders
Yellow Post-It notes
Box paper clips
Staplers
Boxes of staples
Xerox machine
Related plugs for xerox machine to connect to trailer outlets
Alter 220 extension plug-in to adapt to SCA hookup
Boxes rubber bands
Xerox paper
Writing paper
Box of pens
Box of pencils
Pencil sharpener
Large eraser
Calculators
Lap top/notebook computer
Desk lamps, preferably flat bases
TSCA/PCB forms (CBI green sheets, Confidentiality Notice, Declaration of
CBI, Notice of Inspection)
Cameras, Polaroid and Nikon 35mm
Boxes film for each (Ecktachrome slides for 35mm)
300-Foot tape
Brunton compass
Two way radios and chargers
(03/92)
-------
G-2
Flashlights
Tyvex suits, disposable gloves
Rulers
Desk blotters
Chain-of-custody forms
Ice chests for sample shipping (environmental)
Packing material
NEIC Procedures manual for shipping of samples and TSCA material
Sample receipt forms
Sample tags
Microfilm copier
Microfilm copier film
Tool box
Steel sounding tape
SS weight for tape and SS wire
Boxes Kimwipes
Clipboards
Carpenter's chalk
Sonic sounder
12-Foot tape measure
Garbage bags
Pair NUKs boots
Folding 6-foot ruler
Colored pens/pencils/markers
8-oz. jars
Quart size jars
Plastic Ziplocks
Glass thieves
Plastic/metal scoops
Shovel
pH paper/meter
HNu meter
Bacon bombs
Sampling gear
Media-specific sampling gear
(03/92)
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APPENDIX H
SUGGESTED RECORDS/DOCUMENTS REQUEST
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H-l
Appendix H
SUGGESTED RECORDS/DOCUMENTS REQUEST
GENERAL PROCEDURE
The records evaluation generally will proceed in two stages. First,
various records to be reviewed will be identified. Generally, these records
will date back three years from the present, but some of the records will be
for specific time periods. Second, according to a schedule to be developed
onsite, the records will be reviewed and copies requested, as needed.
Alternately, document copies will be requested for later review after the
investigation.
GENERAL
1. Facility map and plot plan
2. Organizational chart
3. Description of facility and operations
CLEAN AIR ACT (CAA)
1. Plot plan of the facility showing location and identification of all
major process area and stacks
2. Brief descriptions for all process areas to include:
(a) simplified process flow diagrams
(b) pollution control equipment
3. Permits and/or variances for air emission sources and related
correspondence
4. Consent Decrees/Orders/Agreements still in effect
5. Sulfur in fuel records for boiler/space heater fuel
6. Stack tests (most recent) and stack and ambient monitoring data (last
2 quarters)
7. Performance specification tests for continuous emission monitors
8. 1989 state emissions inventory report
9. Procedures/manuals for the operation and inspection of pollution
control equipment
10. Required notices for asbestos demolition/renovation projects in
progress or completed within the last three years
(03/92)
-------
H-2
11. Hours of operation and process weight rates for the automated multi-
base propellant (AMB) manufacturing facility (last 2 years)
12. Annual volatile organic compounds (VOC) emissions from the AMB
facility including associated VOC storage tanks (last 2 years).
Describe the method(s) used to determine emissions. If estimates
have been made show calculations and assumptions.
13. Annual AMB facility inspections reports (last 2 years)
14. Annual AMB facility VOC emissions control reports (last 5 years)
15. Non-compliance AMB reports (last 2 years)
16. List air pollution sources, not covered in items 1 - 8, such as
combustions units larger than 2.5 million BTUs/hr heat inputs and
incinerators (other than the RCRA incinerators)
RESOURCE CONSERVATION AND RECOVERY ACT (RCRA)
1. List of description of all hazardous waste storage areas, including
above and below ground tanks, temporary tanks, drum storage
areas, pits, ponds, lagoons, waste piles, etc., that have been operated
at any time since November 1980.
2. RCRA Part A Permit Application
3. Manifests for all offsite shipments of hazardous waste, including
notifications and certifications for Land Disposal Restricted (LDR)
hazardous waste.
4. Determinations, data, documents, etc., supporting the Base's
decision that wastes are hazardous, non-hazardous or LDR
hazardous wastes for all solid wastes, as defined under RCRA. Also
provide information used in the determination of the EPA hazardous
waste codes applied to all hazardous wastes.
5. Notices to the owner or operator of the disposal facility receiving
waste subject to land disposal restrictions
6. Schedule and inspection logs for inspection of safety and emergency
equipment, security devices, monitoring equipment, and operating
and structural equipment
7. Satellite accumulation area inspection records
(03/92)
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H-3
8. Employee training records for hazardous waste handlers, including
job title and description, name of each employee and documentation
of the type and amount of training each has received.
9. Current Contingency Plan
10. Current Closure Plan
11. Copy of the Waste Analysis Plan (WAP) currently in use and effective
date of the plan. If the current WAP was not effective on January 1,
1986 provide copies of all WAPs and revisions.
12. Narrative of procedures used to store hazardous wastes prior to
shipment offsite for treatment, recycle, reclamation and/or disposal.
Include a list of all storage and satellite storage areas and the
quantity of waste stored at each area.
13. Summary reports and documentation of all incidents that required
implementation of the contingency plan for the past 3 years
14. The Generator Biennial and Exception Reports
15. Reports and analytical results of any groundwater quality and
groundwater contamination surveys
16. Closure plan for units undergoing closure
17. Inspection schedule(s) for all hazardous waste management units,
such as storage areas and tank systems, and all inspection logs,
remediations document, etc, for the last three years.
18. Description of the Base's hazardous waste minimization plan
19. Copy of the annual report for the last three years
20. Copy of notification to EPA of hazardous waste activity to secure
generator ID number
21. Copy of Clean Closure Demonstration, if any.
22. List of all identified or suspected Solid Waste Management Units on
the Base's property
23. List of all locations where hazardous wastes are generated including
types, quantity, and EPA hazardous waste codes of wastes
24. Notification of any releases to the environment and follow-up reports
25. Notifications for underground storage tanks
(03/92)
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H-4
26. Copy of written tank integrity assessment certified by a professional
engineer
27. Agreements with local emergency response authorities or
documentation of refusal by the emergency response authorities to
enter into such agreements.
28. Design specifications for any underground storage tanks installed
after May 1985
29. Characteristics of materials removed from facility septic systems,
including analytical results
30. Wastes burned in the RCRA incinerators, including waste analysis
31. Instruments used to monitor incinerator combustions and emissions
32. Incinerator inspection records (last year)
TOXIC SUBSTANCES CONTROL ACT - PCB WASTE MANAGEMENT
1. Copies of the "Annual Document" required by 40 CFR 761.180(a) for
the last 3 years
2. Records of monthly inspections of storage areas subject to 40 CFR
761.65
3. The SPCC plan prepared for storage areas subject to 40 CFR 761.65
4. All spill reports
5. Records of inspection and maintenance for PCB transformers for the
last 3 years
6. Transformer inventory and PCB analyses
7. Reports or other documentation identifying the extent of any PCB
spills and any remediation plans
8. Certifications of Destruction for PCB Transformer disposal
9. Manifests for PCB items shipped off-site
CLEAN WATER ACT (CWA)
1. All NPDES permit(s) applications
(03/92)
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H-5
2. NPDES permit effective for last 3 years
3. Discharge monitoring reports (DMRs) for last 3 years
4. Any correspondence regarding exceedences of discharge limitations
5. Spill Prevention Control and Countermeasure (SPCC) plan and
Prevention Preparedness and Contingency (PPC) plan
6. Description or lies of all sewer system monitoring stations and
analyses conducted on samples collected (include monitoring
frequency).
7. Written calibration procedures for flow measuring and recording
equipment; includes industrial sewers, storm sewers, sanitary
sewers or any other sewers on the Plant's property.
8. Description of waste water treatment plant, sewer system and storm
water by-pass system
9. Consent decrees/agreements still in effect
COMPREHENSIVE ENVIRONMENTAL RESPONSE COMPENSATION
AND LIABILITY ACT (CERCLA)
1. Specific CERCLA questions will be provided during the inspection.
EMERGENCY PLANNING COMMUNITY RIGHT-TO-KNOW ACT
(EPCRA)
1. Notification to the State Emergency Response Commission
2. Designated facility emergency coordinator
3. Written follow-up emergency release notifications
4. Material Safety Data Sheet report to the Commission and fire
department
5. Tier I/Tier II submittal to the Commission and fire department
6. EPA Form R submittals for the past three years
7. Documentation supporting the Form R submittals for the past three
years
(03/92)
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H-6
FEDERAL INSECTICIDE. FUNGICIDE. AND RODENTTCIDE ACT
(FIFRA)
1. Restricted pesticide use and application records
2. Pesticide handlers training and certification records
3. Pesticide inventory and storage area inspection records
SAFE DRINKING WATER ACT
1. Description of water supply system including supply, storage
capacity, distribution, and monitoring system
(03/92)
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APPENDIX I
MULTI-MEDIA CHECKLISTS
-------
1-1
Appendix I
MULTI-MEDIA CHECKLISTS
TITLE
DATE
SOURCE
Facility Multi-Media Survey
Inspector's Multi-Media Checklist
RCRA
Pre-Inspection Worksheet
Land Ban Checklist Questions
General Site Inspections Information
Form
General Facility Checklist
Land Disposal Restrictions List
RCRA Hazardous Waste Tank Inspec.
Transporter's Checklist
Containers Checklist
Surface Impoundments List
Waste Piles Checklist
Land Treatment Checklist
Landfills Checklist
Incinerators Checklist
Thermal Treat. List(part 264)
Ground-Water Monitoring Checklist
Waste Information Worksheet
Comprehensive GW Monitoring Eval.
Comparison of Permit & Oper. Cond.
Visual Assess. & Audit Activities
List-Inspec. New RCRA Incinerators
Landfill and Dump Site Analysis
Chemical Facility analysis
RCRA Land Disposal Rest. Gen. List
Transporter Checklist
RCRA Land Restrictions-T,S & D Req.
Solvent Identification Checklist
Tank Systems-Inspection Checklist
Tank System-Small Quantity Gen.
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
June 1989
March 1988
April 1989
April 1989
April 1989
April 1989
June 1988
Feb. 1989
Feb. 1989
Feb. 1989
Feb. 1989
Sept. 1988
Sept. 1988
Region I
Region II
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA Inspection Manual
RCRA GW Monitoring
Systems Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA Incinerator
Inspection Manual
RCRA LDR
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
(03/92)
-------
1-2
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE
DATE
SOURCE
Tank-Document of General Inspection Sept. 1988
Requirements
Tank System-Existing Tank System Sept. 1988
Tank System-New Tank System Sept. 1988
Tank Systems and Ignitable Waste Sept. 1988
Tank System-Release Response Sept. 1988
Tank System-Visual Tank Inspec Sept. 1988
Tank-Closure, Post-Closure Call Sept. 1988
Landfill & Dump Site Analysis June 1988
Chemical Facility Analysis June 1988
RCRA LDR Inspections Sept. 1990
Health & Safety Inspection Form Feb. 1991
TSCA
TSCA Screening Inspection Checklist
Established Inspections Narrative Jan. 1989
Report
CWA
Record, Report & Schedule List 1985
Sample Evaluations List Sect. 309 1985
NPDES
NPDES Compliance Inspection Report
Mobile Bioassay Equipment List
Records, Reports & Schedule List June 1984
Facility Site Review Checklist June 1984
Permittee Sampling Inspec. June 1984
Flow Measurement Inspection List June 1984
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tank
Inspection Manual
RCRA Tech. Case Devel
Guidance
Prepared by Region V
OWPE
Region VI
Pesticides Inspection
Manual
CWA
Compliance/Enforcement
Guidance
CWA
Compliance/Enforcement
Guidance
NPDES Compliance
Monitoring - Overview
NPDES Compliance
Monitoring - BioMonitoring
NPDES Compliance
Inspection Manual
NPDES Compliance
Inspections Manual
NPDES Compliance
Inspection Manual
NPDES Compliance
Inspection Manual
(03/92)
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1-3
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE
DATE
SOURCE
NPDES Biomonitoring Evaluation June 1984
Form
Laboratory Quality Assurance List June 1984
UIC
Inspections Checklist (UIC) Feb. 1988
Pressure Gauge Inspection List Feb. 1988
Flow Measurement Inspec. List Feb. 1988
Inspections Checklist (UIC) Feb. 1988
Pressure Gauge Inspection List Feb. 1988
Flow Measurement Inspection List Feb. 1988
Ak
Electric Arc Furnaces (I) List May 1977
Opacity Observations (II) List May 1977
Performance Test Observation (III) May 1977
Operation of Electric Arc Furnace (IV) May 1977
Fume Collection System (V) Checklist May 1977
Fabric Filter Collectors (VI) Checklist May 1977
Scrubbers (VI) Checklist May 1977
Electrostatic Precipitators (VIII) List May 1977
Tank Inspection Checklist April 1977
Sewage Sludge Incinerators -During Feb. 1975
Performance Test
Sewage Sludge Incinerators-After Feb. 1975
Performance Test
Municipal Incinerators - During Feb. 1975
Performance Test
Municipal Incinerators - After Feb. 1975
Performance Test
NPDES Compliance
Inspection Manual
NPDES Compliance
Inspection Manual
UIC Inspection
U.S. EPA
UIC Inspection
U.S. EPA
UIC Inspection
U.S. EPA
UIC Inspection
U.S. EPA
UIC Inspection
U.S. EPA
UIC Inspection
U.S. EPA
Manual for
Manual for
Manual for
Manual for
Manual for
Manual, for
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Steel Producing Electric Arc
Furnaces
Volatile Hydrocarbon
Storage Tanks
Sewage Sludge Incinerators
Sewage Sludge Incinerators
Municipal Incinerators
Municipal Incinerators
(03/92)
-------
1-4
Appendix I (cont.)
MULTI-MEDIA CHECKLISTS
TITLE
DATE
SOURCE
Secondary Brass & Bronze Smelters - Jan. 1977
During Performance Test
Secondary Lead Smelters - During Jan. 1977
Performance Test
Basic Oxygen Process Furnace - Jan. 1977
During Performance Test
Performance Test of Portland Cement Sept. 1975
Plants
Periodic Check of Portland Cement Sept. 1975
Plant
Steam-Electric Generators-During Feb. 1975
Performance Test
Steam-Electric Generation -After Feb. 1975
Performance Test
Municipal Incinerators Checklist June 1973
Secondary Brass & Bronze
Ingot Production Plants
Secondary Lead Smelters
Basic Oxygen Process
Furnaces
Portland Cement Plants
Portland Cement Plants
Fossil-Fuel Fired Steam
Generators
Fossil-Fuel Fired Steam
Generators
Combustion & Incineration
Sources
(03/92)
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APPENDIX J
INVESTIGATION AUTHORITY/SUMMARY OF
MAJOR ENVIRONMENTAL ACTS
-------
J-l
Table 1
INVESTIGATION AUTHORITY UNDER THE MAJOR ENVIRONMENTAL ACTS
CAA-§
the Administrator or his authorized representative, upon presentation of his credentials - shall have a nght of entry to, upon or
through any premises of such person or in which any records required to be maintained are located, and may at reasonable times have
access to and copy any records, inspect any monitoring equipment and method and sample any emissions
CWA - § 3Q8(a)(4VB)
the Administrator or his authonzed representative upon presentation of his credentials - (i) shall have a nght of entry to, upon or
through any premises in which an effluent source is located or in which any records required to be maintained are located, and (li) may
at reasonable times have access to and copy any records, inspect any monitoring equipment or method. . any sample any effluents
which the owner or operator of such source is required to sample. . .."
RCRA - § 3007fa)
any such person who generates, stores, treats, transports, disposes of or otherwise handles or has handled hazardous wastes shall
upon request of any employee or representative of the Environmental Protection Agency. . furnish information relating to such
wastes and permit such person at all reasonable times to have access to, and to copy all records relating to such wastes."
such employees or representatives are authorized. . to enter at reasonable times any establishment or other place where
hazardous wastes are or have been generated, stored, treated or disposed of or transported from; to inspect and obtain samples from
any person of any such wastes and samples of any containers or labeling for such wastes "
-§9005(a)(1)
" . representatives are authorized . to enter, inspect and obtain samples
TSCA-S 11(aUb)
any duly designated representative of the Administrator, may inspect any establishment. . .in which chemical substances or
mixtures are manufactured, processed, stored or held before or after their distribution in commerce and any conveyance being used to
transport chemical substances, mixtures or such articles in connection with distribution in commerce. Such an inspection may only be
made upon the presentation of appropriate credentials and of a written notice to the owner, co-operator or agent in charge of the
premises or conveyance to be inspected "
FIFRA-§8and9
any person who sells or offers for sale, delivers or offers for delivery any pesticide. . shall, upon request of any officer or employee
of the Environmental Protection Agency .furnish or permit such person at all reasonable times to have access to, and to copy (1) all
records showing the delivery, movement or holding of such pesticide or device, including the quantity, the date of shipment and receipt.
and the name of the consignor and consignee. . . "
officers or employees duly designated by the Administrator are authonzed to enter at reasonable times, any establishment or other
place where pesticides or devices are held for distribution or sale for the purpose of inspecting and obtaining samples of any pesticides
or devices, packaged, labeled and released for shipment and samples of any containers or labeling for such pesticides or devices "
"Before undertaking such inspection, the officers or employees must present to the owner, operator or agent in charge of the
establishment. . appropriate credentials and a wntten statement as to the reason for the inspection, including a statement as to
whether a violation of the law is suspected."
employees duly designated by the Administrator are empowered to obtain and to execute warrants authorizing entry inspection
and reproduction of all records. . .and the seizure of any pesticide or device which is in violation of this Act."
SDWA-?1445
the Administrator, or representatives of the Administrator .upon presenting appropriate credentials and a written notice to
any. . .person subject to. . .any requirement. . .is authorized to enter any establishment, facility or other property. . .in order to
determine. . compliance with this title, including for this purpose, inspection, at reasonable times, of records, files, papers, processes,
controls and facilities or in order to test any feature of a public water system, including its raw water source."
CERCLA fSuperfundl - $ 104
-------
Table 2
SUMMARY OF FEDERAL ENVIRONMENTAL ACTS REGARDING RIGHT OF ENTRY, INSPECTIONS, SAMPLING, TESTING, ETC. V
. . ' i-j
Act/Section
Clean Water
Act - § 308(a)
FIFRA-§8(b)
(Books and
Records)
FIFRA - § 9(a)
(Inspections of
Establishments)
Clean Air Act -
§ 114(a)
RCHA
§ 3007(a)
§9005(a)
SDWA
§144 5(b)
TSCA-
§ IKa, b)
CEHCLA-
§104(e)
Designated
Representative
Yes, auth. by
Administrator
Yes, designated
by Administrator
Yes, designated
by Administrator
Yes, auth. by
Administrator
Yes, designated
by Administrator
Yes, designated
by Administrator
Yes, designated
by Administrator
Yes, designated
by President
Presentation
of Credentials
Required
Required
Required
Required
Not required
Required
Required
Not required
Notice of
Inspection
Not required
Written notice required
with reason and sus-
pected violation note
Written notice required
with reasons for
for inspection
Not required except
notify State for SIP
sources
Not required
Written notice required,
must also notify State
with reasons for entry if
State has primary
enforcement
responsibility
Written notice
required
Upon reasonable
notice for information
Sampling Inspection
Permitted of Records
Yes (effluents Yes
which the owner
is required to
sample)
Access and copy Yes
records
Yes See § 8
Yes Yes
Yes Yes
Yes Yes
(The Act does Yes
not mention sam-
ples or sampling
in this section. It
does stale an
inspection shall
extend to all things
within the premise
of conveyance.)
Yes Yes
Sample
Splits
Not required
N/A
Required, if
requested
Not required
Required, if
requested
Not required
N/A
Required, if
requested
Receipt Return of
for Agency's Analytical
Samples Results
Not required Not required
N/A N/A
Required Required,
promptly
Not required ' Not required
Required Required,
promptly
Not required Not required
N/A
IN/ rt
Required Required,
promptly
-------
APPENDIX K
EVIDENTIARY PROCEDURES FOR PHOTOGRAPHS/MICROFILM
-------
K-l
Appendix K
PHOTOGRAPHS
When movies, slides or photographs are taken which visually show
the effluent or emission source and/or any monitoring locations, they are
numbered to correspond to logbook entries. The name of the photographer,
date, time, site location and site description are entered sequentially in the
logbook as photos are taken. A series entry may be used for rapid sequence
photographs. The photographer is not required to record the aperture
settings and shutter speeds for photographs taken within the normal
automatic exposure range. Special lenses, films, filters, or other image
enhancement techniques must be noted in the logbook. Chain-of-custody
procedures depend upon the subject matter, type of film, and the processing
it requires. Film used for aerial photography, confidential information or
criminal investigations require chain-of-custody procedures. Adequate
logbook notations and receipts may be used to account for routine film
processing. Once developed, the slides or photographic prints shall be
serially numbered corresponding to the logbook descriptions and labeled.
MICROFILM
Microfilm is often used to copy documents that are or may later
become TSCA Confidential Business Information (CBI). This microfilm
must be handled in accordance with the TSCA CBI procedures (see
Appendix I for additional information and forms). Table C-l is the NEIC
procedure for processing microfilm containing TSCA CBI documents.
(03/92)
-------
K-2
Table K-l
NEIC PROCEDURE FOR MICROFILM
PROCESSING OF TSCA CBI DOCUMENTS
1. Kodak Infocapture AHU 1454 microfilm shall be used for filming all TSCA CBI
documents.
2. Obtain packaging materials and instructions from the NEIC Document Control
Officer or Assistant, including:
Preprinted shipping labels
Chain-of-custody records
Custody seals
Double envelopes
Green TSCA cover sheets
TSCA loan receipt
3. Prepare each roll of microfilm for shipment to the processor.
Enclose the film in double-wrapped packages
Place a green TSCA cover sheet in the inner package
Place a TSCA loan receipt in the inner package
Complete a Chain-of-Custody Record, place the white copy in the inner
package and keep the pink copy for the field files
Seal inner package with a custody seal and sign and date it
Mark the inner package:
"TO BE OPENED BY ADDRESSEE ONLY
TSCA CONFIDENTIAL BUSINESS INFORMATION"
4. Ship the film via Federal Express to the Springfield, Virginia Federal Express
office and instruct that it is to be held for pickup. USE SIGNATURE SECURITY
SERVICE ONLY.
This practice requires the courier to sign, the station personnel to sign, and the
delivery courier to sign.
Instruct the Springfield Federal Express office to hold the shipment for pickup and
to notify:
Mr. Vern Webb
U.S. EPA/EPIC
Vint Hill Farms Station
Warrenton, Virginia 22186
(730)557-3110
5. Telephone Mr. Webb and inform him of the date shipped, the number of rolls of
film, the air bill number, and your phone number.
6. Telephone the NEIC Document Control Officer or Assistant and inform them.
(03/92)
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K-3
7. Telephone Mr. Webb the following day and verify film quality to determine if
repeat microfilming is necessary.
8. The pink copy of the Federal Express form, with the shipment cost and project
number indicated, must be turned in to the Assistant Director, Planning and
Management. If you are in the field for an extended period of time (3 weeks or
more), the pink copies must be mailed to NEIC.
(03/92)
-------
APPENDIX L
KEY PRINCIPLES AND TECHNIQUES FOR INTERVIEWING
-------
L-l
KEY PRINCIPLES AND TECHNIQUES FOR INTERVIEWING
The list of principles and techniques presented below is intended to
highlight methods which can be used by auditors to conduct effective
interviews.
Planning the Interview
Iron out logistics
Define the desired outcome(s)
Organize thoughts and establish a general sequence for
questioning
Opening the Interview
Introduce yourself and the purpose of the interview
Ensure appropriateness of time
Explain how information will be used
Conducting the Interview
Request a brief overview of the interviewee's responsibilities
with respect to the audit topic(s)
Ask open-ended questions (e.g., "what" or "how"), not obvious
yes/no questions (e.g., "do you", etc.)
Follow-up on issues which are unclear
Avoid making assumptions
Avoid leading questions
Provide feedback to interviewee questions, as appropriate, to
ensure a level of responsiveness to the interviewee.
Tolerate silences in order to allow the interviewee to formulate
thoughts and responses
Closing the Interview
Do not exceed the agreed-upon time limit without getting
concurrence for an extension
End on a positive note
Summarize your understanding of key points discussed to
ensure accuracy
Documenting Interview Results
Establish the context of the interview (time, name of
interviewee, protocol step)
Take notes of key points during the interview (do not attempt a
verbatum transcript)
Summarize the outcome and overall conclusions at the end of
the audit
(03/92)
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L-2
Interpersonal Considerations
Use appropriate voice tone and inflection
Do not jump to conclusions
Interview Setting
Make sure the interviewee feels that there is sufficient privacy
When appropriate, conduct the discussion in the interviewee's
work area
Try to keep it "one-on-one"
Minimize distractions
Non-Verbal Communication
Shake hands
Maintain eye contact
Keep the right distance
Mirror the interviewee
(03/92)
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APPENDIX M
SAMPLING GUIDELINES
-------
M-l
Appendix M
SAMPLING GUIDELINES
The value of samples as evidence to document/support a violation is
contingent upon many factors including: (1) the method by which samples
are collected; (2) the selection of sample containers, preserving samples
after they are collected, and ensuring that proper holding times are
adhered to between sample collection and analysis; (3) the accuracy or
validity of field measurements that are taken in conjunction with that
sampling; (4) the adequate decontamination of field sampling equipment;
(5) the degree to which appropriate notes or other documentation pertaining
to sampling operations are logged in a notebook; and (6) the labeling of
samples and employing a suitable chain-of-custody system. Most of these
topics will be discussed in a relatively brief fashion in this section of the
document. For additional details, the reader should refer to any of the SOPs
currently being used by the Regions or NEIC. Other useful documents are
program specific sampling/analytical protocols, such as 40 CFR Part 136
(NPDES), SW 846 (RCRA), and the Technical Enforcement Guidance
Document (RCRA).
SAMPLE COLLECTION
Samples can generally be divided into two separate and distinct
categories: (1) environmental samples and (2) source or waste samples.
The collection of both will probably be necessary during most multi-media
inspections. Environmental samples can include surface/runoff water,
groundwater, sediment, surface wipes, soil, etc. Source or waste samples
can include discharges from permitted outfalls, PCB oil from electrical
equipment, RCRA regulated "hazardous waste", treatment residues,
leachate, etc. In the case of any toxic/hazardous materials, the inspectors
should make every effort to have the facility collect the sample for them.
Sampling of either category can be accomplished by collecting grab
samples, composite samples, or both. The type of sample ultimately
obtained will be predicated on satisfying a legal requirement such as a
permit which specifies a type of sample, laboratory requirements, or
ensuring that representativeness is achieved. A time-based composite
(03/92)
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M-2
sample will usually require the use of an automatic sampler set to collect a
series of discrete samples, over the time period of interest. A spatially-
based composite sample (actually a series of grab samples blended together)
and grab samples are collected by more conventional means and during a
much shorter time. Some type of dipper, scoop, auger, pump, corers, etc.
can be used to collect a grab sample.
Perhaps the two most important points the investigators should keep
in mind whenever sampling, are identifying precisely where the sample
will be collected and selecting the appropriate equipment to collect the
sample. From a collection standpoint, a sample must often be obtained
such that it is representative of the entire media. If the media is well mixed
and homogenous, a single sample will probably be adequate to ensure
representativeness. If it is not well mixed, the investigator will have to
collect several samples at different locations, and composite them on an
equally weighted or some other basis or have each of the discrete samples
analyzed. The total number of samples required will largely depend upon
the area/volume of the material and the degree of nonhomogeneity.
Normally in this case, the investigator will have to use a statistically
random process to determine where the samples should be collected.
Laying out some type of imaginary grid to encompass the media to be
sampled and randomly selecting specific elements for sampling is one
common method of ensuring that bias is not introduced and that no other
important statistic is compromised. In other cases, the inspector must rely
on a judgmental sampling approach, particularly in situations where a
worst case result is desired. In that situation, the inspector should look for
signs of discoloration, wetness, waste plumes or residue, dead vegetation,
odor, or some other physical attribute or apply knowledge of the situation
(i.e., judgment) in an attempt to identify exactly where constituent
concentrations are likely to be highest. Other items that must be considered
when selecting sampling sites are safety, convenience, and accessibility.
The investigators should not collect samples until they have adequate
knowledge of the site, through touring/observing, interviewing, etc. to make
prudent decisions regarding selection of sampling sites.
(03/92)
-------
M-3
The second important point the investigator should remember is to
use the proper equipment to physically collect the sample. The equipment
should either be unused or decontaminated to an extent that it cannot
impart any contamination to the sample itself. Moreover, it is important to
select sampling equipment made of the proper material. Wherever
possible, the material should be inert (i.e., teflon or stainless steel) and not
contain, as its principal constituents, any of the same constituents for
which the samples will be analyzed. Lastly, the element of safety should
not be overlooked. One key example would be where the investigators need
to sample a potentially hazardous waste from a 55-gallon drum. Opening
the drum must be carefully performed prior to sampling.
SAMPLE CONTAINERS. PRESERVATION METHODS. HOLDING
TIMES. BLANKS
In order for the samples to be properly analyzed in the laboratory, the
field investigators must follow certain accepted procedures relative to the
containers they use, the preservation of the samples at time of collection,
the holding time limits which dictate the quickness in which the samples
must be transported to the laboratory, and the use of field blanks for QA
purposes. Each of these procedures can vary from matrix to matrix,
parameter to parameter, and in some cases, from program to program.
All of this information pertaining to sample collection/handling is
summarized in the following two tables. One table corresponds to liquid
samples and the other to nonliquid samples.
FIELD MEASUREMENTS
The acquisition of field data is customarily required whenever
sampling is performed. A number of in situ monitoring devices/meters are
used for this purpose, each of which have certain applications and
limitations. These instruments are designed to withstand some rough
handling without affecting their stability or reliability. Parameters
normally measured in the field include but, are not limited to, dissolved
oxygen, pH, temperature, and chlorine residual.
(03/92)
-------
SAMflt Kll tUTION/HANDI IN<: KK)U I IU KIN I S j^ii«
SAMPUS
Sa*ple
Paraaeter Type
pactarioloaical
Col i fora, racal fc T Crab
inorganic
BOO
COD
TSS
not
Aaawnia
Mltrita
Mitrata
OrutoPnoapnorua
Total Phoaphorua
oil t Craaaa Crab
Suit Ida Grab
Cyanida T t Aaan Grab
Max chroma Grab
Maroury
Other Heavy Matala
Organic
Volatilaa Crab
Extract, P. P. a
Extract Past/Herb
Phenol a
PCB
TOC
Volatilaa Crab
Saal-Volatilea
Mercury
Other Matala
1 Teflon Lid Linara
1 To extraction
1 Check for Cl, Residual and S
Container
S i ze/Type
250 *1 P.G
sterilized
1000 ml
1000 *1
1000 ml
SI 000 !
1000 ml
1000 al
1000 Bl
1OOO !
1000 !
300 !
1000 ml
1000 Bl
1000 al
1000 Bl
3-40 al
P.
P,
P.
P.
P,
P.
P.
P.
C
G
P
P
P
P
G
G
G
C
' 1
c 3
c
c
c
only
vials'
Mini*u*
VoluBe
3/4
400
200
1OO
200
400
200
200
200
1000
5OO
300
500
500
40
lull
Bl
Bl
al
Bl
1
Bl
Bl
Bl
Bl
al
Bl
Bl
al
Bl
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
HMO,
HMO,
Cool
.
l°
«
*
*
*
*
9
t
»
t
Pieservation
4.C - O.2*
>, added in
4V
1, 10%
lab
4*C-HjSO to pH<2
4V
4V-H\SO4 to pH<2
4*CH2SOtto p»K2
4"C
4V
4V - H.SO
4V
4V - H^SOt
4V - H,S04
4V - Zinc
4°C ' MaOH
4'C
to pH<2
to pH<2
to pH<2
Acetate; NaOli to
to pH>12*
to pH<2
to pH<2
,
w/25
2-l/2ql
2-1/291
1-qt. C1
G(a*br)'
G(a*br)'
1-40*1 G-Vial*
1000 *1
3-40 Bl
P
G
Qt. Mason
1000 Bl
1000 Bl
P
P
vials'
Jar1
1000
1OOO
1000
2
200
40
5OO
500
500
1
1
Bl
I4
1
1
ml
ml
ml
ulfides (lead acetate paper).
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
Cool
.
t
4'C-HCI to
pll 2,Dechlor
*q/4O*l Ascorbic Acid
4"C-D«chlor
4*C-Dechlor
w/1.0 ml Na^O,
w/1.0 *1 Ma^O,
4V-HjS04 to pH<2
i
*
.
«
.
.
4'C
4*C-H1S04 to pH<2
4V
4'C
4*C
4V
Holding
Tl*es
D ""
48
28
7
28
28
48
48
28
48
28
28
pH>9 7
14
24
28
6
7
14
7
7
28
7
28
14
14
28
hr.
-hi .
day
day
day
day
hr
hr
day
hr
day
day
day
day
hr
day
o
day-Unpie:
day-Pres
day'
day1
day
day'
day
day'
day'
day'
180 day'
If Cl. is present, add ascorbic acid.
It sulfide lu pie
1leld (Al
Nullt)
Acid
None
Acid
Acid
Nona
Nuiie
Acid
Nona
Acid
Ac Id
Meld
NaUH
I- luld
Acid
Acid
J)
K1«: I d ( 1)
Acid
None
Acid
None
None
None
Noun
icmove with
cad*iu* nitrata powder, filter and pH - 12 with NaOH.
for oil sa*plaa only. Matar aaaples require 1OOO ml and can be collected in a
-------
*UB1*-£all*£ufl^^^
Parameter
Saeple
Type
coo
TKM
Total Phosphorus
Cyanide
Mercury
Other Heavy Natal*
Oroan|c,
Volatile*
Extract P.p.a
Extract Peat/Herb
Phenols
PCB
TCLf
Volatllas
Saai-Volatile*
Mercury
Other Natala
Crab
Crab
Crab
.Teflon Lid Liner
.To Extraction
.Pack Tightly
Container
Size/Type
__
a or
oz
or
oz.
a OS
OS
. glass jar*
. glass jar1
. glass jar1
. glass jar1
. glass jar1
. glaas jar1
2-40 ml G vials'
oz. glass jar1
os. glass Jar1
oz. glaaa jar1
os. glass Jar1
2-40
OZ.
oz.
a oz.
1 G Vials'
glass Jar1
glass jar1
glass jar1
NlnlBuai
VolUM
.
5 gr.
5 gr.
5 gr.
5 gr.
0.2 gr.
0.2 gr.
40 !*
10O gr.
100 gr.
100 gr.
10 gr.
40 !*
200 gr.-wet
)200 gr.-wat
)coai>ined
Preservation
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
Cool,
4° C
4* C
4" C
4* C
4* C
4* C
4 C
4 C
4 C
4 C
4 C
4" C
4° C
4- C
4" C
Holding
Tiaeti
28 day:,
28 day*
2U dayi.
14 day*
28 days
6 MOK.
'I dayu
10 dayi,'
10 day:,'
28 days
10 days'
14 days'
M days'
28 days'
180 day*'
111 cinkt>
None
None
None
Nona
None
Nona
Meld
None
None
None
None
None
None
None
None
-------
M-6
The instruments most often utilized in the field are listed below:
HNU PI-101
Foxboro OVA-108
Foxboro OVA-128
Sampler, Discrete
Manning
Sampler, Discrete
Microprocessor,
Manning
Meter, pH
loananalyzer,
Portable, Beckman
Meter, pH and Temp.
Recording Analytical
Measurements
Meter, pH Recording
Remote Sampling
Analytical
Measurements
Meter, Conductivity
Geonics
Apparatus, Breathing
SCBA, MSA
Apparatus, Breathing
Umbilical, MSA
Apparatus, Breathing
Umbilical, Survivar
Apparatus, Breathing
60 min/Biopack
Ultrasonic Level/
Flow, Manning
Analyzer, Engine
Exhaust, Chrysler
Corporation
Fluorometer, High
Volume, Turner
Flowmeter, Dipper
Manning
Sampler, Source,
Stack, Misco
Sampler, Source,
Stack, Scientific
Glass
Meter, Watr Current,
Marsh, McBirney
Fishing Equipment
Shocker, Coffelt
Electronics
Locator, Cable
Magnetic, Brunson
Instruments
Calibrator, Digital
0-20 OSL, Kurtz
Calibrator, Digital
0-15 SLPM, Kurtz
FIT Testing Apparatus,
Portacount
Calibrator, High
Volume, Kurtz
Sampler, Discrete
Microprocessor, ISCO
Flow Meter, ISCO
Flow Metering Inserts,
ISCO
Geiger Counter Ludlum
Gas Detector, HCN
Bayer Diagnostic
Gastech, Personal
Model 6X91
Gastech, Personal
Model 6X86
Photoionization
Detector, Micro
Tip, HL-200
High Volume Air
Sampler
Low Volume Air
Sampler
Portable Generator
EMS4000, Honda
Well Sampler
Pneumatic Pump
Recorder, Sound
Ultrasonic, Level
Well Depth Sounder
Conductivity Meter
ORSAT Analyzer
Stack Gas
(03/92)
-------
M-7
Although the above parameter-specific instruments, or their
equivalent, should be used almost exclusively, field personnel may
occasionally utilize a multi-parameter instrument for the measurement of
all the above mentioned parameters with the exception of chlorine residual.
The instrument is manufactured by the Hydrolab Corporation and is
designed specifically for use in the "field."
Proper calibration of these instruments is considered an essential
ingredient of the measurement process to ensure the collection of valid
"field" data. In general, these instruments are calibrated according to the
manufacturer's recommended procedures. The pH meter, dissolved
oxygen meters, and the colorimeters are normally calibrated daily in the
field, just prior to use. Calibration of these instruments, according to the
manufacturer's specifications, is normally sufficient to ensure the
collection of valid data even when taking a number of measurements.
However, if in the field inspector's judgment, a drastic change in the field
conditions occurs or if an instrument is subjected to other than normal
handling, the instrument should be recalibrated. The only exception to the
above procedures is that the multi-parameter instrument (Hydrolab) should
only be calibrated in a laboratory environment, just prior to being utilized in
the "field."
EQUIPMENT DECONTAMINATION
When possible, the investigators should use new disposable sampling
utensils such as plastic scoops, stainless steel spatulas, glass colowassas or
laboratory cleaned glass jars, since no additional decontamination is
needed for this equipment. Nonexpendable equipment must be
decontaminated before and after each use. This equipment includes, but is
not limited to, shovels, teflon bailers, soil augers (powered and hand
operated), soil probes, buckets, automatic samplers, etc. The portion of
these sampling devices that come in direct contact with the sample must be
washed with a soapy water solution, using a non-phosphate laboratory
cleaner and vigorous scrubbing (scrub brush). The equipment may require
disassembly to ensure that contamination is removed from all surfaces.
Two tap water rinses follow. A third and final rinse should consist of
(03/92)
-------
M-8
laboratory deionized organic free water. In order to reduce the likelihood of
cross-contamination due to equipment, sampling should proceed from
cleanest areas first to dirtiest areas last, whenever possible. Between
sampling stations, the equipment is decontaminated, as described above.
At some point during the sampling effort, deionized organic free lab water
should be passed through or over the newly decontaminated sampling
equipment and then sampled to ensure that the decontamination procedure
was effective. This so-called equipment blank should be preserved,
returned to the laboratory using appropriate chain-of-custody procedures,
and analyzed for the same parameters as the actual samples. The above
decontamination procedure can be modified for specific parameters and
conditions, if deemed necessary by the team leader.
Solvents should only be used if proper decontamination cannot be
obtained with soapy water (e.g., heavy petroleum products) or if specifically
requested. If a solvent is used, the laboratory analyzing the samples should
be consulted to ensure the solvent of choice will not interfere with the
analytical procedure or mask the results.
SAMPLE LOGGING
A sample log should be maintained in a bound log book which
documents all samples that are collected. This log should include a unique
sample number (if needed), date, time, sample medium (soil, liquid, etc.),
preservative (if any), parameters, and location. Included with the log are
any observations made by the sampler that would otherwise identify the
sample or conditions at the time of sampling. If photographs are taken,
that should also be noted in the field log book.
SAMPLE SPLITTING
Often, it will be necessary to collect duplicate samples or to split a
sample in order to provide the facility with a separate sample it can analyze
on its own. In these situations, every effort should be made to ensure that
both samples are as identical as possible and should theoretically yield the
same results. Bulk samples (liquid) for parameters such as extractable
(03/92)
-------
M-9
organics, cyanide, nutrients, PCS, metals, etc. may be collected in a larger
container and alternately poured into the appropriate sample containers.
However, the liquid should be well mixed during the transfer. EPA
normally provides the sample containers.
Certain parameters may not be split using the above method (e.g.,
volatile organics, semi-volatiles, and oil and grease) since these samples
must be collected and analyzed in their original container. This type of
sample should not be distributed by splitting since it may cause air
stripping of the volatiles or, in the case of the oil and grease, a residue may
adhere to the sample container and cause an erroneous measurement.
These parameters will necessitate collecting duplicate samples, virtually at
the same time and at the same place to assure homogeneity.
Samples of solid matrices such as sludge, soil, or sediment may be
placed into a sufficiently large container and either hand agitated and/or
mechanically mixed with a blender, etc. to achieve a homogenous
consistency, except for volatile or semi-volatile analyses. Individual
samples may then be placed in the appropriate containers.
Wipe samples (PCB), due to their nature, must be collected
immediately adjacent to each other with each party receiving a separate
sample.
CHAIN-OF-CUSTODY
Since there are legal implications when sampling data is used as
evidence, EPA must be able to demonstrate that the samples were protected
from tampering from the time of collection to the time they are introduced
as evidence. This demonstration is based on samples being in the
possession or custody of an EPA employee at all times, and it is documented
by means of a chain-of-custody record. Custody implies both physical
possession as well as controlled access by locking in a secured area. The
chain-of-custody record indicates who had possession at any given point in
time and how and when transfer of custody from one individual to another
occurred.
(03/92)
-------
M-10
Each sample container should be affixed with a sample tag to ensure
chain-of-custody from the sample location to the laboratory (see next section
for further details). The tag contains the sample location, the sampler's
signature, preserved (Y or N), parameter(s), and sample type (composite or
grab) and it must be completely filled out using waterproof ink.
Pressure sensitive tape affixed to the container may also be used
under certain circumstances to identify the sample. Ink used to write on
the container must be waterproof. At a minimum, the label must contain
the following information: location, date, time, sample number (if needed),
and preservative used. The sampler should be certain that the label is
securely affixed to the outside of the container and will not peel off during
shipment.
The chain-of-custody record is comprised of sample tags and the
record form itself. Both of these are shown on the following pages. A
sample tag should be completed for each sample by the field sampler using
waterproof ink, if possible. It should be affixed to the sample container in a
secure manner. The field sampler should also complete the chain-of-
custody record form, appropriately describing all samples that he/she was
responsible for collecting. The same wording must be used on both the tag
and form, and care must be exercised to make sure that all the information
in the chain-of-custody record corresponds properly without discrepancies.
While the samples are in his/her custody, all necessary precautions should
be taken by the field sampler to ensure that they are adequately
safeguarded. Whenever the possession of samples is transferred, the
individuals relinquishing and receiving will sign, date, and note the time
on the record. The record will continue to accompany the samples. At the
completion of the process, a copy of all of the chain-of-custody records will
be provided to the team leader for filing.
TRANSPORTATION
All samples will be properly packed in suitable ice chests and
transported back to the Regional Laboratory via vehicle or private transport.
Chain-of-Custody record forms should also be affixed to the ice chests. The
(03/92)
-------
M-ll
inspectors should always lock the vehicles in which samples are being
transported. There may be times when DOT regulations will have to be
followed. At least one member of the inspection team should review the
DOT requirements prior to an inspection, and make certain that they are
complied with in cases where samples are unusually hazardous or travel
through tunnels or if confined/special areas are encountered.
(03/92)
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Building 53, Box 25227, Denver Federal Center
Denver, Colorado 80225
vvEPA
O
project Code
z
1
1 \ ) -?
^
CX>
CT
3
5T
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Station No.
Month/Day/Year
Station Location
3D
OD
3
5
CD
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-------
Office of Fnfi>i(.ernenl
CHAIN OF CUSTODY RECORD
IMM I K JIM ML LINir UHULMMM I IIM V I S I H j A I K )NS Ct N I I H
Buildmi) 5J, Box 25227, Denver I eder.il 1,'enlci
Denver, 0011)1,1(1080226
>ROJ NO.
B31
PROJECT NAME
SAMPLERS (Signature!
STA NO
DATE
TIME
STATION LOCATION
NO
OF
CON
TAINERS
REMARKS
Relinquished by (Signature)
Relinquished by
Relinquished by (Signature!
Date / Time
Date / Time
Date /Time
Received by /Signature)
Received by (Signature)
Received for Laboratory by
(Signature)
Relinquished by (Signature)
Relinquished by (Signature)
Date /Time
[Jr. I nl HI 11 (in Oi ii|i ii,il Ac i oiM|>,imt>s Shipment, Copy ID CCHM ,lin,ili>t f irld ( ill-.,
Date / Time
Date / Time
Received by (Signature!
Received by
Remarks
W 1 1 7Q
-------
APPENDIX N
LAND DISPOSAL RESTRICTIONS PROGRAM
-------
N-l
Appendix N
LAND DISPOSAL RESTRICTIONS PROGRAM
RASTC PROGRAM
Land Disposal Restrictions (LDR), 40 CFR 268, are phased
regulations prohibiting land disposal of hazardous waste unless that waste
meets the applicable treatment standards.* Land disposal includes but is
not limited to placement in a landfill, surface impoundment, waste pile,
injection well, land treatment facility, salt dome formation, salt bed
formation, underground mine or cave, or placement in a concrete vault or
bunker intended for disposal purposes. The applicable treatment standards
are expressed as either concentrations of contaminants in the extract or
total waste and as specified technologies.
The schedule for the different groups of waste is:
Solvents and Dioxins: banned from land disposal (unless
treated) effective November 8, 1986 and November 8, 1988,
respectively
"California List" Waste: This group includes liquid wastes
containing metals, free cyanides, polychlorinated biphenyls,
corrosives (pH less than 2.0) and certain wastes containing
halogenated organic compounds. Solid hazardous waste
containing halogenated organic compounds are also included.
These wastes were banned effective July 8, 1987
"First, Second, and Third Third" Wastes: The remaining
listed and characteristic wastes** were divided into thirds (see
40 CFR 268 for specific waste groupings). The first third
wastes were banned effective August 8, 1988, second third
June 8 1989 and the third third May 8,1990.
* 40 CFR 268.40, 41, 42, and 43 contain the treatment standards.
* * 40 CFR 261 defines listed and characteristic wastes.
(03/92)
-------
N-2
Newly Listed Wastes: New wastes that become listed after
November 8, 1984 will be banned on a case-by-case basis. There
is no statutory deadline for determining treatment standards.
The effective dates for banning these wastes from land disposal can be
modified by several kinds of variances. 40 CFR 268, Appendix VII includes
all of the different effective dates for each type of waste. Effective dates can
be modified by any of the following:
National capacity variance
Case-by-case extension
Treatability variance
Equivalent method variance
No-migration petition
Surface impoundment exemption
Generators of restricted waste are required to:
Determine whether they generate restricted wastes
Determine waste treatment standards
Determine whether waste exceeds treatment standards
Provide for appropriate treatment and/or disposal
Satisfy documentation, recordkeeping, notification, certifica-
tion, packaging, and manifesting requirements
Meet applicable requirements if the generator is or becomes a
TSDF
Treatment, storage, and disposal facilities are required to:
Ensure compliance with generator recordkeeping require-
ments when residues generated from treating restricted
wastes are manifested off-site
Certify that treatment standards have been achieved for
particular wastes prior to disposal
(03/92)
-------
N-3
To become familiar with all of the requirements of LDR, refer to
40 CFR 268 and the Land Disposal Restrictions - Summary of
Requirements, OSWER 9934.0-lA, February 1991 for a complete discussion.
EVALUATING COMPLIANCE
LDR requires substantial documentation certifying waste types,
required treatment, and notifying waste handlers of the regulatory
requirements. Interviews and field observations also may be helpful.
Interviews may cover:
Who fills out the LDR notifications and certifications
Frequency of sampling and methods used for sampling and
analysis
Documentation required to be kept by a generator include:
LDR notifications and certifications
Waste analysis plan if treating a prohibited waste in tanks or
containers
Documentation required for TSDFs include:
Storage
Waste analyses and results
Waste analysis plan (provision for determining whether
a waste is prohibited)
Treatment
Waste analysis plan
(03/92)
-------
N-4
Land Disposal Facility
Generator and treatment facility notifications and
certifications
Waste analysis plan
Field/visual observations related to LDR requirements can be
incorporated into a general storage facility inspection. LDR wastes cannot
be stored longer than 1 year unless the facility can show that the storage is
solely for the purpose of accumulation of sufficient quantities of hazardous
waste necessary to facilitate proper recovery, treatment, or disposal.
Wastes that are placed in storage prior to the effective date of the
restrictions for that waste are not subject to the LDR restrictions on storage.
A quick check of accumulation dates on labels will determine how long a
drum has been in storage. Be sure to note the hazardous waste number.
Refer to the Land Disposal Restrictions - Inspection Manual, OSWER
9938.1A, February 1989, for a complete discussion on how to conduct an
LDR inspection. Keep in mind that this document has yet to be updated
with information regarding the Third Third wastes.
(03/92)
-------
APPENDIX 0
SOURCES SUBPART (40 CFR PART 60) EFFECTIVE DATE OF
STANDARD AIR POLLUTANTS SUBJECT TO NSPS
NSPS SOURCES REQUIRING GEM
SOURCES SUBJECT TO TITLE 40 CFR PART 61 NATIONAL EMISSIONS
STANDARDS FOR HAZARDOUS AIR POLLUTANTS
LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER
AIR TOXICS PROGRAM
-------
O-l
Table 1
SOURCES SUBPART(40 CFR Part 60)
EFFECTIVE DATE OF STANDARD AND POLLUTANTS SUBJECT TO NSPS
Source
Fossil-fuel-fired steam generators
constructed after August 17, 1971
Fossil -fuel-fired steam generator
constructed after September 18, 1978
Industrial-Commercial-Institutional steam generat-
ing units constructed after June 19, 1984
Municipal incinerators
Portland cement plants
Nitric acid plants
Sulfuric acid plants
Asphalt concrete plants
Petroleum refineries
Storage vessels for petroleum liquids
Volatile organic liquid storage vessels
Secondary lead smelters
Secondary brass and bronze ingot production plants
Iron and steel plants (basic oxygen furnace)
Iron and steel plants (secondary emissions from
oxygen furnaces)
Sewage treatment plants (incinerators)
Primary copper smelters
TV- . -i
Primary zinc smelters
Primary lead smelters
Primary aluminum reduction plants
Phosphate fertilizer industry
(listed as five separate categories)
Coal preparation plants
Ferro-alloy production facilities
Steel plants (electric arc furnaces)
Steel plants, electric arc furnaces and argon-
oxygen decarburization vessels
Kraft pulp mills
Glass plants
Grain elevators
Metal furniture surface coating
Stationary gas turbines
T ' 1
Lime plants
Lead acid battery plants
Metallic mineral processing plants
Auto and light-duty truck, surface coating operation
Phosphate rock plants
Ammonium sulfate plants
Graphic arts industry
Pressure sensitive tape manufacturing
Appliance surface coating
Metal coil surface coating
Subpart
D
Da
Db
E
F
H
I
J
K
Ka
Kb
L
M
N
Na
O
P
Q
R
S
TUV
wx
Y
Z
AA
AAa
BB
CC
DD
EE
GG
HH
KK
LL
MM
NN
PP
QQ
RR
SS
TT
Effective Date
August 17, 1971
September 18, 1978
June 19, 1984
August 17, 1971
August 17, 1971
G
August 17, 1971
June 11, 1973
June 11, 1973
June 11, 1973
May 18, 1978
July 23, 1984
June 11, 1973
June 11, 1973
June 11, 1973
January 20, 1983
June 11, 1973
October 16, 1974
October 16, 1974
October 16, 1974
October 23, 1974
October 22, 1974
October 24, 1974.
October 21, 1974
October 21, 1974
August 17, 1983
September 24, 1976
June 15, 1979
August 3, 1978
November 28, 1980
September 24, 1976
May 3, 1977
January 14, 1980
August 24, 1982
October 5, 1979
September 21, 1979
February 4, 1980
October 28, 1980
December 30, 1980
December 24, 1980
January 5, 1981
Pollutant
Particulate matter, sulfur dioxide,
nitrogen oxides
Particulate matter, sulfur dioxide,
nitrogen dioxide
Particulate matter, sulfur dioxide,
nitrogen oxides
Particulate matter
Particulate matter
August 17, 1971
Sulfur dioxide, acid mist
(sulfuric acid)
Particulate matter
Particulate matter,
carbon monoxide,sulfur dioxide
VOC
VOC
VOC
Particulate matter
Particulate matter
Particulate matter
Particulate matter
Particulate matter
Particulate matter, sulfur dioxide
Particulate matter, sulfur dioxide
Particulate matter, sulfur dioxide
Fluorides
Fluorides
Particulate matter
Particulate matter,
carbon monoxide
Particulate matter
Particulate matter
Particulate matter, TRS
Particulate matter
Particulate matter
VOC
Nitrogen oxides, sulfur dioxide
Particulate matter
Lead
Particulate matter
VOC
Particulate matter
Particulate matter
VOC
VOC
VOC
VOC
(03/92)
-------
0-2
Table 1 (cont.)
SOURCES SUBPART (40 CFR Part 60)
EFFECTIVE DATE OF STANDARD AND POLLUTANTS SUBJECT TO NSPS
Source
Subpart Effective Date
Pollutant
Asphalt roofing plants
Synthetic organic chemicals
Beverage can surface coating
Bulk gasoline terminal
New residual wood heaters
.Rubber tire manufacturing industry
VinyL/urethane coating
Petroleum refineries
Synthetic fiber plants
Synthetic organic chemicals
(air oxidation unit processes)
Petroleum dry cleaners
Onshore natural gas processing plants
Onshore natural gas processing plants ,
Synthetic organic chemicals (distillation operations)
Nonmetallic mineral processing plants
Wool fiberglass insulation manufacturing plants
Petroleum refineries (wastewater systems)
Magnetic tape coating
Industrial surface coating, plastic parts for
business machines
Polymeric coating of supporting substrates facilities
UU November 18, 1980;
May 26, 1981
W January 5, 1981
WW November 26, 1980
XX December 17, 1980
AAA July 1,1988
BBS January 20, 1983
FFF January 18, 1983
GGG January 4,1983
HHH November 23, 1982
m October 21, 1983
JJJ September 21, 1984
KKK June 24, 1985
LLL October 1985
NNN December 30, 1983
OOO August 1, 1985
PPP February 25, 1985
QQQ May 4, 1987
SSS January 22, 1986
TTT January 8, 1986
VW April 30,1987
Particulate matter
Performance standards
VOC
VOC
Particulate matter
VOC
VOC
Performance standards
VOC
VOC
VOC
VOC
S02
VOC
Particulate matter
Particulate matter
VOC
VOC
VOC
VOC
(03/92)
-------
0-3
Table 2
NSPS SOURCES REQUIRING GEM
Source
Fossil-fuel-fired steam generator
Fossil-fuel-fired electric utilities
Nitric acid plants
Sulfuric acid plants
Petroleum refineries (FBCCU)
Glaus sulfur recovery unit
Primary copper smelters
Primary zinc smelters
Primary lead smelters
Ferroalloy production facilities
Electric arc furnaces
Kraft pulp mills
Lime manufacturing plants
Phosphate rock plants
Subpart
D
Da
G
H
J
J
P
Q
R
Z
AA
BB
HH
NN
Effective Date
08/17/71
09/18/78
08/17/71
08/17/71
06/11/73
10/04/76
10/16/74
10/16/74
10/16/74
10/21/74
10/21/74
09/24/76
05/03/77
09/21/79
Monitor
opacity, SO-2,
NOX, 02 or C02
opacity, SO2,
NOX, O2 or C02
NOX
S02
opacity, CO,
SO2) H2S
opacity, CO,
S02, H2S
opacity, SO2
opacity, SO2
opacity, S02
opacity
opacity
opacity, TRS
opacity
opacity
Flexible vinyl and urethane
coating and printing
Onshore natural gas processing
plants
FFF
01/18/83
voc
LLL 10/01/85 SO^/TRS
(03/92)
-------
0-4
Table 3
SOURCES SUBJECT TO TITLE 40 CFR PART 61
NATIONAL EMISSIONS STANDARDS FOR HAZARDOUS AIR
POLLUTANTS
Pollutant
Subpart
Source
Radon-222
Beryllium
Beryllium
Mercury
Vinyl chloride
Radionuclides
Radionuclides
Benzene (leaks)
Radionuclides
Benzene
Asbestos
Inorganic arsenic
Inorganic arsenic
Inorganic arsenic
B
C
D
E
H
I
K
L
M
N
0
P
Underground uranium mines
Extraction plants
Ceramic plants
Foundries
Incinerators
Machine shops
Rocket motor firing
Ore processing plants
Chlor-alkali plants
Sludge incinerators
Sludge drying plants
Ethylene dichloride plants
Vinyl chloride plants
Polyvinyl chloride plants
DOE facilities
Facilities licensed by the Nuclear
Regulatory Commission and
Federal facilities not covered by
Subpart H
Equipment in benzene service
(plants designed to produce more
than 1,000 megagrams of benzene
per year)
Elemental phosphorus plants
Coke by-product recovery plants
Asbestos mills
Manufacturing
Demolition and renovation
Spraying
Fabrication
Waste disposal
Glass manufacturing plants
Primary copper smelters
Arsenic trioxide and metallic
arsenic production facilities
(03/92)
-------
0-5
Table 3 (cont.)
SOURCES SUBJECT TO TITLE 40 CFR PART 61
NATIONAL EMISSIONS STANDARDS FOR HAZARDOUS AIR
POLLUTANTS
Pollutant
Subpart
Source
Radon-222
Radon-222
Radon-222
Volatile hazardous air
(VHAP)*
Radon-222
Benzene
Benzene
Benzene
Q
R
T
V
W
Y
BB
FF
DOE facilities
Phosphogypsum stacks
Disposal sites of uranium mill
tailings
Equipment leaks (fugitive
pollutants emission sources)
Licensed uranium mill tailings
Benzene storage vessels
Benzene transfer operations
Benzene waste operations
Volatile hazardous air pollutant (VHAP) means a substance regulated under this
part for which a standard for equipment leaks has been proposed and promulgated.
As of February 1, 1989, benzene and vinyl chloride are VHAPs.
(03/92)
-------
0-6
Table 4
LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM
CAS
Number
75070
60355
75058
107028
79061
79107
107131
107051
92671
62533
90040
1332214
71432
92875
98077
100447
92524
117817
542881
75252
106990
156627
105602
133062
63252
75150
56235
463581
120809
133904
57749
7782505
79118
532274
108907
510156
Chemical name
Acetaldehyde
Acetamide
Acetonitrile
Acetophenone
2-Acetylaminofluorene
Acrolein
Acrylamide
Acrylic acid
Acrylonitrile
Allyl chloride
4-Aminobiphenyl
Analine
o-Anisidine
Asbestos
Benzene (including benzene from
gasoline)
Benzidine
Benzotrichloride
Benzyl chloride
Biphenyl
Bis(2-ethylhexyl)phthalate (DEHP)
Bis(chloromethyl)ether
Bromoform
1,3-Butadiene
Calcium cyanamide
Caprolactam
Captan
Carbaryl
Carbon disulflde
Carbon tetrachloride
Carbonyl sulfide
Catechol
Chloramben
Chlordane
Chlorine
Chloroacetic acid
2-Chloroacetophenone
Chlorobenzene
Chlorobenzilate
CAS
Number
67663
107301
126998
1319773
95487
108394
106445
98828
93747
3547044
334883
132649
96128
84742 '
106467
91941
111444
542756
62737
111422
121697
64675
119904
60117
119937
79447
68122
57147
13113
77781
534521
51285
121142
123911
122667
106898
106887
140885
Chloroform
Chloromethyl methyl ether
Chloroprene
Cresols/cresylic acid (isomers and
mixture)
o-Cresol
m-Cresol
p-Cresol
Cumene
2,4-D, salts and esters
DDE
Diazomethane
Dibenzofurans
l,2-Dibromo-3-chloropropane
Dibutylphthalate
l,4-Dibhlorobenzene(p)
3,3-Dichlorobenzidene
Dichloroethyl ether [Bis(2-chloroethyl)
ether]
1,3-Dichloropropene
Dichlorvos
Diethanolamine
N,N-Diethyl aniline
(N,N-Dimethylaniline)
Diethyl sulfate
3,3-Dimethoxybenzidine
Dimethyl aminoazobenzene
3,3'-Dimethyl benzidine
Dimethyl carbamoyl chloride
Dimethyl formamide
1,1-Dimethyl hydrazine
Dimethyl phthalate
Dimethyl sulfate
4,6-Dinitro-o-cresol
2,4-Dinitrophenol
2,4-Dinitrotoluene
l,4-Dioxane(l,4-Diethyleneoxide)
1,2-Diphenyl hydrazine
Epichlorohydrin( l-Chloro-2,3-
epoxypropane)
1,2-Epoxybutane
Ethyl acrylate
(03/92)
-------
o--
Table 4(cont.)
LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM
CAS
Number
100414
51796
75003
106934
107062
107211
15164
96457
75343
50000
76448
118741
87683 '
77474
822060
680319
110543
302012
7647010
7664393
7783064
123319
78591
58899
108316
67561
72435
74839
74873
71556
78933
60344
74884
108101
624839
Chemical name
Ethyl benzene
Ethyl carbamate (Urethane)
Ethy chloride (Chloroethane)
Ethylene dibromide (Dibromoethane)
Ethylene dichloride
(1,2-Dichloroethane)
Ethylene glycol
Ethylene iminie (Aziridine)
Ethylene oxide
Ethylene thiourea
Ethylidene dichloride
(1,1-Dichloroethane)
Formaldehyde
Heptachlor
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorocyclopentadiene
Hexachloroethane
Hexamethylene-l,6-diisocyanate
Hexamethylphosphoramide
Hexane
Hydrazine
Hydrochloric acid
Hydrogen fluoride (Hydrofluoric acid)
Hydrogen sulfide^
Hydroquinone
Isophorone
Lindane (all isomers)
Maleic anhydride
Methanol
Methoxychlor
Methyl bromide (Bromomethane)
Methyl chloride (Chloromethane)
Methyl chloroform
(1,1,1-Trichloroethane)
Methyl ethyl ketone (2-Butanone)
Methyl hydrazine
Methyl iodide (lodomethane)
Methyl isobutyl ketone (Hexone)
Methyl isocyanate
CAS
Number
80626
101144
75092
101688
101779
1634044
91203
98953
92933
100027
79469
684935
62759
59892
56382
82688
87865
108952
106503
75445
7803512
7723140
85449
1336363
1120714
57578
123386
114261
78875
75569
75558
106514
100425
96093
1746016
79345
Chemical Name
Methyl methacrylate
4,4-Methylene bis(2-chloroaniline)
Methylene chloride (Dichloromethane;
Methylene diphenyl diisocyanate
(MDI)
4,4'-Methylenedianiline
Methyl tert-butyl ether
Naphthalene
Nitrobenzene
4-Nitrobiphenyl
4-Nitrophenol
2-Nitropropane
N-Nitroso-N-methylurea
N-Nitrosodimethylamine
N-Nitrosomorpholine
Parathion
Pentachloronitrobenzene
(Quintobenzene)
Pentachlorophenol
Phenol
p-Phenylenediamine
Phosgene
Phosphine
Phosphorus
Phthalic anhydride
Polychlorinated biphenyls (Aroclors)
.,3-Propane sultone
beta-Propiolactone
Propionaldehyde
Propoxur (Baygon)
Propylene dichloride
(1,2-Dichloropropane)
Propylene oxide
1,2-Propylenimine (2-Methyl
aziridine)
Quinoline
Quinone
Styrene
Styrene oxide
2,3,7,8-Tetrachlorodibenzo-p-dioxin
1,1,2,2-Tetrachloroethane
(03/92)
-------
0-8
Table 4 (cont.)
LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM
CAS
Number
127184
7550450
108883
95807
584849
95534
8001352
120821
79005
79016
95954
88062
121448
1582098
540841
108054
593602
75014
75354
1330207
95476
108383
106423
Chemical name
Tetrachloroethylene
(Perchloroethylene)
Titanium tetrachloride
Toluene
2,4-Toluene diamine
2,4-Toluene diisocyanate
o-Toluidine
Toxaphene (Chlorinated camphene)
1,2,4-Trichlorobenzene
1,1,2-Trichloroethane
Trichloroethylene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
Triethylamine
Trifluralin
2,2,4-Trimethylpentane
Vinyl acetate
Vinyl bromide
Vinyl chloride
Vinylidene chloride
(1,1-Dichloroethylene)
Xylenes (isomers and mixtures)
o-Xylenes
m-Xylenes
p-Xylenes
CAS
Number
Chemical Name
Antimony compounds*
Arsenic Compounds (inorganic
including arsine)*
Beryllium compounds*
Cadmium compounds*
Chromium compounds*
Cobalt compounds*
Coke oven emissions
Cyanide Compounds ^
Glycol ethers* ^
Lead Compounds*
Manganese Compounds*
Mercury Compounds*
Fine mineral fibers^
Nickel compounds*
Polycrylic Organic Matter1*
Radionuclides (including radon)^
Selenium Compounds*
Unless otherwise specified, these listings are defined as including any unique chemical substance
that contains the named chemical (i.e., antimony, arsenic, etc.) as part of the chemical's
infrastructure.
(03/92)
-------
APPENDIX P
TSCA FORMS
-------
p-1
Appendix P
CONFIDENTIALITY NOTES AND DISCUSSIONS
The TSCA Notice of Inspection [Figure L-l] and Inspection
Confidentiality Notice [Figure L-2] are presented to the facility owner or
agent in charge during the opening conference. These notices inform
facility officials of their right to claim as confidential business information
any information (documents, physical samples, or other material) collected
by the inspector.
Authority to Make Confidentiality Claims
The inspector must ascertain whether the facility official, to whom
the notices were given, has the authority to make business confidentiality
claims for the company. The facility official's signature must be obtained at
the appropriate places on the notices certifying that he does or does not have
such authority.
The facility owner is assumed to always have the authority to
make business confidentiality claims. In most cases, it is
expected that the agent in charge will also have such
authority. It is possible that the officials will want to consult
with their attorneys (or superiors in the case of agents in
charge) regarding this issue.
If no one at the site has the authority to make business
confidentiality claims, a copy of the TSCA Inspection
Confidentiality Notice and Notice and Declaration of
Confidential Business Information form [Figure L-3] are to be
sent to the chief executive officer of the firm within 2 days of the
inspection. He will then have 7 calendar days in which to
make confidentiality claims.
The facility official may designate a company official, in
addition to the chief executive officer, who should also receive a
copy of the notices and any accompanying forms.
(03/92)
-------
^^ ^kJ^ WASHINGTON. 00 20460 40 -r~j~or^^
^"^ »*Mp^ TOXIC SUBSTANCES CONTROL ACT f^Tj T' X' "'' '
^^" ** MOTICE OF INSPECTION
DATE INSPECTOR NO DAILY SEQ.NC
4 (\S?:CToR ADDRESS
3 FIRM NAVE
REASON FOR INSPECTION
Under the authority of Section 1 1 of the Toxic Substances Control Act .
For the purpose of nspecting (including taking sam
ment, facility, or other premises in wh'Ch chemical
essed or stored, or held before or after their distnbu
facilities) and any conveyance being used to transpo
with their distribution in commerce (including reco
requirements of the Act applicable to the chemical
conveyance have been compl ed with.
pies, ohotograohs, statements, and other ospecvon act ;.t,es a:- estr.: .-
uostarces or mixtures or articles containing same are manu'ac:^'-: c-:c
tion n commerce (including records, files, pacers, orocesses corf- ; 3-0
ds, f;ies, papers, processes, controls, and facilities) oeanng on
-------
US ENVIRONMENTAL. 3t>CTEC"" ON -»j£NCv
^Sk VMHi^ m WASHINGTON 3C 2O160 -,-"- -jcr;,»?
Uf\ ;we v; :c "j xc '
^V^V^V^^A TOXIC SUBSTANCES CONTROL ACT fo/^sjj-^
^^"1 ^* TSCA INSPECTION CONFIDENTIALITY NOTICE
1 INVESTIGATION IDENTIFICATION
DATE 'INSPECTOR NO |OAIL.YSEQ. NO
i
3 INSPECTOR NAME
5 INSPECTOR ADDRESS
2 FIRM NAME
4 SIPM ADDRESS
6. CHIEF EXECUTIVE OFFICER NAME
7 TITLE
TO ASSERT A CONFIDENTIAL BUSINESS INFORMATION CLAIM
It is possible that EPA will receive public requests for release of the
information obtained during inspection of the facility above. Such
requests will be handled bv EPA in accordance with provisions of the
Freedom of Information Act IFOIAI, 5 USC 552; EPA regulations
issued thereunder, 40 CFR Part 2, and the Toxic Substances Control
Act (TSCA), Section 14. EPA is required to make inspection data
available in response to FOIA requests unless the Administrator of the
Agency determines that the data contain information entitled to confi-
dential treatment or may be withheld from release under other excep-
tions of FOIA.
Any or all the information collected by EPA during the inspection may
be cjaimed confidential if it relates to trade secrets or commercial or
financial matters that you consider to be confidential business infor-
mation If you assert a CBI claim, EPA will disclose the information
only to the extent, and by means of the procedures set forth in the
regulations (cited above) governing EPA's treatment of confidential
business information. Among other things, the regulations require that
EPA notify you in advance of publicly disclosing any information
you have claimed as confidential business information.
A confidential business information (CBI) claim may be asserted at any
time. You may assert a CBI claim prior to, during, or after the infor-
mation is collected. The declaration form was developed by the Agency
to assist you in asserting a CBI claim. If it is more convenient for you to
assert a CBI claim on your own stationery or by marking the individual
documents or samples "TSCA confidential business information," it is
not necessary for you to use this form. The inspector will be glad to
answer any questions you may have regarding the Agency's CBI
procedures.
While you may claim any collected information or sample as confiden-
tial business information, such claims are unlikely to be upheld if they
are challenged unless the information meets the following criteria:
1. Your company has taken measures to protect the confi-
dentiality of the information, and it intends to continue
to take such measure*.
3.
4.
The information is not, and has not been, reasonaoiy ootamaD'e
without your company's consent Oy other persons (other tnan
governmental bodies) by use of legitimate means (other tnan
discovery based on showing of special need n a ,uOiCiai 3r
quasi-judicial proceeding).
The information is not publicly available elsewhere.
Disclosure of the information would cause substantial
harm to your company's competitive position.
At the completion of the inspection, you win be given a receipt *or all
documents, samples, and other materials collected. At that time, you
may make claims that some or all of the 'nformation is confidential
business information.
If you are not authorized by your company to assert a CBI ciaim, Th,s
notice will be sent by certified mail, along with the receipt for docu-
ments, samples, and other materials to the Chief Executive Officer of
your firm within 2 days of this date. The Chief Executive Officer must
return a statement specifying any information which should receive
confidential treatment.
The statement from the Chief Executive Officer should be aqdressed
to:
and mailed by registered, return-receipt requested mail within 7 calen-
dar days of receipt of this Notice. Claims may be made any time
after the inspection, but inspection data will not be entered into the
special security system for TSCA confidential business information
until an official confidentiality claim is made. The data will be handled
under the agency's routine security system unless and until a claim is
made.
TO BE COMPLETED BY FACILITY OFFICIAL RECEIVING THIS NOTICE:
I have received and read the notice
SIGNATURE
NAME
TITLE DATE SIGNED
If there is no one on the premises of the facility who is authorized to make
business confidentiality claims for the firm, a copy of this Notice and other
inspection materials will be sent to the company's chief executive officer If
there is another company official who should also receive this information,
please designate below.
NAME
TITLE
ADDRESS
EPA Form 774O4 (12-82)
INSPECTION FILE
-------
x=/EPA
-S =Nv R
3C 2046C
TOXIC , STANCES CONTROL ACT
DECLARATION OF CONFIDENTIAL BUSINESS INFORMATION
DATE
' INVESTIGATION IDENTIFICATION
! INSPECTOR NO
DAILV 5EQ NO
2 FIRM NAME
JVffi V;
NSPEC'
5RE3S
ON DESIGNATED AS CONFIDENTIAL BUSINESS iNFO^MA^'ON
DESCRIPTION
ACKNOWLEDGEMENT BY CLAIMANT
The undersigned acknowledges that the information described above is designated as Confidential Business Information under Section 14(c) of the
Toxic Substances Control Art. The undersigned further acknowledges that he/she is authorized to make such claims for his/her firm.
The undersigned understands that challenges to confidentiality claims may be made, and that claims are not likely to be upheld unless the infor-
mation meets tne following guidelines: (1) The company has taken measures to protect the confidentiality of the information and it intends to
continue to take such measures; (2) The information is not, and has not been reasonably attainable without the company's consent by other
persons (other than governmental bodies) by use of legitimate means (other than discovery based on a showing of special need in a judicial or
quasi-iudicial proceeding); (3) The information is not publicly available elsewhere; and (4) Disclosure of the information would cause substantial
harm to the company's competitive position. A 7 O -2 t*>
INSPECTOR SIGNATURE
NAME
TITLE 'DATE SIGNED
'
CLAIMANT SIGNATURE
NAME
TITLE DATE SIGNED
EPA Form 7740-2 112 82)
INSPECTION FILE
-------
1
P-5
Appendix P (cont.)
Confidentiality Discussion
Officials should be informed of the procedures and requirements that
EPA must follow in handling TSCA confidential business information. The
inspector should explain that these procedures were established to protect
the companies subject to TSCA and cover the following points during the
discussion.
Data may be claimed confidential business information during
the closing conference if a person authorized to make such
claims is on-site at the facility.
It is suggested that a company official accompany the
inspector during the inspection to facilitate designation (or
avoidance, if possible) of confidential business data.
A detailed receipt for all documents, photographs, physical
samples, and other materials [Figure L-4] collected during the
inspection will be issued at the closing conference.
An authorized person may make immediate declarations that
some or all the information is confidential business
information. This is done by completing the Declaration of
Confidential Business Information form. Each item claimed
must meet all four of the criteria shown on the TSCA
Inspection Confidentiality Notice.
If no authorized person is available on-site, a copy of the
notices, along with the Receipt for Samples and Documents,
will be sent by certified, return-receipt-requested mail to the
Chief Executive Officer of the firm and to another company
official, if one has been designated.
(03/92)
-------
vvEPA
US ENVIRONMENTAL OROTECT'ON 4GENCV
WASHINGTON. DC 2O460
TOXIC SUBSTANCES CONTROL ACT
RECEIPT FOR SAMPLES AND DOCUMENTS
FOTTI Aoproved
CMS Mo 207C-0007
Aooroval expires 3-31-38
DATE
INVESTIGATION IDENTIFICATION
INSPECTOR NO.
3 INSPECTOR ADDRE
DAILY SEQ. NO.
2. FIRM NAME
4. P IBM ADDRESS
The documents and samples of chemical substances and/or mixtures described below were collected in connection with the
administration and enforcement of the Toxic Substances Control Act.
NO
RECEIPT OF THE DOCUMENT(S) AND/OR SAMPLE(S) DESCRIBED IS HEREBY ACKNOWLEDGED:
DESCRIPTION
OPTIONAL
DUPLICATE OR SPLIT SAMPLES REQUESTED AND PROVIDED '
NOT REQUESTED i I
MSPECTCR SIGNATURE
RECIPIENT SIGNATURE
MAME
NAME
DATE SIGNED
TTTTE-
DATE SIGNtD
EPA Form 7740-1 (12-82)
INSPECTOR'S RUE
-------
P-7
Appendix P (cont.)
Four copies are made of the Declaration of Confidential Information form
and distributed to:
Facility owner or agent in charge
Other company official (if designated)
Document Control Officer
Inspection report
(03/92)
-------
APPENDIX Q
TSCA SECTIONS 5 AND 8 GLOSSARY OF TERMS AND ACRONYMS
-------
Q-l
Appendix Q
GLOSSARY OF TERMS AND ACRONYMS:
TOXIC SUBSTANCES CONTROL ACT SECTIONS 5 AND 8
SECTIONS. New Chemicals
(Note: TSCA does not regulate chemicals such as pesticides,
drugs, cosmetics, explosives, etc., which are regulated under
separate acts.)
PMN Premanufacture Notification required for all "new" TSCA
chemicals (i.e., those not listed as TSCA Chemical
Substances Inventory).
SNURs Significant New Use Rules require subsequent notification to
EPA when usage/exposure of existing chemical changes.
NOC Notice of Commencement to Agency is required before
manufacture begins (after PMN review period has expired).
TME Test Marketing Exemption from PMN requirement can be
obtained on application to and approval by EPA - usually
subject to specific restrictions.
LVE
PE
R&D
Section 5(e)
Low Volume Exemption from PMN requirement
Polymer Exemption from PMN requirement, a modified
PMN
Research and Development Exemption - automatic
exemption, does not require Agency review or approval.
An administrative order limiting the manufacture, Order
Bona fide
processing, distribution, use and/or disposal of a chemical
for which a PMN is required because there is insufficient
informa-
tion to permit full evaluation.
Inquiry to Agency to determine whether a chemical is on the
confidential portion of the Inventory. A Bona Fide should
indicate an interest or intent to commercially manufacture
the subject chemical.
(03/92)
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Q-2
Appendix Q (cont.)
Section 5(f)
Order/Rule
An administrative order or rule prohibiting/limiting the
manufacture, etc., of a chemical for which a PMN is
required because there is a reasonable basi? to conclude that
such activities present an unreasonable risk to
health/environment.
Section 8 Existing Chemicals
PAIR
ITC
CHEMICAL
SUBSTANCES
INVENTORY
CAIR
Preliminary Assessment Information
Hules are promulgated under Section 8(a)
Level A and require reporting to Agency of
production, uses and exposure of specific
chemicals or classes of chemicals.
Interagencv Testing Commit.tpp desig-
nates chemicals to be listed in PAIR rules,
as well as some of the chemicals in
Section 8(d) rules. ITC is established
under Section 4(e) of TSCA. It also rec-
ommends chemicals for inclusion in test-
ing rules under Section 4(a).
A listing compiled under Section 8(b) of
TSCA of all chemicals manufactured/
processed in U.S. that were manu-
factured, imported or processed in the
period 1975-77. Chemicals for which PMN
is submitted are added to inventory when
manufacturing/processing commences
(i.e., upon receipt of NOC). A major
updating of the inventory was undertaken
in 1986, and will be repeated every 4 years
thereafter.
Comprehensive Assessment Information
Rule, a more detailed reporting rule
under Section 8(A) Level A (see PAIR)
(03/92)
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