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9545.00-6A
APPENDIX B
COMPLIANCE AND ENFORCEMENT
FILE REVIEW FORM
ID #
Facility Name
Address
Name of Reviewer File Review Date
Position Phone #
ITEM RESPONSE
Dates of any inspections/record
reviews
PROVIDE THE FOLLOWING INFORMATION
FOR THE LATEST INSPECTIONS/REVIEWS , -
Inspector
Date of inspection report
Type of documentation completed
(i.e., trip report, checklist)
Was the documentation complete?
If not, describe incomplete
portions .
Is the documentation adequate
enough to allow one to make a
clear determination of a
violation? If not, explain.
Was the handler in .compliance?
B - 14
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-------
9545.00-6A
APPENDIX B
COMPLIANCE AND ENFORCEMENT
FILE REVIEW FORM
ITEM RESPONSE
If not, describe the Class and
nature of the violations,
detailing Class I and providing
brief descriptions of Class II
violations.
Did the State accurately
characterize the type of
violations?
Did the State accurately
characterize the type of violator?
Did the State fail to recognize
any apparently significant
violations? If yes, describe.
Provide the following information for the latest instances of noncompliance
uncovered.
Date and Type of initial
enforcement actions
B - 15
-------
APPENDIX B
COMPLIANCE AND ENFORCEMENT
FILE REVIEW FORM
ITEM RESPONSE
Did the initial enforcement
action:
cite authority
clearly state what the
violations are
list all violations by
regulatory citation
require a date for
compliance
require certification of
compliance
note that the State
would escalate action if
the handler did not come
into compliance
assess .a penalty, if
appropriate?
*
Amount of penalty assessed?
Is the penalty adequate for the
violations according to the States
penalty policy or in accordance
with the RCRA Civil Penalty Policy
if there is no State penalty
policy? Explain.
Date compliance expected
Date and way in which the State
verified whether the handler came
into compliance
Did the handler come into
compliance or was the handler
placed on a compliance schedule as
a result of this action?
Did the State field verify
compliance? If so, within how
many days?
B - 16
9545.00-6A •
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9545.00-6A
APPENDIX B
COMPLIANCE AND ENFORCEMENT
FILE REVIEW FORM
ITEM RESPONSE
Was the action "timely and
appropriate" per existing State
criteria?
If the facility was found to be in
compliance, did the State send a
timly acknowledgement letter?
Within how many days?
If the handler did not come into
compliance, is not on a compliance
schedule or missed a schedule
date, provide the date and type of
next enforcement action.
Did this action:
cite authority
clearly state what the
violations are
list all violations by
regulatory citation
require a date for
compliance
require certification of
compliance
the State would escalate
', action if handler did
not come into compliance
contain a penalty
assessment, if
appropriate (amount
assessed)
Did the handler come into
compliance or come onto a
compliance schedule as a result of
this action?
B - 17
-------
9545.00-6A
APPENDIX B
COMPLIANCE AND ENFORCEMENT
FILE REVIEW FORM
ITEM
RESPONSE
If penalty assessed, what is the
amount collected. Is it
appropriate?
Explain.
If the handler did not come into
compliance as a result of this
action, did the State escalate
action? How?
On what date was escalated action
taken?
If relevant, on what date did the
State agency refer the case to the
appropriate judicial authority?
Was this within 90 days of the
decision to escalate or within 180
days of issuance of the AO?
B - 18
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-------
9545.00-6A
APPENDIX B
COMPLIANCE AND ENFORCEMENT
FILE REVIEW FORM
ID #
Name of Handler
Reviewer
Date Reviewed
FILE SUMMARY
What was the quality and
completeness of the inspection?
Explain.
Did the State take timely
enforcement action?
If not, explain.
Did the state take appropriate
enforcement action?
If not, explain.
Did the State provide adequate
follow-up on its enforcement
action?
If not, explain.
Is there any reason for EPA to
intervene in this case?
If yes, describe.
Did the State submit FSS, CMEL, or
other appropriate reporting data
as necessary?
If not, explain.
B - 19
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State Priorities
Is there a process for reviewing
all facility-specific information
to identify all potential releases
at RCRA facilities?
How are facilities prioritized for
scheduling RFAs? What information
sources, if any, are used to
prioritize facilities for RFAs?
What procedures are in place to
identify facilities for priority
attention in initiating the
corrective action process?
•j
What oversight and tracking
procedures are in place to ensure
that owner/operators are
implementing corrective action
requirements in accordance with
approved plans?
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Information Management System
Is the State universe identical to
HWDMS? If not, why not?
What is being done to
reconcile the data bases?
Does the system provide up-to-date
(monthly) activity and exception
reports for all required
activities?
If not, describe any
deficiencies .
Does the State identify non-
notif iers to the Region within 10
days of discovery (or as agreed to
in grant work program)?
Is information on facility status
changes (new handlers and those
amending Part A's) provided to EPA
within 10 days of receipt of new
information, or as agreed to in
the MOA or grant work program?
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