SEPA
United St
Environmental Protection
Agency
Office of
Solid Wast* and
Emergency Response
DIRECTIVE NUMBER:
TITLE: RCRA Inspection Manual
APPROVAL DATE:
EFFECTIVE DATE:
ORIGINATING OFFICE: OWPE
m FINAL
; D DRAFT
LEVEL OF DRAFT
C3 A — Signed by AA or DAA
D B — Signed by Office Director
LJ C — Review & Comment
REFERENCE (other documents):
OSWER OSWER OSWER
VE DIRECTIVE DIRECTIVE Dl
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Uniwd States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
vvEPA
DIRECTIVE NUMBER: 9938.2/t
TITLE: RCRA Inspection Manual
APR 22 1988
APR 22 |988
APPROVAL DATE:
EFFECTIVE DATE.
ORIGINATING OFFICE: OWPE
09 FINAL
D DRAFT
LEVEL OF DRAFT
(3 A — Signed by AA or DAA
D B — Signed by Office Director
C3c — Review & Comment
REFERENCE (other documents):
SWER OSWER OSWER
DIRECTIVE DIRECTIVE Dl
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Guidance
United States Environmental Protection Agency
Washington. DC 20460
OSWER Directive Initiation Request
1. Directive Number
9938. 2f\
2. Originator Information
Name of Contact Person
Tim Kasten
Mail Code
WH-527
Office
OWPE
Telepnone Code
475-9360
3. Title
RCRA Inspection Manual
4. Summary of Directive (include bnef statement of purpose) ,
Provides guidance to RCRA inspectors on how to properly prepare for,
conduct, and report on Compliance Evaluation Inspections (CEI) at
RCRA generators and both interim status and permitted treatment, storage,
and disposal facilities. ' " •
s.Keywords RCRAf inspection, Compliance Evaluation Inspection, inspector.
6a. Does This Directive Supersede Previous Directive(s)?
b. Does It Supplement Previous Directive(s)1?
No
No
Yes What directive (number, title)
RCRA Inspection Manual(7/24/81)
(not a directive)
Yes What directive (number, title)
Final
A - Signed by AA/DAA
B - Signed by Office Director
C - For Review & Comment
D - ft D«vdopment
8. Document to be distributed to States by Headquarters?
X
Yes
No
This Request Meets OSWER Directives System Format Standards.
9. Signature of Lead Office Directives Coordinator
10. Name apd Title of Approving Official
EPA Form 1315-17 (Rav. 5-87) Previous editions are obsolete.
OSWER OSWER OSWER O
VE DIRECTIVE DIRECTIVE DIRECTIVE
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
2 2 :05
OFFICE Ot=
SOLID WASTE AND EMERGENCY
MEMORANDUM
SUBJECT: RCRA Insaecti'bn Manual
FROM: xJ. Winst
(Assistant Administrator
\J
TO: Regional Waste Management Division Directors
Environmental Services Division Directors
Regions I-X
Attached is the final 1988 RCRA Inspection Manual. The'
Manual is intended to assist RCRA field inspectors in their
performance of Compliance Evaluation Inspections of RCRA
generators/ transporters/ and treatment/ storage and disposal
facilities. Included in the document are inspection procedures
for both interim status and permitted facilities. The guidance
also provides inspection checklists to aid the inspectors in
their review of facility compliance.
The development of the Inspection Manual was assisted by '&
workgroup composed of both Regional and State inspection
personnel. Their combined experience in RCRA inspections is
reflected in the quality of this document. This document was
fur- :-r reviewed by the Office of Solid Waste/ the Office of
Enfc.cement and Compliance Monitoring/ the National Enforcement
Investigations Center/, and all the Regional Offices to ensure a
technically sound approach to conducting RCRA Compliance
Evaluation Inspections.
The Manual will assist RCRA inspectors and enforcement
personnel to:
o conduct RCRA inspections efficiently and professionally
to determine facility compliance with RCRA regulations
o adequately prepare for and conduct inspections at
RCRA generators/ transporters and TSD's
o review facility permits for inspection of permitted
facilities
o prepare quality inspection reports
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-2-
This Manual will replace the previous RCRA Inspection Manual
completed in 1981. The revised 1988 Manual incorporates
regulatory and administrative changes to the RCRA Program that
have occurred in the last seven years. It serves as a
comprehensive inspection manual that provides the framework for
all RCRA inspections and is a companion to other RCRA inspection
guidance from OWPE.
If you have questions on the RCRA Inspection Manual/ please
call Bruce Potoka (202) 382-2270 or Tim Kasten, RCRA Enforcement
Division, (202) 475-9360.
Attachment
cc: Hazardous Waste Branch Chiefs, Regions I-X
RCRA Enforcement Section Chiefs, Regions I-X
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United States Waste Proarams OSWER9938.2A
Environmentai Protection Enforcement March, 1988
Agency
RCRA Inspection Manual
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Forward
The RCRA Inspection Manual has been developed for the exclusive use of
inspection personnel in conducting field inspections of RCRA-regulated
facilities under US EPA or State program authorities. The overall goal of
this document is to provide useful procedural and technical information to
determine facility compliance with RCRA standards. Specific objectives are as
follows:
o To provide a detailed overview of the elements of RCRA Compliance
Evaluation Inspections (CEI's).
o To describe the scope of inspector authorities and responsibilities.
o To provide detailed standard procedures for performing RCRA
inspections.
o To provide general inspection information that is both comprehensive
in scope and complements more detailed guidance on inspecting parti-
cular types of hazardous waste facilities.
o To provide a manual that could serve as the basis for general training
of new inspection personnel on RCRA inspection procedures.
OSWER DIR. NO. 9938.2A March 1988
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Table of Contents
SECTION PAGE
FORWARD i
1.0 INTRODUCTION
1.1 BACKGROUND 1- 3
The RCRA Program 1-3
Federal RCRA Standards 1-4
State Authorization in the RCRA Program 1-5
1.2 ROLE OF INSPECTIONS IN THE ENFORCEMENT PROGRAM 1-7
1.3 TYPES OF INSPECTIONS 1-9
1.4 ENFORCEMENT PRIORITIES 1-11
1.5 AUTHORITY AND LIMITATIONS OF THE INSPECTOR 1-13
Confidential Business Information Access 1-17
Authorization
1.6 WORK ETHICS 1-19
Conflicts of Interest 1-19
Public Relations 1-20
Gifts, Gratuities, Favors, Luncheons, Etc. 1-20
Attempted Bribery 1-20
2.0 PREPARING FOR THE INSPECTION
2.1 PURPOSE AND OBJECTIVES OF INSPECTION 2-3
PREPARATION
OSWER Dir. No. 9938.2A March 1988
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SECTION PAGE
2.2 DEFINING THE SCOPE OF THE INSPECTION 2-5
2.3 COORDINATING THE INSPECTION 2-7
Permitted Facilities 2-8
Enforcement Actions 2-9
2.4 DEVELOPING AND REVIEWING THE FACILITY FILE 2-11
2.5 REVIEWING APPLICABLE REGULATIONS AND ENFORCEMENT 2-15
DOCUMENTS
2.6 DEVELOPING FACILITY-SPECIFIC INSPECTION PLANS 2-17
AND CHECKLISTS
Notifying the Facility 2-18
Determining Health and Safety Requirements 2-19
2.7 IDENTIFYING INSPECTION EQUIPMENT 2-21
2.8 COMPLETING THE PRE-INSPECTION WORKSHEET 2-29
3.0 PROCEDURE FOR DEVELOPING PERMIT-SPECIFIC TSDF INSPECTION PLANS
3.1 INTRODUCTION 3 - 3
Alternative Approaches 3-4
Assembling Pertinent Materials 3-5
3.2 METHODOLOGY FOR DEVELOPING INFORMATION SHEETS 3-7
AND INSPECTION CHECKLISTS
3.3 DEVELOPING AN INSPECTION PROTOCOL 3-9
Site Orientation 3-10
Release Points 3-24
Other Conditions 3-27
4.0 CONDUCTING THE INSPECTION
4.1 FACILITY ENTRY 4-3
Arrival 4-3
Consent 4-4
Denied Access 4-5
Use of a Warrant to Gain Access 4-6
OSWER Dir. No. 9938.2A March 1988
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SECTION PAGE
4.1 FACILITY ENTRY (continued)
Conducting an Inspection Under a Warrant 4-8
Dealing with Threats 4-8
4.2 OPENING DISCUSSION WITH OWNER/OPERATOR 4-9
4.3 OPERATIONS, WASTE HANDLING, AND RECORD REVIEW 4-13
Generators, Transporters, and 4-14
Interim Status TSDFs
Permitted Facilities 4-19
4.4 GENERAL PROCEDURES 4-21
Use of Inspection Checklists 4-23
Determining the Need for Sampling and 4-23
Identifying Sampling Points
Observations for Follow-up Case Development 4-25
4.5 DOCUMENTATION 4-27
Field Notebook . 4-27
Checklists 4-28
Photographs 4-28
Maps and Drawings 4-29
4.6 CLOSING DISCUSSION WITH OWNER/OPERATOR ' 4-31
5.0 PREPARING THE INSPECTION REPORTS
5.1 REPORT PREPARATION 5-3
Objectives 5-3
Report Preparation Procedures 5-4
5.2 REPORT ELEMENTS 5-7
Checklists 5-7
Narrative Information 5-7
Documentary Support 5-8
5.3 FOLLOW-UP DISCUSSIONS AND FILE PREPARATION 5-13
Preparing Inspection Files 5-14
OSWER Dir. No. 9938.2A March 1988
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SECTION
PAGE
5.4 DISCLOSURE OF OFFICIAL INFORMATION
Requests for Information
Confidential Business Information
5-17
5-17
5-18
APPENDIX I: KEEPING UP WITH RCRA
1-1
APPENDIX II: GLOSSARY
II-l
APPENDIX III: REGULATORY REQUIREMENT SYNOPSIS AND INSPECTION PROCEDURES
Introduction
TABLE III-l Part 262
TABLE III-2 Part 263
TABLE III-3 Part 265
TABLE III-4 Part 264
TABLE III-5 Part 266
TABLE III-6 Part 268
Generators
Transporters
Interim Status Facilities
Permitted Facilities
Specific Hazardous Wastes
Land Disposal Restrictions
III-2
III-3
111-28
111-40
III-118
III-156
III-170
APPENDIX IV: INSPECTION CHECKLISTS
Exhibit IV-1. General Inspection Information Form
Exhibit IV-2. General Facility Checklist
Exhibit IV-3. Land Disposal Restrictions Checklist
Exhibit IV-4. Generators Checklist
Exhibit IV-5. Transporters Checklist
Exhibit IV-6. Containers Checklist
Exhibit IV-7. Surface Impoundments Checklist
Exhibit IV-8. Waste Piles Checklist
Exhibit IV-9. Land Treatment Checklist
Exhibit IV-10. Landfills Checklist
Exhibit IV-11. Incinerators Checklist
Exhibit IV-12. Thermal Treatment Checklist
Exhibit IV-13. Ground-Water Monitoring Checklist
Exhibit IV-14. Waste Information Sheet
IV-1
IV-2
IV-8
IV-10
IV-15
IV-18
IV-20
IV-24
IV-27
IV-33
IV-37
IV-40
IV-43
IV-50
APPENDIX V: HEALTH AND SAFETY CONSIDERATIONS
V-l
OSWER Dir. No. 9938.2A
March 1988
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INTRODUCTION
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Chapter One
Introduction
SECTION PAGE
1.1 BACKGROUND 1-3
The RCRA Program 1-3
Federal RCRA Standards 1-4
State Authorization in the RCRA Program 1-5
1.2 ROLE OF INSPECTIONS IN THE ENFORCEMENT PROGRAM 1-7
1.3 TYPES OF INSPECTIONS 1-9
1.4 ENFORCEMENT PRIORITIES 1-11
1.5 AUTHORITY AND LIMITATIONS OF THE INSPECTOR 1-13
Confidential Business Information Access 1-17
Authorization
1.6 WORK ETHICS 1-19
Conflicts of Interest 1-19
Public Relations 1-20
Gifts, Gratuities, Favors, Luncheons, Etc. 1-20
Attempted Bribery 1-20
OSWER Dir. No. 9938.2A 1-1 March 1988
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1.1
Background
The primary purpose of this manual is to provide procedural and technical
guidance for performing inspections of facilities regulated by the Resource
Conservation and Recovery Act (RCRA) . The main text of the document provides
pre-inspection, inspection and post-inspection procedures for performing RCRA
inspections. The appendices provide technical guidance on evaluating
compliance with specific RCRA standards, inspection checklists, and other
technical information useful in performing inspections.
The procedures provided have been developed for performing Compliance
Evaluation Inspections (CEI's) at hazardous waste generators, transporters,
and treatment, storage and disposal facilities (TSDF's).
However, these procedures are broadly applicable to performing other
types of RCRA inspections (which are discussed in Section 1.3). The
procedures are general and are not intended to be prescriptive, in deference
to Regional and State differences in approaches and procedures. Inspectors
using this handbook should be aware of and follow additional Regional or State
guidance supplementing the information provided herein.
The RCRA Program
The Resource Conservation and Recovery Act of 1976 (RCRA) is the primary
statute governing the regulation of solid and hazardous waste. RCRA
completely replaced the Solid Waste Disposal Act of 1965 and supplemented the
Resource Recovery Act of 1970; RCRA itself was substantially amended by the
Hazardous and Solid Waste Amendments of 1984.
The principal objectives of RCRA, as amended, are to:
o Promote the protection of human health and the environment from
potential adverse effects of improper solid and hazardous waste
management.
o Conserve material and energy resources through waste recycling and
recovery.
OSWER Dir. No. 9938.2A 1-3 March 1988
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o Reduce or eliminate the generation of hazardous waste as expeditiously
as possible.
To achieve these objectives, RCRA authorizes EPA to regulate the
generation, treatment, storage, transportation, and disposal of hazardous
wastes.1 The structure of the national hazardous waste regulatory program
envisioned by Congress is laid out in Subtitle C of the Act (Sections 3001
through 3019), which provide EPA with specific authorities with respect to:
o Promulgating standards governing hazardous waste generation and
management.
o Promulgating standards for permitting hazardous waste treatment,
storage, and disposal facilities.
o Inspecting hazardous waste management facilities.
o Enforcing RCRA standards.
o Authorizing States to manage the RCRA Subtitle C program, in whole
or in part, within their respective borders, subject to EPA oversight.
Federal RCRA Standards
Federal RCRA hazardous waste regulations are promulgated in 40 CFR Parts
260 through 272. The core of the RCRA regulations establish the "cradle to
grave" hazardous waste regulatory program through seven major sets of regula-
tions :
o Identification and listing of hazardous wastes that are to be
regulated (40 CFR Part 261).
o Standards for generators of hazardous waste (40 CFR Part 262) .
o Standards for transporters of hazardous waste (40 CFR Part 263).
o Standards for owners and operators of hazardous waste treatment,
storage, and disposal facilities, (40 CFR Parts 264, 265,and 267).
o Standards for the management of specific hazardous wastes and specific
types of hazardous waste management facilities (40 CFR Part 266) .
o Land disposal restriction standards (40 CFR Part 268).
o Requirements for the issuance of permits to hazardous waste
facilities (40 CFR Parts 270).
•*-The Act also provides EPA with authority to regulate solid waste and
underground storage tanks. Programs established under these authorities are
not within the scope of this document.
OSWER Dir. No. 9938.2A 1-4 March 1988
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o Guidelines for authorizing State hazardous waste programs to be
operated in lieu of the Federal program (40 CFR Part 271).
The first group of Federal RCRA standards were promulgated in May 1980.
Additional standards have been added periodically since that time to complete
the scope of the initial program mandated in RCRA, respond to new statutory
initiatives, and improve upon the original program. Appendix I discusses
keeping up with changes in the RCRA standards and sources of regulatory
information.
State Authorization in the RCRA Program
Under Section 3006 of RCRA, EPA may authorize States to administer and
enforce a State hazardous waste program, in lieu of the Federal Subtitle C
program, within their respective jurisdictions. In order to receive
authorization State programs must:
o Be equivalent to the Federal Subtitle C program.
o Be consistent with the Federal and State programs authorized in other
States.
o Provide adequate enforcement of compliance with Subtitle C
requirements.
In practical terms, these requirements mean that, to be authorized, State
hazardous waste regulations must be at least as stringent as Federal Subtitle
C standards; State regulations and programs must follow generally the same
approach as Federal and other State regulations and programs; and State
enforcement penalties and activities must be at least equivalent to penalties
provided in RCRA and enforcement activities performed by EPA.
States have generally received authorization incrementally, due to the
incremental implementation of the Federal RCRA program (e.g., the ongoing
development of regulations governing new waste management units and practices)
and the unavoidable lag between Federal promulgation of Subtitle C standards
and development and adoption of equivalent standards by the States. Thus,
States may be authorized to administer and enforce the program covering
certain types of waste management units and practices within the State and may
not be authorized for other types of units. For example, a State may be
authorized to manage the program for hazardous waste generators and storage
and treatment facilities, but may not be authorized for incinerators and land
disposal facilities. As a result, some facilities in a State may be subject
to State enforcement, and others subject to Federal enforcement through the
EPA Regional offices. Facilities with several types of units may be subject
to joint Federal/State enforcement.
OSWER Dir. No. 9938.2A 1-5 March 1988
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In general, where a facility is subject to joint Federal/State authority,
inspections may be conducted by both Federal EPA and State inspectors. These
inspections may be conducted jointly or separately. When conducted jointly,
Federal and State inspectors should focus their inspection efforts on the
units subject to their respective jurisdictions. When conducted separately,
Federal or State inspectors may inspect units which are not under their
jurisdiction and identify non-complying conditions. These conditions should
then be reported to the agency with jurisdiction over the unit(s) for further
action.
OSWER Dir. No. 9938.2A 1-6 March 1988
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1.2
Role of Inspections In
The Enforcement Program
The RCRA Enforcement Program encompasses both administrative and
inspection systems whose purpose is to assure that hazardous waste handlers
are properly complying with RCRA regulations. The Compliance Evaluation
Inspection (CEI) is the primary enforcement mechanism for detecting and
verifying RCRA violations. Inspections conducted under the enforcement program
are initiated either for neutral, administrative purposes, or "for cause"
(i.e., where probable violations of the Act have been observed or brought to
the attention of EPA through, for example, an employee's complaint).
Depending on the circumstances, EPA Headquarters, EPA Regional offices, or
authorized agencies select facilities for inspection.
A CEI serves two critical enforcement functions:
o Determining compliance with RCRA regulations, permit provisions or
pre-existing enforcement orders; and
o Supporting enforcement actions.
Therefore, it is imperative that inspections be performed in a manner
which is both technically and legally correct. Flaws in either the technical
or legal conduct of an inspection may hamper, prevent, or invalidate the use
of inspection results for these critical functions. Thus, two overriding
criteria must guide the conduct of inspections to insure that inspections
optimally fulfill their role in RCRA enforcement:
o Technical accuracy and integrity. Inspections must be technically
correct. Any measurement or other data collection and analysis must
be thorough, technically proper, and appropriately documented.
o Legal propriety. Legal requirements concerning the conduct of inspec-
tions must be scrupulously followed.
Adherence to both of these criteria is vital not only to the success of
an inspection but also to the use of inspection results and, ultimately, to
the proper functioning of the RCRA enforcement program.
OSWER Dir. No. 9938.2A 1-7 March 1988
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Evidence obtained during an inspection may result in the Agency taking
any of the following actions:
o Issuance of a warning letter
o Issuance of an administrative order
o Assessment of an administrative civil penalty
o Commencement of a permit action
o Institution of a civil court action
o Institution of a criminal court investigation.
OSWER Dir. No. 9938.2A 1-8 March 1988
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1.3
Types of Inspections
Compliance Evaluation Inspections are one of several types of inspections
performed under the RCRA program. Types of inspections differ based upon
differences in purpose, in facility status, and in the probable use of
results. The Office of Waste Programs Enforcement has developed, and is
continuing to develop, specific guidance on performing the different types of
inspections.
The different types of RCRA inspections are:
o Compliance Evaluation Inspections (CEI's) - routine inspections of
hazardous waste generators, transporters, and treatment, storage,
and disposal facilities to evaluate facility compliance with
applicable RCRA standards promulgated in 40 CFR 262, 263, 264, 265,
266, 267, and 268.
o Case Development Inspections (GDI's) - inspections conducted when RCRA
violations are suspected or revealed during a CEI for the specific
purpose of gathering data in support of an enforcement action.
o Comprehensive Ground-Water Monitoring Evaluations (CME's) - detailed
evaluations of the adequacy of the design and operation of ground-
water monitoring systems at RCRA facilities.
o Operation and Maintenance Inspections (O&M) - inspections of land
disposal facilities to determine the adequacy of the operation and
maintenance of ground-water monitoring systems at RCRA facilities.
o Lab Audits - inspections of laboratories performing groundwater moni-
toring analyses to determine if proper sample handling and analysis
protocols are used.
o State Oversight Inspections - inspections conducted by US EPA
personnel to determine the effectiveness of a State hazardous waste
management program and to determine facility compliance.
OSWER Dir. No. 9938.2A 1-9 March 1988
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o RCRA Facility Assessment (RFA) - an assessment performed at a TSDF to
identify releases or potential releases of hazardous constituents from
solid waste management units (SWMUs) that may require corrective
action. RFAs are usually conducted as part of the permitting process.
The Office of Waste Programs Enforcement has developed or plans to
develop the following guidance for performing the types of inspections
described above. Note that final titles are not available for planned
documents, and therefore descriptive titles which are subject to change have
been used:
o Compliance Evaluation Inspections:
- The RCRA Inspection Manual
- Inspection Manual - RCRA Land Disposal Restrictions Rule for F001-
F005 fSolvent1 Wastes. OSWER Dir. No. 9938.1, April 1987.
Inspection Manual for Hazardous Waste Storage and Treatment Tank
Systems (in preparation)
Inspection manual on retrofitting surface impoundments (planned)
Inspection manual for incinerators (planned)
o Case Development Inspections:
- Technical Case Development Guidance Document (in preparation)
o Compliance Monitoring Evaluations:
RCRA Ground Water Monitoring Technical Enforcement Guidance
Document. OSWER Dir. No. 9950.1, September 1986.
Comprehensive Groundwater Monitoring Evaluation Guidance Document.
OSWER Dir. No. 9950.2, December 1986.
o Operation and Maintenance Inspection:
- Operation and Maintenance Inspections for Ground-Water Monitoring
(RCRA Ground-Water Monitoring Systems). OSWER Dir. No. 9950.3,
March 1988.
o Lab Audits:
- Inspection manual for laboratory audits (in preparation).
o RCRA State Oversight Inspection Guide. OSWER Dir. No. 9946.1,
December 1987.
OSWER Dir. No. 9938.2A 1-10 March 1988
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1.4
Enforcement Priorities
RCRA enforcement managers at EPA Headquarters, Regional offices, and
State agencies establish priorities for inspecting RCRA regulated facilities
in order to optimize, to the extent possible, the use of limited personnel and
material resources to achieve enforcement objectives. Generally, priorities
are established annually in the "RCRA Implementation Plan" (RIP) (although
they may change during the year in response to new initiatives) and may be
based on several factors, including:
o Magnitude of the threat to human health and the environment posed by
specific facilities or types of facilities (e.g., a specific land
disposal facility known to pose a hazard to human health and the en-
vironment based on past inspections, or land disposal facilities
versus storage facilities in general).
o Promulgation of new standards governing specific types of facilities
or waste management activities (e.g., promulgation of the land
disposal restrictions regulations).
o Statutory requirements for inspecting particular types of facilities
by or within a given year, or annually/biannually.
o Expansion of the regulatory program to cover new types of facilities
(e.g., expansion to cover waste oil recyclers).
o Progression of the RCRA regulatory and enforcement program to new
stages of implementation or development (e.g., from CMEs to O&M
inspections).
It is important for inspectors both to know current enforcement
priorities and develop the specific skills necessary to perform the
inspections required under those priorities. They also need to be aware of
changes in priorities and to maintain flexible skills in order to readily
•accommodate such changes. Frequently, inspectors are assigned to concentrate
on inspections of a particular type of facility or waste management practice
in accordance with contemporary program priorities. As a result, inspectors
OSWER Dir. No. 9938.2A 1-11 March 1988
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will develop specialized skills in inspecting that type of facility or
practice through training, research and experience. However, it is important
that inspectors also maintain a good general knowledge of the overall RCRA
program so that they can flexibly respond to new enforcement priorities or
changes in assignment which require them to inspect other types of facilities
and practices. To do so, inspectors should:
o Review major new regulations (including preambles) as they are pro-
mulgated.
o Be familiar with new and existing guidance on inspecting other types
of facilities and practices.
o Be aware of new and existing technical guidance (e.g., permit writers
guidance) that could provide quick background information on other
types of facilities and practices.
Inspectors should also be ready to provide input to enforcement program
managers planning initiatives that are within the inspectors' areas of exper-
tise. In such instances, inspectors may be able to expedite information
collection or point out technical difficulties or issues which should be
considered in the planning stage.
OSWER Dir. No. 9938.2A 1-12 March 1988
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1.5
Authorities
and Limitations
of the Inspector
Inspectors are skilled field professionals who represent regulating agen-
cies in dealing with industry and the public. Inspectors are responsible for
conducting inspections in a professional manner that reflects credit on them-
selves and on the agency that they represent. Their primary responsibility is
to determine facility compliance with RCRA requirements.
Inspection authorities are detailed in Section 3007 of the Act. Specifi-
cally, the Act provides authority to conduct compliance and evaluation inspec-
tions of hazardous waste management facilities for the purpose of developing
regulations, preparing permits, or ensuring compliance with the provisions or
regulations promulgated under the Act. Access to such facilities is granted
to "duly designated" officers, employees, or representatives of the U.S.
Environmental Protection Agency (EPA), and to officers, employees, or
representatives of s with authorized hazardous waste programs. Inspectors are
permitted to have access to, and to copy all records at hazardous waste
management facilities at all reasonable times. Section 3007 also outlines the
scope of RCRA inspections and authorizes inspectors to conduct sampling (when
deemed necessary), and to note compliance with recordkeeping and labeling
requirements. In addition, Section 3007 provides guidelines governing
inspections; i.e., the procedures the inspector must follow with regard to
pre-inspection, inspection, and post-inspection activities.
In summary, Section 3007 provides the authority to conduct inspections
and specifies certain guidelines which should direct the conduct of an
inspection. It is essential that all inspectors be familiar with this section
or comparable State authority. It is presented in Exhibit 1-1 in its
entirety.
OSWER Dir. No. 9938.2A 1-13 March 1988
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EXHIBIT 1-1. RCRA SECTION 3007, AS AMENDED BY
THE SOLID WASTE DISPOSAL ACT OF
1980 AND THE HAZARDOUS AND SOLID WASTE AMENDMENTS OF 1984
"INSPECTIONS
"SEC. 3007. (a) ACCESS ENTRY.—For purposes of developing or
assisting in the development of any regulation or enforcing the pro-
visions of this title, any person who generates, stores, treats, trans-
ports, disposes of, or otherwise handles or has handled hazardous
wastes shall, upon request of any officer, employee or representative
of the Environmental Protection Agency, duly designated by the
Administrator, or upon request of any duly designated officer,
employee or representative of a State having an authorized
hazardous waste program, 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. For the purposes
of developing or assisting in the development of any regulation or
enforcing the provisions of this title, such officers, employees or
representatives are authorized—
"(1) to enter at reasonable times any establishment or other
place where hazardous wastes are or have been generated, stored,
treated, disposed of, or transported from;
''(2) to inspect and obtain samples from any person of any such
wastes and samples of any containers or labeling for such wastes.
Each such inspection shall be commenced and completed with reason-
able promptness. If the officer, employee or representative obtains
any samples, prior to leaving the premises, he shall give to the owner,
operator, or agent in charge, a receipt describing the sample obtained
and if requested a portion of each such sample equal in volume or
weight to the portion retained. If any analysis is made of such samples,
a copy of the results of such analysis shall be furnished promptly to
the owner, operator, or apent in charge.
" (b) AVAILABILITY TO PUBLIC, hAny records, reports, or information
obtained from any person under this section shall be available to the
public, except that upon a showing satisfactory to the Administrator
(or the State, as the case may be) by any person that records, reports,
or information, or particular part thereof, to whirh the Administrator
(or the State, as the case may oe) or any officer, employee or
representative thereof has access under this section if made public, would
divulge information entitled to protection under section 1905 of title 18
of the United States Code, such information or particular portion
thereof shall be considered confidential in accordance with the purposes of that
section, except that such record, report, document, or information may
be disclosed to other officers, employees, or authorized representatives
of the United States concerned with carrying out this Ait, or when
relevant in any proceeding under this Act.
"i2> Any person not subject to the provisions of sectidh 1905 of
title 18 of the United States Code who knowingly and willfully di-
vulges or discloses any information entitled to protection under this
subsection shall, upon conviction, be subject to a fine of not more
than $5.000 or to imprisonment not to exceed one year, or both.
"(3) In submitting data under this Act, a person required to pro-
vide such data may—
" (At designate the data which such person believes is enti-
tled to protection under this subsection, and
"(B) submit such designated data separately from other data
submitted under this Act.
A designation under this paragraph shall be made in writing and
in such manner as the Administrator may prescribe.
OSWER Dir. No. 9938.2A 1-14 March 1988
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EXHIBIT 1-1. (CONTINUED)
"(4> Notwithstanding any limitation contained in this section or
any other precision of law, all information reported to, or otherwise
obtained by, the Administrator (or any representative of the Admin-
istrator) under this Act shall be made available, upon written re-
quest of any duly authorized committee of the Congress, to surh
committee (including records, reports, or information obtained by
representatives of the Environmental Protection AgencyJ.
FEDERAL FACILITIES
SEC. 229. Section 3007 of the Solid Waste Disposal Act is amended
by adding the following new subsection after subsection (b) thereof:
"(c) FEDERAL FACILITY INSPECTIONS.—Beginning twelve months
after the date of enactment of the Hazardous and Solid Waste
Amendments of 1984, the Administrator shall, or in the case of a
State with an authorized hazardous waste program the State may,
undertake on an ynnunl basis a thorough inspection of each facility
for the treatment, storage, or disposal of hazardous waste which is
owned or operated by a Federal agency to enforce its compliance
with this subtitle and the regulations promulgated thereunder. The
records of such inspections shall be available to the public as
provided in subsection (b).".
STATE-OPERATED FACILITIES
SEC. 230. Section 3007 of the Solid Waste Disposal Act is amended
by adding the following new subsection after subsection (c):
"(d) STATE-OPERATED FACILITIES.—The Administrator shall annu-
ally undertake a thorough inspection of every facility for the treat-
ment, storage, or disposal of hazardous waste which is operated by a
State or local government for which a permit is required under
section 3005 of this title. The records of such inspection shall be
available to the public as provided in subsection (b).'.
MANDATORY INSPECTIONS
SEC. 231. Section 3007 of the Solid Waste Disposal Act is amended
by inserting the following new subsection after subsection (d)
thereof:
"(e) MANDATORY INSPECTIONS.—(1) The Administrator (or the
State in the case of a State having an authorized hazardous waste
program under this subtitle) shall commence a program to thor-
oughly inspect every facility for the treatment, storage, or disposal
of hazardous waste for which a permit is required under section
3005 no less often than every two years as to its compliance with
this subtitle (and the regulations promulgated under this subtitle).
Such inspections shall commence not later than twelve months after
the date of enactment of the Hazardous and Solid Waste Amend-
ments of 1984. The Administrator Khali, after notice and opportunity
for public comment, promulgate regulations governing the mini.
mum frequency and manner of such inspections, including the
manner in which records of such inspections shall be maintained
and the manner in which reports of such inspections shall be filed.
The Administrator may distinguish between classes and categories
of facilities commensurate with the risks posed by each dags or
category.
OSWER Dir. No. 9938.2A 1-15 March 1988
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EXHIBIT 1-1. (CONTINUED)
"(2) Not later than six months after the date of enactment of the
Hazardous and Solid Waste Amendments of 1984, the Administrator
shall submit to the Congress a report on the potential for inspections
of hazardous waste treatment, storage, or disposal facilities by
nongovernmental inspectors as a supplement to inspections con-
ducted by officers, employees, or representatives of the Environmen-
tal Protection Agency or States having authorized hazardous waste
programs or operating under a cooperative agreement with the
Administrator. Such report shall be prepared in cooperation with
the States, insurance companies offering environmental impairment
insurance, independent companies providing inspection services,
and other such groups as appropriate. Such report shall contain
recommendations on provisions and requirements for a program of
private inspections to supplement governmental inspections."
OSWER Dir. No. 9938.2A 1-16 March 1988
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The authority to conduct inspections under the auspices of RCRA is speci-
fically stated in Section 3007(a) of the Act as being granted to the EPA
Administrator and any State having an authorized hazardous waste program.
Officers, employees, or representatives of the EPA and the above-mentioned s
that are duly designated by the Administrator and the States, respectively,
are authorized to:
o Enter at reasonable times any establishment or other place where
hazardous wastes are, or have been, generated, stored, treated,
disposed of, or transported from.
o Obtain from any person samples for the inspection of any such wastes
as well as samples of any containers or labelling for such wastes.
Inspections must be conducted in a prescribed manner, which includes the
following:
o Presenting EPA or State identification.
o Entering the establishment at a reasonable time and completing the in-
spection as promptly as possible.
o Issuing a receipt for any samples obtained.
o Providing a duplicate sample (split sample) if requested.
o Furnishing a copy of any sample analysis, if conducted, to the
owner, operator, or agent in charge.
Although compliance inspections may result in enforcement actions, they
generally will not involve the need to inform individuals of their rights
under the Fifth Amendment of the United s Constitution. (e.g., to provide
them with a "Miranda" warning) The Fifth Amendment provides that "No person
shall be compelled in any criminal case to be a witness against himself."
Issues concerning this right arise whenever a person is taken into custody or
otherwise has his or her freedom restricted by law enforcement officers.
Because inspections under RCRA are generally not conducted by law
enforcement officers and do not involve custodial situations, Fifth Amendment
rights normally are not implicated.
Confidential Business Information Access Authorization
An inspector who conducts RCRA inspections will probably encounter confi-
dential business information (CBI) at some time or another. Inasmuch as this
information may only be viewed by individuals who have been cleared for
access, all inspectors should have CBI access authorization. This
authorization is granted by either the EPA's Deputy Administrator for General
Enforcement or the duly designated State-level representative in the case of a
State-run hazardous waste program.
OSWER Dir. No. 9938.2A 1-17 March 1988
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1.6
Work Ethics
Inspection personnel are expected to perform their duties in a
professional and responsible manner. Personnel shall:
o Develop and report the facts of an investigation completely,
accurately, and objectively.
o Conduct themselves at all times in accordance with the regulations in
the EPA handbook, Responsibilities and Conduct for EPA Employees.
o Avoid, in the course of an investigation, any act or failure to act
which could be considered motivated by reason of personal or private
gain.
o Make a continuing effort to improve their professional knowledge and
technical skill in conducting hazardous waste inspections.
Conflicts of Interest
A conflict of interest may exist whenever an inspector has a personal or
private interest in a matter which is related to his or her official duties
and responsibilities. It is important to avoid even the appearance of a
conflict of interest because the appearance of a conflict damages the
integrity of the EPA or State agency and their employees in the eyes of the
public. All employees must, therefore, be constantly aware of situations
which are, or give the appearance of being, conflicts of interest when dealing
with others inside or outside of government. For a detailed discussion of the
situations and/or activities which may result in conflict of interest,
personnel are directed to the publication, Responsibilities and Conduct for
EPA Employees. which can also be found in the Federal Register (38 FR No. 73),
April 17, 1973.
OSWER Dir. No. 9938.2A 1-19 March 1988
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Public Relations
It is important that cooperation be obtained and good working relations
established when working with the public. This can best be accomplished by
using diplomacy, tact, and persuasion. Even a hostile person should be
treated with courtesy and respect. Personnel should not offer opinions
concerning any person, other regulatory agency, or manufacturer or industrial
product. All information acquired in the course of duty is for official use
only.
Gifts, Gratuities, Favors, Luncheons, Etc.
An EPA employee is forbidden to solicit or accept any gift, gratuity,
entertainment (including meals), favors, loans, or any other thing of monetary
value from any person, corporation, or group having a contractual or a
financial relationship with EPA, having an interest that may be substantially
affected by such employee's official actions, or conducting operations
regulated by EPA.
Attempted Bribery
Money in varying amounts may be offered by persons whose activities are
being investigated. Offers are usually made by people unfamiliar with EPA
rules or regulations. Other bribes may be blatant attempts to whitewash a
serious violation or condition or to cause the withholding of damaging
information or observations. Inspectors should:
o Ask "What is this for?" if offered something of value.
o Explain politely, if the offer is repeated, that both parties to such
transactions may be guilty of violating Federal statutes.
o Not accept money or goods of any kind.
o Immediately report the incident in detail to their supervisor.
OSWER Dir. No. 9938.2A 1-20 March 1988
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INSPECTION PREPARATION
-------
Chapter Two
Preparing
for the Inspection
SECTION PAGE
2.1 PURPOSE AND OBJECTIVES OF INSPECTION 2-3
PREPARATION
2.2 DEFINING THE SCOPE OF THE INSPECTION 2-5
2.3 COORDINATING THE INSPECTION 2-7
Permitted Facilities 2-8
Enforcement Actions 2-9
2.4 DEVELOPING AND REVIEWING THE FACILITY FILE 2-11
2.5 REVIEWING APPLICABLE REGULATIONS AND ENFORCEMENT 2-15
DOCUMENTS
2.6 DEVELOPING FACILITY-SPECIFIC INSPECTION PLANS 2-17
AND CHECKLISTS
Notifying the Facility 2-18
Determining Health and Safety Requirements 2-19
2.7 IDENTIFYING INSPECTION EQUIPMENT 2-21
2.8 COMPLETING THE PRE-INSPECTION WORKSHEET 2-29
OSWER Dir. No. 9938.2A 2-1 March 1988
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2.1
Purpose and Objectives
of Inspection Preparation
Adequate preparation is critical to the effective performance of RCRA
inspections. Generally, inspectors will have only a relatively brief period
of time on-site in which to perform an inspection; therefore, it is important
that the inspection be properly scoped and planned in order to use time on-
site as efficiently as possible and to insure that all aspects of the facility
which should be evaluated are inspected.
The inspector's objectives in preparing for the inspection should include
the following:
o To determine the scope and objectives of the inspection.
o To coordinate inspection activities with other regulatory or enforce-
ment personnel as necessary.
o To develop a thorough understanding of the technical, regulatory, and
enforcement aspects of the facility.
o To develop a plan or strategy for conducting the inspection consistent
with inspection objectives.
o To determine health and safety requirements and equipment needs.
Activities the inspector should undertake to achieve these objectives are
discussed in the following sections.
OSWER Dir. No. 9938.2A 2-3 March 1988
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2.2
Defining the
Scope of the Inspection
The critical initial step in planning an inspection is to define the
scope of the inspection. Generally, the scope will depend largely on the
purpose and objectives of the inspection. For example, the scope of a routine
compliance evaluation inspection (the purpose of which is to assess overall
facility compliance with RCRA standards) will be different from the scope of
an inspection performed to assess facility compliance with permit deadlines.
Therefore, the inspector must first determine the purpose and objectives
of the inspection in order to define the scope. This is most easily
accomplished through discussions with supervisory or other relevant
enforcement personnel, such as an enforcement compliance specialist.
Typically, inspections may be performed for a number of purposes, including:
o Routine periodic assessment of RCRA compliance.
o Review of facility activities or status with respect to an
administered enforcement action.
o Review of facility compliance with deadlines established in the
facility's-RCRA permit.
o Response to information received concerning alleged violations at the
facility.
Inspections for some of these purposes will be broad in scope. For
example, routine compliance inspections or inspections performed in response
to information received concerning alleged violations will generally be
comprehensive in scope, and entail a detailed evaluation of all RCRA related
activities at the facility. This detailed evaluation includes a review of all
RCRA required records and, in some cases, waste sampling. During the record
review, the inspector reviews all of the facility's RCRA records to determine
if the facility has prepared and maintains all required records or plans, is
keeping all required records and plans up-to-date, and is maintaining them for
the required period (e.g., three years). Additionally, the inspector should
evaluate, to the extent possible, whether or not data may have been falsified.
Conducting the record review is discussed in Section 4.3. Waste sampling
generally is not performed during routine compliance evaluations. However, it
OSWER Dir. No. 9938.2A 2-5 March 1988
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may be necessary in some situations to verify the identity of wastes managed
at the facility (e.g., in situations where the inspector believes there is a
discrepancy between the wastes reported by a facility and the wastes typically
generated or managed in the industry), or to identify potential releases of
hazardous wastes. The need for sampling should be determined during
inspection planning, discussed in Section 2.6. Sampling is also discussed
further in Section 4.4.
Inspections for purposes other than routine compliance evaluation, such
as to review facility status with respect to an enforcement order, may appro-
priately be limited to a review of the status of only those activities or
waste management units covered by requirements of the order. For these types
of inspections, it may not be necessary nor a good use of Regional or State
resources to perform a comprehensive inspection, although in some cases it may
be desireable to perform such an inspection because two goals can be
accomplished with one trip to the facility. Of course, even when the scope of
the inspection is initially expected to be limited, inspectors may, once on-
site, determine that a more comprehensive evaluation should be performed due
to the conditions encountered and should be prepared for such a situation.
Determining the purpose and scope of the inspection helps the inspector
determine how to proceed with preparation for the inspection. The purpose and
scope will help the inspector determine:
o What offices or agencies to coordinate the inspection with.
o What information on the facility and aspects of the facility the
inspector should concentrate on in developing background information
and studying the facility.
o What regulations and enforcement documents to obtain and review in
preparation for the inspection.
o Whether or not sampling will be required during the inspection (pre-
paring for sampling during the inspection is not within the scope of
this document; inspectors should refer to the Technical Case Develop-
ment Guidance Document, available from the Office of Waste Programs
Enforcement, for guidance on sampling during inspections).
o Whether or not it is appropriate to notify the facility prior to the
inspection.
Therefore, the inspector should be certain to have a clear understanding of
the scope of the inspection based upon discussions with or written
communications from his or her supervisor or other enforcement personnel, as
appropriate to the Region or State.
OSWER Dir. No. 9938.2A 2-6 March 1988
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2.3
Coordinating
the Inspection
Inspectors should identify, based upon the scope and nature of an
inspection and in consultation with their supervisors, what other offices
within their agency and in sister Federal, State, or local agencies may be
interested in the performance of the inspection. They should then contact
these offices or agencies to coordinate inspection performance.
In general, inspections may be of interest to other offices or agencies
for several reasons. For example, other offices or agencies may be interested
because:
o They are pursuing a planned action that might be interfered with by
the inspection or should be coordinated with the performance of the
inspection.
o The inspection may provide incidental information that would be useful
to them in their own regulatory or enforcement activities (e.g., an
inspection at a facility with an NPDES permitted wastewater treatment
facility that may be of special interest to the office responsible for
water enforcement).
o The inspection is in part or in total being performed to provide them
with information at their request (e.g., an inspection performed to
verify permit application information or support an enforcement
action).
o They share jurisdiction for RCRA enforcement at the facility, in which
case scheduling joint inspections may be desireable (e.g., where a
State agency has partial authorization covering some units at a
facility, and the remaining units are subject to EPA enforcement).
Coordination activities the inspector may undertake will depend upon the
particular situation, but may include:
o Scheduling joint inspections with other offices or agencies.
o Scheduling the inspection so as to avoid interfering with planned
activities of other agencies or offices.
OSWER Dir. No. 9938.2A 2-7 March 1988
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o Conferring with other offices or agencies to insure that the
inspection satisfies their information needs (to the extent possible
within the scope of the inspection).
o Obtaining relevant information on the facility's administrative or
enforcement status, such as pending enforcement actions under RCRA or
other environmental programs.
o Clarifying the scope of the inspection and areas of particular
interest to the office requesting the inspection (e.g., the
enforcement compliance specialist).
o Clarifying permit conditions or the status of the facility's permit
application with the permit writer.
o Obtaining technical information on the facility from the permit
writer.
o Obtaining facility information from other agencies. In particular,
federal inspectors may find State and local agencies to be good
sources of information on the facility. For example, some States
maintain waste manifest records or histories that are useful in
preparing for an inspection. Similarly, State inspectors may find
that the Regional EPA office has useful information on the facility
obtained prior to State authorization or for other purposes (e.g., the
NPDES program).
Inspectors, or their supervisors, should make sure that all appropriate people
have been contacted to insure that the scheduling of the inspection will not
interfere with any planned, ongoing actions and that inspection resources will
be used as efficiently as possible.
Permitted Facilities
It is particularly important that the inspector contact the responsible
permit writer before inspecting facilities that have applied for or received a
permit. Where the facility's permit application is undergoing review, the
permit writer and the application will usually be valuable sources of informa-
tion on the facility, and the permit writer may have information needs that
the inspector can fulfill during an inspection (e.g., verifying completion of
modifications to the facility which the permit applicant has stated have been
made in amendments to the permit application). Where a facility has received
its permit, the permit writer and permit are valuable information sources, and
the permit imposes site-specific requirements that are subject to enforcement
and should be evaluated during the inspection. In either case, the permit
writer may be able to identify for the inspector suspected problem areas at a
facility. Inspecting permitted facilities is discussed in detail in Chapter 3
of this document.
OSWER Dir. No. 9938.2A 2-8 March 1988
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Enforcement Actions
Where the inspection is being conducted to support an enforcement action
(e.g., to determine if a facility has come into compliance with the terms of
an enforcement order), it is very important for the inspector to coordinate
the inspection with the appropriate compliance officer or the attorney
assigned to the action. They will be able to explain the specifics of the
action and identify important areas to be reviewed at the facility in order to
achieve inspection objectives. Inspectors should advise the attorney or
compliance officer of the time and date of the inspection, and should obtain
the phone number of the attorney or officer so that the inspector can contact
him or her from the field if the inspector needs to confer on specific aspects
of the inspection while at the facility (the inspector must make any such
calls from the field confidentially, preferably from an off-site phone, and
should give no indication to the owner/ operator that a conference has
occurred).
The inspector should also determine from the compliance officer or
attorney how to submit inspection results. Normally, inspection results are
submitted in the inspector's report (discussed in Chapter 5); however, results
can be "fast tracked" to the requesting office to expedite response actions.
OSWER Dir. No. 9938.2A 2-9 March 1988
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2.4
Developing and Reviewing
the Facility File
Regional and State RCRA program offices generally will have one or more
existing file(s) on each facility to be inspected and/or may have information
available on the facility through an automated data processing (ADP) system,
such as the RCRA Information System (RCRIS) system currently being developed
by EPA. In many Regions and States, one program office is responsible for all
RCRA activities (e.g., permitting, inspections, and enforcement) and will have
a central program file on each facility. In other Regions and States,
responsibility for permitting, inspections, and enforcement is split among
several offices and separate files may be maintained by these offices. These
files typically will contain somewhat different information on the facility
because they have been developed for different purposes.
In general, the office responsible for RCRA inspections should have a
central inspection file on each RCRA facility. This inspection file may be
part of a central program file serving all program needs (permitting, inspec-
tions, and enforcement), or it may be a file maintained solely for purposes of
the office responsible for inspections. The inspector should maintain the
central inspection files on each RCRA -facility within his or her area of
responsibility, updating the files as new information becomes available (e.g.,
results of recent inspections). Where inspection files are not part of a
central program file, maintaining the file may require periodically reviewing
and obtaining new data from files maintained by the offices responsible for
permitting, enforcement, or other activities in the EPA Regional office and/or
State agency. Before an inspection, the inspector should review the inspection
file to determine the adequacy and timeliness of information in the file, and
obtain additional or updated information from other offices as appropriate.
This activity can be performed when coordinating the inspection, as discussed
in section 2.3.
OSWER Dir. No. 9938.2A 2-11 March 1988
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The inspection file should contain any and all information relating to
the facility's RCRA activities. At a minimum, the file should contain:
o A summary of names, titles, locations and phone numbers of the
responsible persons (operators, plant officials, municipal officials,
etc.) involved in the facility's hazardous waste program. In many
cases, this information may be incorporated in the Regional or State
ADP system in order to facilitate contacting the facility.
o A flow chart or other illustration showing processes used and design
features of present and planned units and processes at the facility.
o For treatment, storage, and disposal facilities (TSDFs), a list of the
wastes that are treated, stored, or disposed by type of management.
o For generators, a list of the wastes generated, including their
origin.
o Inspection reports from previous State or Regional inspections,
including photographs.
o A compliance history of the site, including a listing of any past
compliance or enforcement actions and the current status of the
actions. This history should include copies of correspondence
relating to compliance or enforcement actions.
o Biennial, annual, or other reports submitted by the facility to the
State or Region including the most recent monitoring reports where
applicable.
o Previous EPA studies, consultant's reports, and laboratory reports.
o Citizens' complaints filed against the facility.
o A detailed map or plot plan showing the facility layout and location
of waste management units, and any available sketches or drawings of
the waste management units.
o Records of any phone conversations with facility representatives.
o The letter of notification of inspection sent to the facility and any
response (if the facility is notified).
c The facility's RCRA Notification Form.
o The facility's RCRA Part A Permit application (for TSDF's).
o The facility's RCRA Part B Permit application (for TSDF's, if
applicable).
o The facility's final RCRA permit (for TSDF's, if applicable).
OSWER Dir. No. 9938.2A 2-12 March 1988
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Note that the facility's Part A application, Part B application, and/or permit
will provide some of the information listed in the preceding bullets,
including a plot plan or map and, possibly, a flow chart or illustration
showing processes and design features. Part B permit applications and final
permits may be lengthy documents which may not be convenient to duplicate in
the inspection file if they are already maintained in the files of another
office; it may be more efficient and convenient to note in the central
inspection file where these documents are maintained and how they may be
obtained for review by the inspector (e.g., the point-of-contact for obtaining
the document, such as the permit writer). Inspection planning for permitted
facilities is discussed in detail in Chapter 3.
Once the inspector has obtained or, if necessary, assembled the
inspection file, the inspector should review file information to:
o Develop a thorough technical understanding of the facility, the wastes
managed, the waste management units used, and the processes employed
at the facility which generate and treat wastes (as applicable).
o Develop an understanding of the compliance history of the facility,
including past violations, facility efforts to correct compliance
problems, and potential violations which may not have been remedied.
o Identify potential violations to be evaluated during the inspection
based upon citizen complaints or inconsistencies in file materials.
o Determine applicable regulations for review (discussed in Section
2.5).
o Support development of the inspection plan for the facility (discussed
in Section 2.6) .
Where the facility to be inspected is a manufacturing plant, the
inspector may want to obtain additional information on the types of processes
used at the plant in order to better understand plant activities once on-site.
Several EPA documents and other standard references on industrial processes
are available; these include:
o Chemical and Process Technology Encyclopedia. Douglas M. Considine,ed.
New York: McGraw-Hill Book Co., 1974.
o Encyclopedia of Chemical Technology. Herman Mark, Donald Othmer,
Charles Overberger, and Glenn Seaborg, eds. New York: John Wiley
Sons, 1982.
OSWER Dir. No. 9938.2A 2-13 March 1988
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o Effluent Guidelines Development Documents, EPA, Office of Water Regu-
lations and Standards, Effluent Guidelines Division. Effluent
guidelines documents have been prepared for numerous industries
regulated through categorical discharge standards promulgated under
authority of the Clean Water Act.
o Background Documents for Waste Listing, EPA, Office of Solid Waste.
Background documents have been prepared by EPA for all listed
hazardous wastes, providing information on the material listed, its
generation, and the basis for listing it as a hazardous waste.
o Understanding the Small Quantity Generator Hazardous Waste Rules -
A Handbook for Small Business. EPA, Office of Solid Waste, Pub. No.
530/SW-86-019.
o Industrial Pollution Control: Issues and Techniques. Nancy Sell,
Ph.D., New York: Van Nostrand Reinhold Co., 1981.
o Theories and Practices of Industrial Waste Treatment. N.L. Nemerow,
Reading, Mass: Addison-Wesley, 1963.
o Industrial Water Pollution Control. W.W. Eckenfelder, Jr., New York:
McGraw-Hill Book Co., 1966.
o Liquid Wastes of Industry: Theories. Practices and Treatment. N.L.
Nemerow, Reading, Mass: Addison-Wesley, 1971.
o Industrial Water Pollution: Origins. Characteristics, and Treatment.
N.L. Nemerow, Reading, Mass: Addison-Wesley, 1978.
o Stationary Point and Area Sources. EPA, Pub. No. AP 42.
o Air Pollution Engineering Manual, EPA, Pub. No. AP 40.
o Various publications of the Air Pollution Control Association on
industrial sources of air pollution.
I
OSWER Dir. No. 9938.2A 2-14 March 1988
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2.5
Reviewing Applicable
Regulations and
Enforcement Documents
Inspectors should determine, obtain, and review applicable regulations
and enforcement documents pertaining to the facility. Generally, inspectors
can determine which regulations apply to a facility based upon the information
in the facility file. Inspectors can obtain copies of new or recently promul-
gated regulations from their enforcement office or from the Regional or State
legal counsel.
It is important that inspectors use the most current versions of regula-
tions when reviewing applicable standards. Federal RCRA standards are
published in their entirety annually in Title 40 of the Code of Federal
Regulations. Amendments to the Federal standards promulgated periodically
during the year are published in the Federal Register, which appears daily.
Information on recently published amendments, and answers to questions
regarding the RCRA standards generally, can be obtained from the RCRA-
Superfund HOTLINE at the following number:
o HOTLINE - 1-800-424-9346, or FTS 382-3000.
Keeping up with RCRA and obtaining recent amendments to Federal standards are
discussed in detail in Appendix I.
The purpose of reviewing applicable standards is to refresh the
inspector's knowledge of the standards that apply to the particular facility
and what constitutes a violation of those standards. The inspector should be
aware that changes in regulations which may have occurred following previous
inspections may change the compliance status of a facility. Activities which
may have complied with previous standards in effect at the time of an earlier
inspection may not comply with current standards. Thus, the results of
previous inspections, usually recorded on checklists, should be critically
reviewed in light of regulatory changes which may have occurred since the
inspection.
The inspector should be sure to fully understand the intent and
interpretation of applicable standards in order to be able to evaluate
situations which may require refined knowledge of the standards, and to answer
facility representatives' questions on the regulations (within the inspector's
OSWER Dir. No. 9938.2A 2-15 March 1988
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ability and authority). If the inspector has questions concerning regulatory
intent or interpretation, they can generally be answered through:
o Discussion of the regulation with other inspection personnel, his or
her supervisor, or compliance personnel.
o Review of the preamble material that accompanies regulations when pub-
lished in the Federal Register.
o Review of policy or technical guidance on the regulation. The RCRA
Hotline can identify specific applicable guidance available from EPA.
In general, the first of these alternatives is the most efficient way to
answer questions because it saves the inspector from having to obtain and
review a large volume of material in order to determine an answer.
Some State and Regional offices have developed an approach for
institutionalizing the development of specialized regulatory expertise among
inspection staff in order to be able to quickly answer regulatory questions
in-house. Under this approach, responsibility for maintaining current
knowledge of RCRA standards is divided among the inspection staff by subject
area (e.g., landfills, incinerators). Inspection personnel are assigned
individual responsibility for developing and maintaining regulatory expertise
on a specific subject area. For their respective subject areas, the inspection
personnel are required to understand the interpretation and intent of existing
regulations, and to track and understand changes to the regulations as they
are made. Regional and State enforcement supervisors should consider
implementation of such a program.
Where the purpose of the inspection is to support an enforcement action
(e.g., to evaluate facility progress in meeting compliance deadlines in an
enforcement order), the inspector should obtain the applicable documents from
the enforcement office, compliance specialist, legal counsel, or other appro-
priate office or enforcement official. Generally, the inspector should obtain
these documents when coordinating the inspection, as discussed in Section 2.3.
The inspector should review the enforcement documents to determine:
o The specific activities or units of interest at the facility.
o The specific non-complying conditions or violations of interest.
o The specific activities the facility is required to have performed
or to be performing in order to come into compliance.
o The schedule according to which activities being performed to correct
violations are to be completed, and intermediate milestones towards
completion of required activities.
Knowing these items is important in determining the appropriate strategy for
inspecting the facility and developing an inspection plan, discussed in
Section 2.6.
OSWER Dir. No. 9938.2A 2-16 March 1988
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2.6
Developing Facility-
S
P
pecific Inspection
ans and Checklists
Once the inspector has determined the scope of the inspection, discussed
the inspection with relevant personnel, and reviewed all background
information and standards relevant to the facility, he or she should prepare a
brief plan for inspecting the facility. Generally, the inspection plan does
not need to be elaborate, formal, or conform to any particular format (unless
the Region or State has specific inspection plan requirements); rather, the
plan should be prepared in accordance with the preferences of the individual
inspector. The inspection plan is usually used only by the inspector to help
organize his or her thoughts on the inspection and prepare an inspection
strategy.
Generally, the inspection plan should address such topics as:
o Notifying the facility - should the facility be notified prior to the
inspection or will inspection objectives best be met by performing a
"surprise" inspection.
o Entering the facility - how should the inspector proceed upon entry to
the facility? Should the inspector conduct an opening conference with
facility representatives immediately following entry to discuss the
purpose of the inspection, or first proceed with a visual inspection
of certain operations or units or interest at the facility (before the
owner/operator may have time to stop or conceal possible violations)?
o Conducting an opening conference - what topics does the inspector want
to discuss with facility representatives prior to reviewing facility
records and conducting the visual inspection of the facility? If the
inspector does not intend to conduct the opening conference
immediately after entry, when does he or she want to conduct the
conference, if at all?
o Performing the record review - what facility records should the
inspector pay particular attention to (review most thoroughly),
based on information reviewed on the facility and any enforcement
actions being undertaken?
OSWER Dir. No. 9938.2A 2-17 March 1988
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o Conducting the visual inspection - what route through the facility
or order of inspection does the inspector want to follow, if possible?
What should the inspector be paying particular attention to in
inspecting individual units (e.g., compliance with requirements of an
enforcement action)?
Generally, the plan should lay out how the inspector intends to proceed once
on-site, and highlight any particular questions the inspection should address.
Conducting the inspection is discussed in Chapter 4, which provides details on
performing the activities listed above.
The inspection plan can also be used by the inspector as a way to
organize information that the inspector may need while on-site, such as names
and phone numbers of the facility representatives to be met with, the name and
phone number of the enforcement attorney assigned to facility (if applicable),
and similar information.
As part of the planning process, the inspector should determine which
checklists (if any) to use for assessing facility compliance with RCRA
standards. Example checklists are provided in Appendix IV of this document;
inspectors may use these checklists, or checklists which have been developed
or selected for use by their Regional office or State agency. Inspectors
should review checklists during the planning stage to familiarize themselves
with the information required, and make any changes necessary to the checklist
to incorporate requirements of enforcement orders, amendments to regulations,
or State-specific standards. When inspecting permitted facilities, inspectors
may want to develop facility-specific checklists which address permit
requirements; preparing for inspecting permitted facilities is discussed in
Chapter 3.
Notifying the Facility
Notifying the facility prior to an inspection may or may not be
appropriate depending upon:
o The purpose of the inspection and inspection strategy.
o Regional or State policy concerning notification.
o Suspicion that the facility is engaged in illegal dumping or other
illegal (particularly criminal) activities.
o The length of time the inspection is expected to require. Long
inspections of complex facilities may require a substantial amount of
facility workers' time. It may be desireable to schedule long
inspections with the facility to insure that facility staff are
available, unless the purpose of the inspection requires surprise.
For example, it may (depending on Regional or State policy) be appropriate to
notify facilities of routine periodic compliance inspections when the facility
OSWER Dir. No. 9938.2A 2-18 March 1988
-------
is not expected to have significant violations (e.g., based on past
inspections) and the inspector needs to speak with specific facility
personnel. However, it will not be appropriate to notify a facility suspected
of criminal illegal dumping or other criminal violations prior to an
inspection, because notification would provide the facility with an
opportunity to cover-up the illegal activity. Generally, it will not be
appropriate to notify facilities in advance of inspections performed where
violations are known or suspected to exist, where the purpose of the
inspection is to support a specific enforcement action, and/or where a "cover-
up" is anticipated.
Inspectors should consult with their supervisors and responsible
compliance officers or attorneys if they have questions concerning whether or
not to notify a facility of an inspection. Methods used to notify facilities
vary with inspection purpose, and include:
o An annual notification letter which establishes the authority for
inspections without specifying an inspection date.
o A specific inspection letter sent out a month before the inspection
informing the facility that an inspection will be conducted within
a month.
o An advance phone call to the facility to notify the facility of the
inspection date and make appointments to see particular personnel.
The first two methods can be used alone, in conjunction with the third method,
or not at all. An advance phone call may be used in conjunction with a letter
and generally is used prior to inspections where certain records are to be
checked (to insure they are available to the inspector), certain personnel are
to be interviewed, or comprehensive sampling is to be performed (for arranging
split sampling).
When notifying the facility by phone or specific inspection letter, the
inspector should inform the facility of the inspector's name and the organiza-
tion or agency the inspector represents.
Determining Health and Safety Requirements
Although routine inspections generally do not involve activities in which
inspectors must physically contact hazardous wastes (except inspections
involving sampling, in which incidental contact with wastes may occur), there
is always the potential for inspectors to be exposed to hazardous wastes or
substances during the course of an inspection. Therefore, in planning the
inspection, inspectors should:
o Determine the nature of the chemical hazards that may be encountered
during the inspection (based on the types of materials handled on-
site, as identified in the file review).
OSWER Dir. No. 9938.2A 2-19 March 1988
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o Identify and obtain proper safety equipment.
o Become familiar with the proper use of safety equipment (if not
already familiar with its use), check equipment for proper function,
and perform necessary maintenance on the equipment (if appropriate and
within the technical abilities of the inspector).
o Obtain and become familiar with all applicable safety guidances and
practices. Information on EPA directives on safety and health, and
on Occupational Safety and Health Administration (OSHA) standards
for hazardous waste facilities, is provided in Appendix V.
o Determine any facility-specific safety requirements by contacting
the facility (only in cases where the facility is being notified
of the inspection) or by review of previous inspection notebooks.
The inspection equipment checklist in Section 2.7 lists health and safety
equipment that may typically be required in performing routine compliance
inspections. In many cases, facilities may require that the inspector have
standard safety equipment listed on this checklist. Inspectors should use
this checklist in conjunction with information on the chemical hazards at the
facility and applicable EPA guidance and OSHA requirements to select
appropriate health and safety equipment for performing the inspection.
In some cases, the inspector will have limited information on the
facility, or may be inspecting an uncontrolled site. The inspector should be
prepared to encounter the worst conditions in such cases. Inspectors should
never proceed with inspections involving site conditions for which they are
not prepared and do not have the proper safety equipment.
OSWER Dir. No. 9938.2A 2-20 March 1988
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2.7
Identifying
nspection Equipment
The kind of equipment that the inspector takes into the field is depen-
dent on the kind of inspection to be performed and the type of facility to be
inspected. Inspectors should use their knowledge of the facility,
understanding of inspection objectives, training, and experience to decide
which equipment is necessary for a particular inspection. Inspectors may wish
to consult with other inspection personnel or their supervisor in determining
equipment requirements. Inspection requirements, the availability of certain
equipment, and Regional or State policies and conditions should also be
considered when selecting equipment during inspection planning.
Exhibit 2-1 provides a list of equipment that is commonly used in per-
forming inspections. Inspectors may not need all of the equipment listed for
every inspection; however, inspectors may need additional equipment for some
inspections. The list is divided into four categories of equipment: general
equipment, safety equipment, sampling equipment, and paperwork. Exhibit 2-2
provides examples of several forms that may be required during inspections.
The inspector should identify and obtain the equipment necessary to
perform the inspection from the appropriate source. The inspector should
check inspection equipment to insure that it is in good working order prior to
going into the field, and should perform, or have performed by the appropriate
agency personnel, any needed maintenance or repairs. The inspector should
also insure that he or she is familiar with the use of the equipment;
generally, the use and operation of most of the standard inspection equipment
listed is apparent.
Special circumstances may require the use of additional equipment such as
fireproof clothing or self-contained breathing apparatus. The inspector
should determine whether such additional equipment is necessary in conjunction
with his or her supervisor, and, if appropriate, the facility's owner/operator
or plant manager.
OSWER Dir. No. 9938.2A 2-21 March 1988
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EXHIBIT 2-1. LIST OF INSPECTION EQUIPMENT
General Equipment
o Camera, film, and flash equipment c
o Pocket calculator c
o Tape measure c
o Clipboard <
o Waterproof pens, pencils and markers (
o Locking briefcase <
o "Confidential Business Information"
stamp (if needed) <
o Stamp pad <
o Envelopes pre-addressed to Document c
Control Officer (for CBI)
o Plain envelopes
o Polyethylene bags
o Disposable towels or rags
o Flashlight and batteries
o Pocket knife
o Pocket tape recorder
o Leve1
o Range finder/optical tape
measure
o Compass
o Stopwatch
o Wind meter or Admiral
Beaufort wind scale
o Square
o Ruler (for use as scale in
photos)
OSWER Dir. No. 9938.2A
2-22
March 1988
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EXHIBIT 2-1. (CONTINUED)
Safety Equipment
o Safety glasses or goggles
o Face shield
o Ear plugs
o Coveralls, long-sleeved
o Hard hat
o Plastic shoe covers (disposable)
o Rubber-soled, metal toed,
non-skid shoes
o Liquid-proof gloves
(disposable if possible)
o Long rubber apron
o Respirators and cartridges
o Self-contained breathing
apparatus
Paperwork
o Proper identification
o
Copy of facility's inspection file,
permit, and monitoring schedule,
including:
-maps
-photographs
-enforcement actions
o Notebook
o Notice of inspection (if applicable)
o Chain of custody record
o Checklists
o Code of Federal Regulations
or applicable State code
o EPA Regional or State forms for:
- inspection confidentiality
notice
- enforcement actions notice
- declaration of confidential
business information
- receipts for documents and o
samples
o Field data sheets
OSWER Dir. No. 9938.2A
2-23
March 1988
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EXHIBIT 2-1. (CONTINUED)
o Bucket auger
o Bucket
o Containers
- jars
- plastic (for metals)
- organic sample containers
Sampling Equipment
o Conductivity meter
o Thermometer
o Dissolved oxygen meter
o Steel tape measure
o Bailers
o Pumps
o Rope
o Glass tubes
o Ice
o Scoops
o Trowels
o Bacon Bomb
o Tape
- labelling
- duct
- electrical
o Sampling safety equipment
(in addition to equip, on
the safety equip, list)
- Tyvek suit
- booties
- gloves
- harnesses
- chemical resistant suit
- Organic Vapor Analyzer (OVA)
o Decontamination equipment
- buckets
- Alconex
- brushes
- grate
- deionized water
- solvents for equipment
cleaning
- steam cleaning machine
- plastic bags
OSWER Dir. No. 9938.2A
2-24
March 1988
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EXHIBIT 2-2. EXAMPLE CONFIDENTIALITY FORMS
U.S. ENVIRONMENTAL PROTECTION AGENCY
RCRA INSPECTION
CONFIDENTIALITY NOTICE
Name and Address of Inspectors )
Name of Individual to Whom Notice
Given
Name and Address of Facility
Owner, Operator, or Agent In Charge
Title
Address
Title Date
It is possible that EPA will receive public requests for release of the In-
formation obtained during Inspection of the facility above. Such requests
will be handled by EPA 1n accordance with provisions of the Freedom of In-
formation Act (FDIA), 5 U.S.C. 552; EPA regulations Issued thereunder, 40
CFR Part 2; and the Resource Conservation and Recovery Act, Section 3007,
as amended. EPA Is required to make Inspection data available in response
to FOIA requests, unless the Administrator of the Agency determines
that the data contains Information entitled to confidential treatment.
Any or all of the Information collected by EPA during the Inspection may be
claimed confidential, 1f 1t relates to trade secrets or commercial of finan-
cial matters that you consider to be confidential. If you make claims of
confidentiality, EPA will disclose the Information only to the extent, and
by the means of the procedures set forth 1n the regulations (cited above)
governing EPA's treatment of confidential Information. Among other things,
the regulations require that the EPA notify you 1n advance of publicly dis-
closing any Information you have claimed and certified confidential.
To claim Information confidential, you must certify that each claimed Item
meets all of the following criteria:
1. Your company has taken measures to protect the confidentiality of the
Information, and 1t Intends to continue to take such measures.
2. The Information 1s not, and has not been, reasonably obtainable with-
out your company's consent by other persons (other than governmental bodies)
by use of legitimate means (other than discovery based on a showing of spec-
ial need In a judicial or quasi-judicial proceeding).
3. The Information Is not publicly available elsewhere.
4. Disclosure of the Information would cause substantial harm to your com-
pany's competitive position.
At the completion of the Inspection, you will be given a receipt for all
documents, samples, and other materials collected. At that time you may
make claims that some or all of the Information 1s confidential and meets
the four criteria listed above.
OStfER Dlr. No. 9938.2A
2-25
March 1988
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EXHIBIT 2-2. (CONTINUED)
2
RCRA INSPECTION CONFIDENTIALITY NOTICE Facility
If you are not authorized by your company to make confidentiality claims,
this notice will be sent by certified mail, along with the receipt for doc-
uments, samples, and other materials, to the Owner, Operator, or Agent 1n
Charge of your firm, within two days of this date. That person rust return
a statement, specifying any information which should receive confidential
treatment.
This statement from the Owner, Operator, or Agent 1n Charge should be ad-
dressed to:
and mailed by registered, return-receipt requested mail with in seven (7)
calendar days of receipt of this Notice.
Failure by your firm to submit a written request that information be treat-
ed as confidential, either at the completion of the Inspection or by the
Owner, Operator, or Agent in charge, within the seven-day period, will be
treated by the EPA'as a waiver by your company of any claims for confiden-
tiality regarding the Inspection data.
To be completed by the facility official receiving this Notice:
I have received and read this Notice.
Name
Title
Signature
Date
If there is no one on the premises of the facility who 1s authorized to
make business confidentiality claims for the firm, a copy of this Notice
and other Inspection materials will be sent to the Owner, Operator, or
Agent 1n charge of the company. If there 1s another company official
who should also receive this Information, please designate below:
Name
Title
Address
OSWER Dir. No. 9938.2A
2-26
March 1988
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EXHIBIT 2-2. (CONTINUED)
REQUEST FOR CONFIDENTIAL
TREATMENT
Name of Individual
Firm Name
Title
Date
Firm Address
Information for which Confidential Treatment Is requested:
Acknowledgement of Claimant
The undersigned requests that confidential treatment of the Information de-
scribed be provided in accordance with provisions of the Freedom of Informa-
tion Act (FOIA), 5U.S.C.552; EPA regulations Issued thereunder. 40 CFR Part 2;
and the Resource Conservation and Recovery Act (RCRA), Section 3007, as amended.
The undersigned further acknowledges that he/she 1s authorized to make such claims
for his/her firm.
The undersigned also certifies that each Item described above meets all of
the following criteria: (1) The company has taken measures to protect the
confidentiality of the Information, and 1t Intends to continue to take such
measures: (2) The information is not, and has not been, reasonably attain-
able 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 1n a judicial of quasi-judicial proceeding; (3) The Infor-
mation 1s not publicly available elsewhere; and (4) Disclosure of the Infor-
mation would cause substantial harm to the company's competitive position.
Signature (Owner, Operator, or Agent)
Name of Inspector Title
Title
Inspector's Signature
OStfER Dir. No. 9938.2A
2-27
March 1988
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EXHIBIT 2-2. (CONTINUED)
U.S. ENVIRONMENTAL PROTECTION AGENCY
RECEIPT FOR SAMPLES AND DOCUMENTS
Inspectors ) Name and Address
Date Collected Samples Mere:
( ) Purchased
Sample Numbers
Firm Name and Address
Name of Individual
Title
( ) Received no charge (
Amount paid for Samples
Duplicate Samples Requested Method of Payment
( ) Yes ( ) No ( ) Cash ( ) Voucher ( ) To
)Borrowed
be Billed
The documents and samples of chemical substances and/or mixtures described
below were collected in connection with the administration and enforcement
of the Resource Conservation and Recovery Act.
Receipt for the document(s) and/or Sample(s) described below is hereby
acknowledged:
Signature (Owner, IJperator, or Agent
Title
Name of Inspector
Title
Inspector's Signature
OSWER Dir. No. 9938.2A
2-28
March 1988
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2.8
Completing the
Pre-lnspection Worksheet
A pre-inspection worksheet, shown in Exhibit 2-3, has been developed for
two purposes:
o As an internal check of pre-inspection activities.
o As a planning tool to enable the inspector to perform pre-inspection
activities more effectively.
This worksheet is designed to insure that, at a minimum, inspectors have
identified, assembled, and reviewed all relevant materials prior to departure
for the inspection. Proper preparation for the inspection, as documented by
completion of the worksheet, helps to insure that the inspection will be per-
formed efficiently and will meet inspection objectives. Since Regional and
State inspection needs, objectives, and procedures may vary, this worksheet is
intended as a guide and should be modified to reflect and incorporate the
specific needs of the inspector.
OSWER Dir. No. 9938.2A 2-29 March 1988
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EXHIBIT 2-3. PRE-INSPECTION WORKSHEET
Date
Completed
Description of Activity
Complete and verify the general information section of the
inspection report
Identify and obtain all relevant information:
Manifest history
Notification form
Part A permit application
Previous inspection reports
Correspondence
Part B permit application (if available)
Annual reports
Other
Assemble inspection package:
Notification form
Part A permit application
Previous inspection reports
Waste generation and characterization information
Information from air and water pollution control agencies or
offices
Inspection checklists
Copies of State statutes and regulations or Federal laws and
regulations
Safety equipment
Camera and film
Agency identification card
Sampling equipment (if necessary)
Other
Scheduling the investigation:
Letters of intent to visit/inspect
Establish date(s) of the inspection
Follow-up telephone call to confirm date(s) of the inspection
and request additional information be made available upon
inspection
Complete inspection plan
Other
OStfER Dir. No. 9938.2A
2-30
March 1988
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PERMITTED FACILITY
INSPECTIONS
-------
Chapter Three
Procedure for Developing
Permit-Specific
TSDF Inspection Plans
SECTION PAGE
3.1 INTRODUCTION 3-3
Alternative Approaches 3-4
Assembling Pertinent Materials 3-5
3.2 METHODOLOGY FOR DEVELOPING INFORMATION SHEETS 3-7
AND INSPECTION CHECKLISTS
3.3 DEVELOPING AN INSPECTION PROTOCOL 3-9
Site Orientation 3-10
Release Points 3-24
Other Conditions 3-27
OSWER Dir. No. 9938.2A 3-1 March 1988
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3.1
ntroduction
Generic checklists, reviewing the various 40 CFR Part 265 requirements,
proved useful for conducting interim status inspections. The checklists
served to guide less experienced inspectors through the facility, and served
as a helpful reminder to more experienced inspectors. Generic checklists were
"efficient" in that they were equally applicable to all facilities, although
facility-specific conditions, e.g., those imposed through orders and consent
decrees, created the need to supplement the generic checklist to some degree.
The fact that permitted facilities are subject to permit conditions based on
site-specific circumstances negates the value of a generic checklist approach
to inspections. Since each permit imposes site-specific requirements, no
single checklist can be used to review all permits. The purpose of this
Chapter is to describe methods for developing site-specific inspection plans
for permitted facilities.
At first glance, the task of creating site-specific inspection plans, as
opposed to using a generic checklist, appears inefficient, especially given
the length of the permit and its associated attachments. However, the
development of site-specific inspection plans offers several advantages to the
compliance and enforcement program, not the least of which is the opportunity
for the inspector to immerse him/herself in the facility's operations, and
understand the relationship of the facility's overall operations to subsequent
permit conditions. The very fact that the permit conditions are site specific
forces the inspector to understand the facility in greater detail. This, in
turn, should result in more thorough inspections.
. On the other hand, the cost of the inspection planning effort for
permitted facilities will likely be more resource intensive than inspection
planning for interim status facilities. The mere size of RCRA permits,
inclusive of all relevant attachments, attests to the potential magnitude of
the effort. Moreover, if the Region's inspection program is unable to retain
experienced inspectors, the long-term benefits of a comprehensive review of
the permit files will not be realized. The graduation of facilities into
permitted status puts an increased premium on the maintenance of an
experienced inspection staff.
OSWER Dir. No. 9938.2A 3-3 March 1988
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3.1.1 Alternative Approaches
This chapter does not endorse any single approach to developing facility
specific inspection plans. Two "models" are considered; the inspector may
choose either model, or a variation of either model. The two models are
listed below:
o Checklist: The concept is similar to the interim status checklist. The
inspector will need to review the permit files, select those conditions
that can be inspected readily, and use this as a basis for developing a
checklist. The checklist can be inclusive of all conditions, or focus on
specific conditions. An all inclusive check list may be designed to be
used for all subsequent inspections, whereas a focused checklist may only
be useful for a single case development inspection. Alternatively, the
all inclusive checklist can be made up of several components (e.g., the
waste analysis plan action) which may be selected for use, as
appropriate, in a more focused inspection.
o Permit Information Summary Sheets: Information summary sheets differ
from checklists in that they provide the inspector with only the most
basic facility information (that may be too complex or troublesome to
commit to memory), and a list of key points or concerns that need to
be covered during the inspection (e.g., concerns over possible releases
from one of the facility's units, or past compliance problems). This
information may include the number and status of facility units, both
regulated and non-regulated, their status (operational, closing, closed)
and waste generation and handling. Since only limited information is
provided on the summary sheets, the inspector needs to have familiarity
with the site, either through review of records or recent first hand
knowledge. This knowledge can obviate the need for the construction
of detailed checklists. A disadvantage of using an information summary
sheet is that the facility inspection probably will not allow for
verification of a facility's compliance with every aspect of its
permit. Use of summary sheets requires more judgment on the part of
the inspector, and may be inappropriate for less experienced inspectors.
Despite these shortcomings, the summary sheets still represent an
attractive, alternative, as inspectors can productively spend their
time focusing on: 1) assembling a detailed and exacting list of
concerns upon which the inspection will be based, and 2) applying
their knowledge and experience in investigating each of the identified
concerns.
In choosing either approach, management should consider several factors,
including: the purpose of the inspection, the complexity of the facility, and
the experience of the inspector. In any case, the selected technique should
assure that the goals of the inspection are successfully attained.
OSWER Dir. No. 9938.2A 3-4 March 1988
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3.1.2 Assembling Pertinent Materials
Upon the selection of an inspection approach, the inspector must
assemble all pertinent sources necessary to develop the selected protocol. The
first, and perhaps most important source is the expertise of other
Agency/State officials familiar with the site. Enforcement officials and
permit writers familiar with the facility may assist in determining the major
areas of interest at the facility, such as potential release points and past
compliance problems. In addition, these officials should be able to assist
the inspector in determining whether other documents, beyond those contained
in the permit, may be useful in arriving at a complete picture of the
facility.
At a minimum, the inspector should review the following pertinent
documents: (1) the permit (inclusive of all referenced attachments); (2) any
(Federal/State) orders and consent decrees; and (3) any "self implementing"
regulations to which the facility may be subject. Other documents of interest
may include past inspection reports, relevant guidance materials, RCRA
Facility Assessments, and past communications with the facility, e.g., Notices
of Deficiency (NODs). The purpose for reviewing the three major documents are
summarized below:
(1) The Facility's RCRA Permit and Permit Application - The permit
contains most of the site-specific conditions and requirements that a facility
must meet to be in compliance. If conditions of the facility permit are found
to be inconsistent with the regulations, the permit may serve as a shield.
The content of the facility permit takes precedence over any language
contained in the facility's part A or part B permit application.
The RCRA permit is generally comprised of a series of modules
addressing each of the following:
o A general facility description
o Standard conditions
o General facility conditions
o Unit specific conditions and requirements
o Detection monitoring requirements
o Compliance monitoring requirements
o Corrective action for regulated units
o HSWA corrective action for solid waste management units
o Post-closure requirements.
In general, these modules are written to track closely with the
regulations, but a variety of styles may be encountered. For example, some
permits may have all inspection requirements, or perhaps all reporting
requirements, organized in one place in the permit. A different format may
also result where State requirements go beyond the Federal RCRA requirements.
Inspectors are encouraged to discuss the contents of the permit with the
permit writer prior to file review.
OSWER Dir. No. 9938.2A 3-5 March 1988
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In reviewing the body of the permit, inspectors will find that numerous
references are made to the permittee's RCRA part B permit application, and
that specific portions of these documents are incorporated by reference.
Inspectors should be aware that the descriptions, procedures and protocols
which are referenced in this manner are enforceable permit conditions. As a
practical matter, this means that the inspector cannot rely solely on the main
body of the permit, but must also consult the referenced attachments.
Inspectors should also be aware that the public hearing process, prior to
permit issuance, may have resulted in changes being made to the submitted
information. These changes would be documented as part of the permit's
administrative record.
In some cases, inspectors will find that facilities have been issued
more than one RCRA permit. These permits may have been written at different
times and may regulate different units at the facility. It is also possible
that one permit will be issued by the State authority and another by EPA.
These situations arise where States lack the authority to impose certain
requirements, such as HSWA corrective action requirements. In such cases, the
EPA issued permit will cover only the HSWA requirements. Nonetheless, the
facility will have to meet both State and Federal requirements. Federal
inspectors may coordinate with State inspectors in conducting a complete
review of the facility. Alternatively, the Federal inspector can focus
his/her attention on the Federal requirements, leaving the State inspector to
conduct an inspection of facility compliance with State-imposed requirements.
(2) Orders and Consent Decrees - Any orders or consent decrees issued
to the facility are important because they contain specific provisions with
which the facility must comply. Where inconsistencies arise between the
permit and order/consent decree, the orders or consent decrees will take
precedence.
(3) RCRA Regulations - In some instances, permits will not have been
modified to reflect new regulations that were promulgated since the permit was
originally issued. This does not mean that the facility need not comply with
these requirements. Indeed, EPA has determined that many regulations are self
implementing, and do not require specific permit language to be enforceable.
Specific examples include the land disposal bans, double liner requirements
for surface impoundments, and the prohibition of liquids in landfills. In
addition, as new wastes are listed as hazardous, or new characteristics are
promulgated, additional wastes at the facility may be deemed hazardous. By
knowing the facility's production processes, the inspector may be able to
identify additional requirements with which the facility will need to comply.
OSWER Dir. No. 9938.2A 3-6 March 1988
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3.2
Methodology for
Developing Information
Sheets and Inspection
Checklists
The inspector needs to follow a consistent and logical strategy for
developing inspection procedures. The strategy should be focused on the
specific purpose of the inspection at hand, and be sensitive to the fact that
inspectors have only a limited amount of time to prepare for and actually
conduct inspections. Depending on time constraints, it may not prove possible
for inspectors to verify a facility's compliance with every single regulatory
provision (e.g. measurement of aisle space). Under such conditions,
inspection priorities may need to be structured. In other instances, time may
allow for a detailed review of all applicable requirements. A checklist is
only a tool for conducting an inspection; complete reliance on the checklist
as a means of preparing/conducting inspections is not recommended.
Information protocols should be developed in accordance with the
following basic principles:
o Where possible, questions should be phrased to allow for a "yes" or "no"
answer, with affirmative answers being indicative of good/compliant
conditions. This allows reviewers to easily focus on problem areas.
o The wording of questions should be as specific as possible. Ambiguity in
checklist language may cause problems in making final compliance
determinations. Questions with multiple components should be avoided so
that "No" answers refer to a single specific provision or requirement.
In addition, the inspector may find it useful to include citations to
the applicable permit/order provisions in the inspection protocol. While cites
were not provided in the following examples, they may be useful in developing
subsequent Notices of Violation, Warning Letters, or formal enforcement
actions.
OSWER Dir. No. 9938.2A 3-7 March 1988
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3.3
Developing An
Inspection Protocol
This section provides a series of examples of how an inspector may
consider permit conditions in developing an inspection protocol. This section
is divided into three separate subsections corresponding to: 1) an overall
site orientation; 2) releases; and 3) "other" permit conditions.
The first subsection considers those items essential in orienting the
inspector to the site. The rationale behind this subsection is that an
inspector should not visit a site without first understanding the general site
settings. An understanding of the facility is essential for several reasons,
including the establishment of credibility in the opening conference,
conducting an organized walk through of the facility, assuring appropriate
safety precautions are taken, and sharpening the focus of the compliance
review. Items of importance include the facility's manufacturing operations,
its regulated activities (both units and wastes), the status of those units/
wastes, and any other important considerations, such as solid waste management
units undergoing corrective action. It is recommended that this type of
orientation information is always compiled and reviewed by the inspector.
The second subsection deals with provisions related to releases and
potential releases. The overall purpose of RCRA is to protect human health
and the environment. Thus, special attention should be placed on potential
release points. This subsection considers examples of those conditions that
an inspector may review to determine compliance with those aspects of the
permit related to releases or potential releases. In addition, discovery of
releases or potential releases may lead to the inspection of additional
requirements, either via permit modifications or orders, that may be imposed
on the facility. If inspections do not have a specific enforcement focus, and
the time available for the inspections are limited, detection of possible
releases is an obvious priority.
The third subsection reviews items related to the operation and
maintenance of various aspects of the facility. In many cases, the design
aspects of various units cannot be readily verified. Unit design and
construction received tremendous attention during permit development. The
units must now be operated and maintained properly to continue to achieve
design standards. Consequently, reviewing permit conditions related to
OSWER Dir. No. 9938.2A 3-9 March 1988
-------
operation and maintenance of the facility is an important aspect of facility
compliance. The type of elements addressed in all three of these subsections
should be covered in the course of a routine facility inspection.
3.3.1 Site Orientation
As stated earlier, every inspection protocol must include information
related to the facility's general operations. The inspector is the Agency's
representative, and he/she must provide a credible presence in the opening
conference as well as in the overall conduct of the inspection. In addition,
a careful review of the facility's operations will allow for a time-efficient,
safe inspection. This can best be accomplished by reviewing all relevant
information (including attachments, references, and revisions), as well as
talking to the permit writer, previous inspectors of the site, and enforcement
officials who may be aware of pre-existing or ongoing problems at the
facility.
The inspector may be inclined to review solely the body of a RCRA permit
due to the fact that permit attachments may number hundreds of pages. Table
3-1 provides a listing of 26 separate attachments from a permit whose "body"
is less than a hundred pages in length. Note the importance of the
information contained in these attachments as they relate to an inspection.
Likewise, Table 3-2 provides a list of revisions that are to be incorporated
into the permit prior to approval. In this case, an inspector with a copy of
the draft permit may miss several important changes to the permit's final
conditions.
The inspector should review all relevant documents to develop a fact
sheet on general operational characteristics of the facility. This includes:
a description of the facility's physical boundaries, the types and locations
of waste management units that are covered by the permit, groundwater
monitoring well locations, the status of each permitted unit (e.g., under
construction, operational, being closed, closed), the types of processes that
generate the wastes being managed in these permitted units, and the types and
characteristics of wastes being stored, treated, or disposed in these units.
Permit conditions that exemplify these types of information requirements are
discussed below.
OSWER Dir. No. 9938.2A 3-10 March 1988
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TABLE 3-1. EXAMPLE LIST OF ATTACHMENTS
The following documents are excerpts from the Permittee's RCRA permit
application. The listed documents are hereby incorporated, in their entirety,
by reference into this permit. The Department and the Agency have, as deemed
necessary, modified specific language in the Attachments. These modifications
are described in the permit conditions (Sections I through IX), and thereby
supercede the language of the original Attachment. These incorporated
Attachments are enforceable conditions of this permit, as modified by the
specific permit conditions.
Attachment 1
Attachment 2
Attachment 3
Facility Legal Description and Map of Facility Location,
consists of:
Figure 8-1 of permit application, as last revised May 1987.
Waste Analysis Plan, consists of:
Exhibit 2 of permit application, as last revised June 1987.
Security Procedures, consists of:
Section B.3 of permit application, as last revised June
1986.
Attachment 4
Attachment 5
Attachment 6
Attachment 7
Attachment 9
Attachment 10
Inspection Plan, consists of:
Exhibit 3 of permit application, as last revised May 1987.
Training Plan, consists of:
Exhibit 9 of permit application, as last revised May 1987.
Hazards Prevention, consists of:
Section E of permit application, as last revised May 1987.
Contingency Plan, consists of:
Exhibit 8 of permit application, as last revised June 1987.
Closure Cover Design details, consists of:
o Exhibit 20A: Final Cover Design, Landfills L-l,
3, 5, & 6;
o Exhibit 20B: Closure Cover Design, Landfills L-7,
8, 9, 10 & 12;
o Exhibit 20C: Closure Cover Design, Landfill L-13.
(Exhibits 20A, 20B, and 20C of permit application
last revised May 1987).
Closure and Post-closure Plans -- Cost Estimates, consists
of: Separate document of permit application, as last
revised June 1987.
Attachment 11
RCRA Part A permit application, consists of:
o EPA Form 3510-1, dated May 15, 1987; and
o Part II -- Part A of the RCRA Permit Application, pages
II-1 through 11-16.
(Part II of permit application, last revised May 1987).
OSWER Dir. No. 9938.2A
3-11
March 1988
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TABLE 3-1. (CONTINUED)
Attachment 12 Container Storage -- Design and Operations, consists of:
Section D.2 of permit application, including:
o Attachment (Appendix) 1: Concrete Pad Sealant
Specifications; and,
o Attachment (Appendix) 2: Overpacked Drum Specifications.
(Section D.2, including Appendices 1 and 2, last revised
June 1987).
Attachment 13 Bulk Liquid Storage -- Design and Operations, consists of:
Section D.3 of permit application, including:
o Attachment (Appendix) 1: Tank Ultrasonic Test Results.
(Section D.3 last revised June 1987).
(Appendix 1 dated March 4, 1986).
Attachment 14 Stabilization Unit -- Design and Operations, consists of:
Section D.4 of permit application, including:
o Attachment (Appendix) 1: Stabilization of Liquid Hazardous
Wastes by Solidification; and,
o Attachment (Appendix) 2: Reactivity Evaluation of Lime
Based Stabilization Reagents.
(Section D.4, including Appendices 1 and 2, last revised
May 1987).
Attachment 15 Reactive Solids Hydrolysis Unit -- Design and Operation,
consists of:
Section D.5 of permit application, last revised May 1987.
Attachment 16 Truck washing unit -- Design and Operation consists of:
Section D-6 of permit application, as last revised June 1987.
Attachment 17 Surface Impoundment Units -- Design and Operation consists of:
Section D-6 of permit application, as last revised June 1987.
Attachment 18 Impoundment Drawings, consists of:
o Exhibit 4A: Existing Surface Impoundment Drawings; and,
o Exhibit 4B: Proposed Surface Impoundment Drawings.
(Exhibits 4A and 4B of permit application last revised May
1987).
Attachment 19 Landfill/Impoundment Technical Specifications, consists of:
o Exhibit 16A: Technical Specification: Landfill L-13;
o Exhibit 16B: Technical Specification: Landfill L-12 and
Impoundments P-A, P-B, and P-C;
o Exhibit 16C: Technical Specifications: Landfill L-13
Cells 1 and 2 (modifies Exhibit 16A); and,
o Exhibit 16D: Technical Specifications: Landfill L-13
Cells 3 through 6 (modifies Exhibit 16C) .
(Exhibits 16A, 16B, 16C, and 16D of permit application
last revised May 1987).
OSWER Dir. No. 9938.2A 3-12 March 1988
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Attachment 20
Attachment 21
TABLE 3-1. (CONTINUED)
Soil Liner Details, consists of:
o Exhibit 7B: Quality Assurance Manual for the Installation
of Soil Components of Linings and Final Cover Systems.
(Exhibit 7B of permit application last revised June 1986) .
Synthetic Liner Details, consists of:
o Exhibit 5B: Specification Guidelines for the Procurement
and Installation of High Density Polyethylene Geomembranes:
and,
o Exhibit 5C: Quality Assurance Manual of the Installation
of High Density Polyethylene Geomembranes.
(Exhibits 5B and 5C of permit application last revised
June 1986).
Response Action Plans, consists of:
o Exhibit 21A: Response Action Plan for Landfill L-13,
Cells 1 and 2; and,
o Exhibit 21B: Response Action Plan for Surface Impoundments
P-A, P-B, and P-C.
(Exhibit 21A of permit application last revised April
1987).
(Exhibit 21B of permit application last revised May 1987) .
Attachment 23 Landfill -- Design and Operation, consisting of:
Section D.7 of permit application, as last revised June 1987.
Attachment 22
Attachment 24
Landfill Drawings and Reports, consisting of:
o Exhibit 6A: Existing Landfill Drawings (L-7 through
L-10); and
o Exhibit 6B: New Proposed Landfill Drawings (L-13 and
L-12). (Exhibit 6A of permit application last revised
February 1987).
(Exhibit 6B of permit application last revised June 1987).
Attachment 25 Surface Water Management Plan, consists of:
Section 2.B of permit application, as last revised March 1987.
Attachment 26
Groundwater Monitoring Program, consists of:
o Exhibit 10 Section 4: Design and Construction of
Groundwater Monitoring System;
o Exhibit 10 Section 5: Groundwater Sampling and Analysis;
o Exhibit 10 Section 6: Detection Monitoring Program;
o Exhibit 10 Section 7: Groundwater Monitoring Data
Evaluation; and,
o Exhibit 10 Appendix C: Manual for Groundwater Sampling
(Waste Management, Inc.).
(Exhibit 10 of permit application last revised July 1987) .
OSWER Dir. No. 9938.2A
3-13
March 1988
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TABLE 3-2. EXAMPLE
DEPARTMENT OF ENVIRONMENTAL RESOURCES
BUREAU OF SOLID WASTE MANAGEMENT
SOLID WASTE FORM NO. 8
Permit For
Residual Waste Disposal Facility
ABC Mfg. Permit No.
Texas, Facility Date Issued
Impoundment No. 6 Date Expired
1. This permit is issued in response to Solid Waste Management
Application 214214 dated April 19, 1985 and subsequent revisions
which are as follows:
a. ABC Mfg., Texas Plant Hazardous Waste Management Facility
Permit Application Part B Impoundment No. 6 dated April 19,
1985, received April 19, 1985 which included residual waste
Modules 1, 2, Form 1 Phase 1, Revised December 9, 1985, Module 3,
Module 3 9, and Module 10.
b. Designo's Final Design Report, Chemical Landfill No. 6, ABC Mfg.,
Volume 1 of 5 Volumes, June 27, 1984, revised April 19, 1985,
received April 19, 1985.
c. ABC Mfg. Final Design Report, Chemical Landfill No. 6, ABC
Mfg., Volume 2 of 5 Volumes, Analyses and Specifications,
revised April 19, 1985, received April 19, 1985.
d. Designo's response letter May 23, 1985, received May 24, 1985.
e. Designo's Stream Relocation Chemical Landfill No. 6, ABC Mfg.,
Volume 4 of 5 Volumes, received April 19, 1985 with drawings
l(e) of 4 dated June, 1984, 2(e) of 4 revised July 17, 1984,
3(e) of 4 received July 17, 1984, and 4(e) of 4 dated February,
1985.
f. Designo's Erosion and Sedimentation Control Plan Narrative April 19,
1985, with drawings l(b) of 3 dated May 1984, 2(b) of 3 dated June
1984, 3(b) of 3 revised June 1984.
g. Designo's response letter September 23, 1985 received September 25,
1985.
h. ABC Mfg., response letter May 23, 1985 received May 24, 1985 and the
following revisions to the Part B application for Impoundment No. 6
revised April 19, 1985.
OSWER Dir. No. 9938.2A 3-14 March 1988
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TABLE 3-2. (CONTINUED)
1. Section XVI Inspection, Instruction, Continued revised
May 22, 1985.
2. Section XIX Closure Plan and Addendum Continued revised May
22, 1984.
3. Section XX Post Closure Addendum, revised May 23, 1985.
4. Surface Impoundment Evaluation and Repair Plan Addendum,
Section B, revised May 23, 1985.
i. ABC Mfg., response letter September 3, 1985.
j. ABC Mfg., response letter September 24, 1985 and the following
attachments:
1. Laboratory report #914 September 3, 1985 testing of coupon of
(HD) after one year in waste tank of ABC Mfg., received
September 25, 1985.
2. Brown's Quality Control Manual.
3. Brown's Recommended Procedure for Pipe Boot Construction.,
4. Jones Industries Polyvinyl Chloride Plastic Linings.
5. Jones Industries General Instructions For Installation of
Staff Liners For Preventing Seepage From Ponds, Reservoirs,
Canals, Lagoons, etc.
k. Hydrogeologic investigation Impoundment No. 6 Texas Plant
January 1985 revised April 1985, submitted by American
Consultants received April 19, 1985.
1. Response to Texas Department of Environmental Resources
Comments Regarding Site Hydrogeologic Conditions Proposed
Impoundment No. 6 Texas Plant May 22, 1985, submitted by
American Consultants.
m. Response to Texas Department of Environmental Resources
Technical Comments Impoundment No. 6 Texas Plant September 12,
1985 submitted by American Consultants.
n. The following American Consultant drawings:
1. American Consultants drawing Figure 1 April 17, 1985 received
April 19, 1985.
OSWER Dir. No. 9938.2A 3-15 March 1988
-------
TABLE 3-2. (CONTINUED)
2. American Consultants drawing Figure 2 revision 2, May 20,
1985 received May 24, 1985.
3. American Consultants drawing Figure 4, revision 2 April 17,
1985 received May 24, 1985.
4. American Consultants drawing Figure 5,revision 2 April 17,
1985 received May 20, 1985.
5. American Consultants drawing Figure 5, April 18, 1985.
o. The following Designo's plan drawings:
1. Designo's Exhibit 6.2 Environmental Resource Map, revision 2,
May 1984.
2. Designo's Sheet No. 1EB of 1 May 1985.
3. Designo's Sheet No. 1 of 15 revision 1 June 1984 received
October 2, 1985.
4. Designo's Sheet No. 2 of 15 October 1, 1985 received October
2, 1985.
5. Designo's Sheet No. 3 of 15 May 1984 received October 2,
1985.
6. Designo's Sheet No. 4 of 15 May 1984 received October 2,
1985.
7. Designo's Sheet No. 5 of 15 May 1984 received October 2,
1985.
8. Designo's Sheet No. 6 of 15 May 1984 received October 2,
1985.
9. Designo's Sheet No. 7 of 15 May 1984 received October 2,
1985.
10. Designo's Sheet No. 8 of 15 May 1984 received October 2,
1985.
11. Designo's Sheet No. 9 of 15 May 1984 received October 2,
1985.
12. Designo's Sheet No. 10 of 15 May 1984 received October 2,
1985.
OSWER Dir. No. 9938.2A 3-16 March 1988
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TABLE 3-2. (CONTINUED)
13. Designo's Sheet No. 11 of 15 May 1984 received October 2,
1985.
14. Designo's Sheet No. 12 of 15 May 1984 received October 2,
1985.
15. Designo's Sheet No. 13 of 15 May 1984 received October 2,
1985.
16. Designo's Sheet No. 14 of 15 May 1984 received October 24,
1985.
17. Designo's Sheet No. 15 of 15 May 1984 received October 24,
1985.
18. Designo's Sheet No. GP-1 of 2 September 1985 revision 1
received October 24, 1985.
19. Designo's Sheet No. GP-2 of 2 September 1985 received
October 2, 1985.
20. Designo's Sheet No. Dl of 2 revision 1 September 1985
received October 24, 1985.
21. Designo's Sheet No D2 of 2 September 1985 received October 2,
1985.
22. Designo's Cross-Section Drawing Sheet No. 1 of 31 through
31 of 31 and Borrow Areas Section 1 of 3 through Section
3 of 3 received October 2, 1985.
23. Designo's Sheet No. IB of 3 Revision No. 1 May 22, 1985.
p. Department on April 19, 1985 and the supplemental information
dated June 26, 1985 received by the Department on June 27, 1985,
and waste analysis Plan Addendum Lime Neutralized Spent Liquor
Pickle Testing Procedure submitted June 9, 1986, and received
by the Department on June 10, 1986.
q. ABC Mfg. letter December 11, 1985 received December 12, 1985
and the following attachments:
1. Bill's Water Systems letter December 5, 1985 received
December 12, 1985.
2. Frank's Plastic Testing, Inc. Laboratory report PVC
Compatibility Test Results Report Date November 26, 2985.
OSWER Dir. No. 9938.2A 3-17 March 1988
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TABLE 3-2. (CONTINUED)
r. ABC Mfg. letter April 26, 2985, received April 29, 2985 with
attached liner information.
s. ABC Mfg. letter December 9, 1985 received December 10, 1985.
t. ABC Mfg. letter December 16, 1985 received December 18, 1985
and the following attachments:
1. Construction Quality Assurance Plan Impoundment No. 6
received December 18, 1985.
u. Brown letter October 25, 1985 with enclosed hardness test
date for the HPDE test results under Condition Jl.
v. Designo's letter November 4, 1985 received November 5, 1985.
w. Designo's Engineer Certification December 10, 1985.
OSWER Dir. No. 9938.2A 3-18 March 1988
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Obtaining a map of the facility to be inspected may be the single most
important piece of information an inspector can obtain prior to the site
visit. A correctly prepared map should detail the site, inclusive of labels
identifying regulated units, non-regulated units, and groundwater monitoring
well locations. An example is presented in Figure 3-1. Types of information
that can be determined from a map by the inspector when developing a checklist
or information sheet include:
o The location of all waste management units
o The number of each type of management unit
o The location of groundwater monitoring wells.
Often, a permit may reflect waste management units that are proposed
or still under construction. Note in Figure 3-2 that exact locations for
three proposed waste management units are presented. An inspector can
determine unit operation status during his site visit.
At times, the map of the facility may not distinguish permitted
versus unpermitted units. This information should be found in the initial
pages of the permit. Other authorities will -specify conditions, locations,
and capacities of each individual unit in separate sections of the permit.
For example, the container section of a permit may read:
Conditions Related Solely to Storage in Containers
1. The permittee is authorized to store the following maximum
quantities of hazardous waste at the specified locations:
o B-10 Storage Area -- 11,000 gallons
o T-559 Storage Building -- 5,280 gallons
o B-96 Road Storage Area -- 6,380 gallons.
OSWER Dir. No. 9938.2A 3-19 March 1988
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MAIM PL. ANT
PP
«5O' N OF
FENCE COKKIELR
©
DISCHARGE
POINT
LEGEMP
© EXISTING WEO.L
• WELL IN^>TA,LLEO JUWE,
APPROXIMATE
WELL LOCATIONS
joe*-
6/27/S6
OSWER Dir. No. 9938.2A
FIGURE 3-1. SAMPLE MAP #1
3-20
March 1988
-------
3^r3HN
- . -. J - «t»nr»tf.|,'S»"'' I I —
Tt!• i!ji5^i!ii
PROPOSED!
WASTE
:V ili
\EAST
jjLANDFARM
PROPOSED
CONTAINER
STORAGE
I AREA
DOCK
FIGURE 3-2. SAMPLE MAP #2
OSWER DIr. No. 9938.2A
3-21
March 1988
-------
Provided a map of the facility is available with corresponding location codes
(e.g., B-10 Storage Area), the inspector should be able to develop several
questions directed at verifying certain items:
Are any wastes being stored in containers in locations other than the
three specified in the permit? Yes No
For purposes of general site orientation, this section of the protocol
need not be concerned with the more specific requirements of the permit such
as:
1. Four feet of aisle space may be required between rows of containers
in the storage area.
2. Cracks larger than one inch deep and a quarter of an inch wide must
be repaired within 24 hours of discovery.
3. Is the facility storing less than the specified amounts of wastes
in each storage location? Yes No
An experienced inspector using an information sheet may detect a crack on a
container storage pad, measure the length and depth of the crack and
subsequent to the inspection, review the permit to determine the nature of any
conditions requiring maintenance of storage pads.
The final aspect of the permit that should be reviewed to gain insight
into the facility is the type of process operations and wastes generated at
the facility. The permit may have conditions such as:
General Description of Hazardous Waste
Vastewater Treatment Sludge
This waste is a sludge which results from the treatment of process rinse
waters (including some electroplating wastewater) and spent process solutions.
This waste is stored in surface impoundments. ABC Manufacturing has submitted
a delisting petition to the Bureau of Pollution Control for this waste. This
petition was submitted April 7, 1986.
Description of Hazardous Waste
Wastewater Treatment Sludge
EPA Waste Number: F006 (Wastewater Treatment Sludges from
Electroplating Operations)
General Description: this material is a black sludge as collected in
the surface impoundments. It dries to a light to medium brown color.
OSWER Dir. No. 9938.2A 3-22 March 1988
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Composition of the material: Chromium 0.1-1.0%
Chromium (VI) ND
Nickel 0.2-1.7%
Zinc 1-2%
Iron 5-9%
Aluminum 1-1.5%
The remainder of the sludge consists of excess lime, neutralization
byproducts such as gypsum, and dirt, grit, and other insolubles from the
manufacturing process.
This should trigger questions such as:
Is the electroplating sludge the only waste being discharged to the
surface impoundment? Yes No
Has the Bureau of Pollution Control delisted the waste?
Yes No
In this instance, an inspector using an information sheet may only need
to note the type of waste stored in the surface impoundment and the visual
characteristics. A quick call to the Bureau of Pollution Control can
determine the status of the waste and maybe turn up additional facility
information not contained in the RCRA permit. During the site visit, the
inspector can key into the process generating the waste, other wastes that may
be entering the impoundment, waste transportation handling procedures, and
other visual signs that may signify a problem.
For some industries, it is necessary to carefully examine the flow
diagrams due to the unit-specific nature of the waste listing. In reviewing
the information from a petroleum refinery, the inspector may notice that the
facility does not report generating any K051 waste, although most refineries
do generate K051. Examination of the flow diagrams may reveal that this
facility is using a coalescing plate separator instead of the more widely used
American Petroleum Institute separator. Although the sludges from both types
of separators are similar in composition, only the API separator sludge is
considered a listed waste.
In general, the orientation portion of the inspection is the inspector's
procedure for learning the basics about the facility so that upon performing
the inspection, any obvious or serious violations can be readily noted.
Inspectors should be alert for unpermitted units, and transporter and
generation activities at a mostly permitted facility.
OSWER Dir. No. 9938.2A 3-23 March 1988
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3.3.2 Release Points
The purpose of the Resource Conservation and Recovery Act, the attendant
regulations, and RCRA permits, is, in the most basic sense, protection of
human health and the environment. Thus, the inspection of potential release
points in an important aspect of an inspection protocol. Both actual and
potential releases should be evaluated. RCRA Facility Assessments (RFAs) are
an ideal reference for reviewing the actual and potential release points.
Many aspects of RCRA permits make specific provisions for identifying and
mitigating releases to the environment.
Many of these provisions reference potential releases associated with
deterioration of management units. For example:
Condition of Containers. If a container holding hazardous waste is
not in good condition (e.g., severe rusting, apparent structural
defects) or if it begins to leak, the Permittee shall transfer the
hazardous waste from such container to a container that is in good
condition. Any leakage shall be cleaned up immediately upon
detection.
This condition is not easily inspected. The inspector cannot tell from
this condition whether the Permittee has had problems with containers in the
past. A second permit condition may aid in this determination:
The Permittee shall visually inspect the containers for degradation
at least weekly and shall record the results of such inspections in the
operating record.
Questions that should be asked by the inspector and are applicable for a
checklist include:
Is the container storage area presently free of spills? cracks?
Yes No
Do records indicate containers are inspected at least weekly?
Yes No
According to records, has the facility been free of spills? cracks?
Yes No
Again, note that questions have been worded such that problems are
indicated with a negative response.
OSWER Dir. No. 9938.2A 3-24 March 1988
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Warning signals to the inspector that may indicate a release or
potential release from various units include: rusty or deformed containers,
poorly stacked drums, puddles around units, leaking valves on tank, strong
odors from encapsulated units, dead vegetation, erosion, dusty conditions
around piles, or any other sign that may signal to the inspector that the unit
is not containing the waste or is poorly managed thus significantly increasing
the changes for a release.
Often times a determination of compliance with permit conditions cannot
be made with a simple visual inspection. For example, a permit may read:
"Pump all liquids out of the leachate collection and removal systems
immediately after the Permittee determines liquids are present.
"All liquids" means pumping out liquid so that only one inch
remains in the collection system.
Any leachate collection and removal system which generates more
than 20 gallons of liquid in any calendar day shall immediately
cease accepting wastes into the regulated unit. The permittee
must notify the Director in writing any time this criteria is
exceeded.
The permittee is required to cease discharge of hazardous wastes
into any surface impoundment and immediately implement emergency
procedures whenever the level of liquids in the surface impoundment
suddenly drops, and the drop is not known to be caused by changes
in the flows into or out of the surface impoundment from normal
operation."
While these permit conditions all indicate a release to the environment,
the inspector needs to do more than simply "look" at the impoundment or
landfill. When using an information sheet, an inspector may note that the
leachate collection is not to exceed twenty gallons per day of liquid. An
inspection checklist should include questions such as:
Does the facility maintain daily records of daily leachate quantities
collected? Yes No
Do records indicate the facility has not exceeded releases of 20
gallons per day, every day? Yes No
If no, was notification of this event received by the Director?
Yes No '
Does the facility keep records of the liquid level in the surface
impoundment? Yes No
Does the facility maintain records of "normal" flows in and out of
the unit? Yes No
OSWER Dir. No. 9938.2A 3-25 March 1988
-------
Do records indicate a sudden drop in liquid level?
Yes No
Whether using the information sheet or the checklist, the inspector
should be able to draw the same conclusions.
In certain circumstances, an inspector may not know a release unless
some type of background levels are provided. For example, a permit condition
may be:
Corrective Action Requirements
As required in 40 CFR 264.100(a) and 264.101, the Permittee shall
conduct corrective action whenever the concentrations of the following
hazardous constituents in groundwater are in excess of the concentration
limits listed below along the compliance points (the downgrading boundary of
each solid waste management unit).
Constituent
Creosote
Cresols (total of o,m,
& p-cresol)
Naphthalene
Pentachlorophenol
Phenol
Fluoranthene
Chrysene
2,4-D ime thyIpheno1
2,3,4,6-Tetrachlorophenol
Concentration Limit
Presence or absence
1750 ug/1
MDL
0.20 mg/1
3.5 mg/1
0.21 mg/1
MDL
MDL
350 ug/1
Background
ACL
ACL
ACL
Background
Background
AC1
This is a perfect inspection criterion provided the condition to analyze
the groundwater on a regular basis is being met by the permittee. A summary of
these permit conditions should be brought to the inspection so that a
determination can be readily made onsite as to whether or not the facility is
within groundwater limitations. The inspector should be careful to note the
units (e.g., mg/1) in the permit conditions and verify that the permittee is
using similar units, and if not, are these units comparable. For the previous
permit condition, a daily analysis may be:
OSWER Dir. No. 9938.2A
3-26
March 1988
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Constituent Concentration
Creosote Not Detected
Cresols (total of 0,m, 3.5 mg/1
fp - cresol)
Naphthalene Not Detected
Pentachlorophenol 0.02 mg/1
Phenol 2.1 mg/1
Fluoranthene Not Detected
Chrysene Not Detected
2,4-Dimethylphenol Not Detected
2,3,4,6-Tetrachlorophenol 29 mg/1
At first glance, it may appear that the facility is in compliance, but
upon closer inspection it is obvious that 2,3,4,6-tetrachlorophenol is
significantly above the limit. The problem arises because units specified in
the permit are different than the units specified in the analytical results.
Another problem that may occur is the lack of specified units for groundwater
pollutant limitations. It is vital for the inspector to pay close attention
to this type of detail.
Do analytical procedures conform to permit conditions?
Yes No
Is the sample being collected at the location specified in the permit?
Yes No
3.3.3 Other Conditions
As discussed previously, the inspection checklist can cover any, or all,
of the permit conditions. The purpose of this subsection is to provide
examples of how to construct checklist questions that may be of value to the
inspector. While the aim of the inspection is to assist in a noncompliance
determination, it is not expected that the inspection will always result in
making such determinations without further investigation. This section
provides examples of how checklist questions may be fashioned for permit
conditions, and explain how each question may provide useful to a compliance
determination. Examples are provided for permit conditions in the following
areas: waste analysis plan; unit-specific conditions for storage tanks;
surface impoundments; closure; and corrective action.
OSWER Dir. No. 9938.2A 3-27 March 1988
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Waste Analysis Plan
Each facility is required to submit a waste analysis plan as part of a
Part B permit application which, when approved, becomes part of the facility's
permit conditions. The plan characterizes hazardous wastes generated or
handled by the facility, and outlines sampling procedures, analytical methods,
constituents of concern and reporting requirements.
The inspector's discussions with the permit writer/enforcement official
may reveal that sampling and analysis problems consistently arose during
interim status. Past efforts revealed that the personnel conducting the
tests, as well as the equipment used to conduct the tests, resulted in
persistent problems. Consequently, the permit writer inserted the following
permit conditions into the facility's waste analysis plan:
Sampling Personnel
The samples are taken under the direction of the Plant Environmental
Chemist, who will keep a log of the samples and field notes (if any)
in a bound notebook. Samples are labeled and numbered, then
submitted to the laboratory with a sample request form. (The
Environmental Chemist will have Bachelor of Science Degree in
Chemistry. Present Environmental Chemist is Bill Jones, III, who
has a B.S. degree in chemistry from the State University, plus seven
years experience.)
Laboratory Personnel
All samples are submitted to Acme, Inc.'s Smalltown Plant Analytical
Laboratory. All analysis are performed under the direction of the
Plant Chemist whose requirements include a Bachelor of Science
Degree in Chemistry. This position is currently held by Julia
Smith, who has a Bachelor of Science degree in Chemistry from State
College, plus seven years experience.
Analytical Equipment
The equipment used for the analyses performed for the Waste Analysis
Plan is as follows:
Atomic Absorption Spectrophotometer - Perkin Elmer Zeeman 303 Model with
HGA600 Perkin Elmer Graphite Furnace.
Printer - Perkin Elmer PR-100.
pH Meter - Fisher Accumet Model 325 or equivalent.
Balances - Various to cover weights from 0.0001 g ut>.
OSWER Dir. No. 9938.2A 3-28 March 1988
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Service and Quality Assurance
(1) Rite Weight. Inc. - To service balances every six months. Includes
test of scale deflection, precision, and accuracy of weight set.
(2) Perkin Elmer - To service AAS and Graphite furnace as necessary.
Note: Should Acme's laboratory for any reason, not be able to
analyze the samples, they will be preserved and sent to a contract
laboratory (currently Jones Laboratory, Inc.). Acme's laboratory,
or any laboratory at which samples are to be analyzed, will conform
to a Quality Assurance Program as follows.
For every analytical procedure, blanks, mid-point standards,
calibration curves and duplicate analyses are included. Quarterly,
reference standards are analyzed for all parameters in the Waste
Analysis Plan, and Groundwater Monitoring Plan. The Laboratory
follows quality control and quality assurance procedures very
similar to those given in SW 846, July, 1982, 2nd Edition, Section
10.4. In addition, the Laboratory must participate in EPA's annual
Quality Assurance Program under the National Pollutant Discharge
Elimination System (NPDES) .
The checklist questions that may be fashioned, and the rationale for
fashioning them, are listed below:
Does the Plant Environmental Chemist have a BS or advanced degree in
chemistry? Yes No
Does the Plant Chemist have a BS degree in chemistry?
Yes No
If Bill Jones and Julia Smith remain the plant's chemists, their degrees
have been previously verified and the correct response is "yes". Otherwise,
the degrees of current personnel should be reviewed. While affirmative
responses suggest compliance with this condition, the fact that employees hold
chemistry degrees does not necessarily indicate that good sampling/analytical
practices have been followed. Yet another checklist question can be fashioned
from the permit conditions to get at this question. For example:
Does the facility have all the requisite equipment used to run the
analyses performed for the waste analysis plan including:
o Perkin Elmer Zeeman 3030 Model Atomic Adsorption
Spectrophotometer with HGA600 Perkin Elmer Graphite Furnace?
Yes No
o Perkin Elmer PR-100 printer? Yes No
OSWER Dir. No. 9938.2A 3-29 March 1988
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o Fisher Accumet pH meter Model 325 or equivalent? Yes No
o Balances to cover weights from 0.0001 g and up?
Yes No
Permit conditions also allow for checklist questions to be developed
regarding maintenance of the equipment and quality assurance. For example:
Are balances serviced every six months? Yes No
However, the "as necessary" clause regarding AAs and Graphite furnace
cannot be verified easily. Similarly, whereas the laboratory's annual
participation in the NPDES Quality Assurance Program may be verified, the fact
that the plant uses QA/QC procedures "very similar" to that which appear in
SW-846 does not allow for easy inspection.
The previous questions may serve as rough indications of the adequacy of
the facility's waste analysis plan. However, despite compliance with all of
these conditions, the facility's waste analysis plan may be inadequate. For
example, the balances may have needed servicing earlier than the routine six
month period.
In some cases, the facility may be subject to certain requirements
whether or not they appear in the permit. As discussed in Section 3.1.2, one
source of additional requirements are the "self-implementing" regulations.
Consider, for example, that the facility handles an F-solvent waste. It
should be in a position to determine whether or not these wastes exceed land
ban concentrations. Therefore, the facility should have equipment capable of
conducting the TCLP test. Several questions may be fashioned to cover this
concern. These appear in Table 3-3.
TSDF Unit Specific Conditions
Unit-specific permit conditions are established for each regulated unit
at the facility. In developing these conditions, the permit writer considers:
the minimum requirement in 40 CFR 264, site specific environmental factors,
the wastes handled in the unit, and any potential problems identified at the
facility. This section discussed the developing checklist items evaluating:
1) unit design, operation and maintenance; and 2) compliance with procedures
and record keeping conditions. Examples of unit specific conditions, and the
checklist questions derived from those conditions, appear below. Conditions
for storage tanks and surface impoundments are considered.
Two separate permit conditions for storage tanks appear in Table 3-4.
OSWER Dir. No. 9938.2A 3-30 March 1988
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TABLE 3-3. LAND BAN CHECKLIST QUESTIONS
Does the facility own/operate one of the following models of rotary agitation
apparatus?
Company Model Yes No
Associated Design and Manufacturing Company 4-vessel device
Lars Lande Manufacturing 10-vessel device
6-vessel device
IRA Machine Shop and Laboratory 15-vessel device
EPRI Extractor 6-vessel device
Does the facility own/operate one of the following zero-headspace extractor
vessels?
Company Model No. Yes No
Associated Design and Manufacturing Company 3740-ZHB
Millipore Corporation SD1P581C5
Does the facility own/operate one of the following filter holders?
Size
Company Model (millimeter) Yes No
Nuciepore Corporation 425910 142
410400 47
Micro Filtration Systems 302400 142
Millipore Corporation YT30142HW 142
XX1004700 47
Does the facility own/operate suitable filter media?
Company Model Pore Size Yes No
Whatman Laboratory Products GFF .7
OSWER Dir. No. 9938.2A 3-31 March 1988
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TABLE 3-4. EXAMPLE PERMIT CONDITIONS: STORAGE TANKS
The Permittee shall install an activated carbon filtration system to the vents
of the 3010 tanks. A manifold system may be used to connect the vents from
each of the tanks in order to treat vapors from all of the tanks with a single
filter. The activated carbon filtration system shall be either a Calgon
VentSorb or Calgon High Flow VentSorb Canister system. The Permittee shall
replace the activated carbon filtration system in accordance with
manufacturer's recommendations or when analytical results indicate that the
system has become saturated or otherwise ineffective.
The Permittee shall maintain at least six inches of freeboard (headspace) in
the Laboratory Holding Tank at all times. This distance (six inches) shall be
measured downward from the bottom the overflow drain pipe, which is indicated
as Item 2 in Attachment 13, Figure D.3-5. The Permittee shall set the liquid
level switch alarm system to be activated so that the specific freeboard
(headspace) limit is not exceeded.
OSWER Dir. No. 9938.2A 3-32 March 1988
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Visual inspection of storage tank should enable the inspector to answer:
Has the facility installed either a Calgon Ventsorb or Calgon High
Flow Ventsorb Canister System to the vents of the 3010 tanks?
Yes No
It is more subjective to determine whether the Permittee has maintained the
system by replacing the filtration system "... when analytical results
indicate that the system has become saturated or otherwise ineffective". In
this case the inspector will want to examine records regarding routine
maintenance of the system as well as examine analytical data.
The inspector may also measure the freeboard in the tank, and examine
and test the alarm system. Consequently, reasonable checklist items may
include:
Does the permittee maintain at least a six inch freeboard in the
laboratory holding tank at all times? Yes No
Is the switch and alarm system set and activated to ensure that this
limit is not exceeded? Yes No
Table 3-5 lists some example conditions for surface impoundments.
The permit mandates that surface impoundments P-12 and P-16 cannot accept
wastes after November 8, 1988. If an inspection is conducted after that date
a question may be:
Are units P-12 and P-16 continuing to receive wastes? Yes No
Visual inspections may serve to determine whether or not the waste
continues to be placed in the impoundments. However, records will need to be
reviewed to determine whether wastes have been placed in the unit in the
interim period between the inspection and November 8, 1988. In addition,
questions should be fashioned from Section II.J and Attachment 8 to determine
whether closure is proceeding on schedule.
The inspector may also review whether or not the permittee is recording
data on a daily basis:
Has the permittee monitored and recorded on a daily basis the
presence and volume of liquids in the leachate detection, collection, and
removal system sumps? Yes No
The inspector should review the data for trends and fluctuations to evaluate
the need for further investigation or as a flag during future inspections.
The inspector may question appropriate plant personnel about any inexplicable
data points and note responses.
OSWER Dir. No. 9938.2A 3-33 March 1988
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TABLE 3-5. EXAMPLE PERMIT CONDITION: SURFACE IMPOUNDMENTS
This permit condition defines the five evaporation impoundment units at the
facility and specifies that units P-12 and P-16 will be removed from service
by November 8, 1988. The liner systems of units P-12 and P-16 do not meet the
requirements of the minimum technology standards (Section 3004(o) of HSWA).
The Permittee did not apply for a waiver of the requirement to retrofit these
impoundments to meet the minimum technology standards. Consequently, these
units cannot receive waste after November 8, 1988 and closure of these units
must proceed on the schedule specified in Section II.J. and Attachment 8 of
this permit.
"The Permittee shall monitor for and record on a daily basis the
presence and volume of liquids in the leachate detection, collection
and removal system sumps during the active life of the units
(including the closure period), and at least weekly during the post-
closure period."
"The Permittee shall, within 45 calendar days of detecting increase
of greater than 50 percent above the preceding weekly average
leakage rate, submit to the Director and the Administrator a report
on the leakage."
OSWER Dir. No. 9938.2A 3-34 March 1988
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By examining the daily records for leachate generation, the inspector can
determine weekly average leakage rates allowing for a response to:
Has the average leakage rate for any week ever exceeded the previous
week's average by more than 50 percent. Yes No
In addition, while conducting inspection planning activities in the
office, the inspector should have noted whether the Director had been informed
of any such occurrences and, if so, when. If such an event is discovered by
the inspector in reviewing the facility's records, the inspector should
determine:
Did the permittee submit the required report of this event to the
Director within 45 calendar days? Yes No
Corrective action conditions may be verified on the basis of results
and/or reports, such as progress reports. Examples of corrective action
conditions for a land disposal unit are listed in Table 3-6. The permit
condition identifies those constituents and associated maximum concentration
limits which the permittee must monitor for to determine whether corrective
action is required. Prior to the inspection the inspector should review all
available reports regarding corrective action progress and related permit
modifications (or applications) to determine the current status of operations.
Checklist questions might include whether all constituents are measured at the
listed concentration limits. The inspector may also design a question
directed at whether the appropriate statistical test was used. For example:
Does the permittee make use of the Behrens-Fisher Student's t-test?
Yes No
If No, did the Regional Administrator approve the use of an equivalent
test? Yes No
In addition, the inspector may want to independently determine whether the
ground water protection standards were exceeded by applying the approved
statistical technique. If this inspection is the first inspection after
commencement of the action, the checklist questions may focus on the proper
establishment and placement of pumping wells. For example:
Was a pumping well established at grid coordinates (X15, Y12)?
Yes No
Other questions may involve compliance with reporting requirements. A
more comprehensive inspection would involve sampling and analysis to
independently verify the accuracy of the permittee's reports.
The information provided in Chapter provides both suggestions and
recommendations on procedures for developing permit specific TSDF inspection
plans. While the discussion is brief, the tools introduced should allow
inspectors to focus their efforts and make a ready transition between the
interim status based inspections, and those based on permit specific
requirements.
OSWER Dir. No. 9938.2A 3-35 March 1988
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TABLE 3-6. CORRECTIVE ACTION CONDITIONS
Groundwater shall be removed [at all locations] where hazardous wastes,
hazardous constituents or breakdown products have entered the groundwater from
a solid waste management unit, as required under 40 CFR §264.101.
Corrective Action Requirements
The Permittee shall conduct corrective action whenever the concen-
trations of the following hazardous constituents in groundwater are in
excess of the concentration limits listed below along the compliance
points (the downgradient boundary of each solid waste management unit).
Constituent
Concentration Limit
Basis
Creosote
Cresols (total of o,m
& p-cresol)
Naphthalene
Pentachlorophenol
Phenol
Fluoranthene
Chrysene
2,4-Dimethylphenol
2,3,4,6-Tetrachlorophenol
P-chloro-m-cresol
2,4-Dichlorophenol
2,4,6-Trichlorophenol
Benzo (k) fluoranthene
Benzo (b) fluoranthene
2,4-Dinitrophenol
Presence or absence Background
1750 ug/1
MDL
0.20 mg/1
3.5 mg/1
0.21 mg/1
MDL
MDL
350 ug/1
MDL
105 ug/1
MDL
MDL
MDL
70 ug/1
ACL
Background
ACL
ACL
ACL
Background
Background
ACL
Background
ACL
Background
Background
Background
ACL
The Permittee must use the Behrens-Fisher Student's t-test or an equivalent
statistical test approved by the Regional Administrator to determine if
concentrations exceed groundwater protection standards of this permit.
The analytical method and the minimum detection limit (MDL) for each
constituent must be designated in all reports of analyses.
If the Permittee identifies additional Appendix VIII constituents, he
shall:
a) Re-sample the affected well(s) within thirty (30) days;
b) Notify the Regional Administrator in writing within seven (7)
days if the presence of additional constituents are confirmed;
Determine presence or absence as described in Appendix III of 40 CFR
Part 261.
OSWER Dir. No. 9938.2A
3-36
March 1988
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TABLE 3-6. (CONTINUED)
c) Within sixty (60) days submit to the Regional Administrator, a
determination whether there is a statistically significant increase
above the background. The Behrens-Fisher Student's t-test or an
equivalent statistical test approved by the Regional Administrator
. shall be used to determine a statistically significant increase.
d) If a significant statistical increase is determined, the Permittee
must submit to the Regional Administrator an application for a
permit modification to make any appropriate changes to the program.
Corrective Action Pumping
The well at grid coordinates (X15, Y12) shown on Figure 1 shall be installed
initially to extract the plume of contamination migrating from the sludge
pits, as required under 40 CFR §264.100(b) and §264.101. Additional
extraction wells shall be installed within 180 days of determination by the
Permittee or EPA that the initial extrication well system is not extracting
the entire plume. The Permittee shall comply with all other State and Federal
laws regarding treatment and discharge of the extracted water. The well shall
be pumped at a maximum well yield until Condition II.C.I are met.
Time Period for Implementation
Under 40 CFR §264.100(c) and §264.101, the Permittee shall commence
corrective action no later than twenty-four (24) months after the effective
date of the permit.
The Permittee shall submit a compliance schedule progress report to the
Regional Administrator describing progress on implementation of corrective
action no later than fourteen (14) days from the first anniversary of the
effective date of the permit.
Corrective Action Monitoring
The Permittee shall monitor the effectiveness of corrective action on
groundwater quality and groundwater flow across the entire extent of the
contamination plume emanating from the sludge pits, as required under 40
CFR §264.100(d) and §264.101.
The corrective action monitoring shall commence on the effective date of
the permit with quarterly monitoring in the following wells for the
hazardous constituents listed in II.C.I.
WC-7 WC-21
WC-14 WC-13 (background)
OSWER Dir. No. 9938.2A 3-37 March 1988
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CONDUCTING INSPECTIONS
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Chapter Four
Conducting
the Inspection
SECTION
4.1
4.2
4.3
4.4
4.5
FACILITY ENTRY
Arrival
Consent
Denied Access
Use of a Warrant to Gain Access
Conducting an Inspection Under a Warrant
Dealing with Threats
OPENING DISCUSSION WITH OWNER/OPERATOR
OPERATIONS, WASTE HANDLING, AND RECORD REVIEW
Generators, Transporters, and
Interim Status TSDFs
Permitted Facilities
GENERAL PROCEDURES
Use of Inspection Checklists
Determining the Need for Sampling and
Identifying Sampling Points
Observations for Follow-up Case Development
DOCUMENTATION
Field Notebook
Checklists
Photographs
Maps and Drawings
PAGE
4-3
4-3
4-4
4-5
4-6
4-8
4-8
4-9
4-13
4-14
4-19
4-21
4-23
4-23
4-25
4-27
4-27
4-28
4-28
4-29
4.6 CLOSING DISCUSSION WITH OWNER/OPERATOR 4-31
OSWER Dir. No. 9938.2A 4-1 March 1988
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4.1
Facility Entry
The authority to conduct inspections is contained in Section 3007(a) of
RCRA and is reproduced verbatim in Section 1.5 of this manual. Section
3007(a) grants authority to an inspector to enter the premises of anyone who
"generates, stores, treats, transports, disposes of, or otherwise handles or
has handled hazardous wastes" and to access all records pertaining to such
wastes.
Inspections are either announced or unannounced, as discussed in Section
2.6. In an announced visit, the facility is contacted and advised of the
forthcoming inspection prior to the inspector's arrival. In unannounced
visits, no notice is given before the inspector's arrival on site.
The responsibilities of the inspector in conducting the inspection have
been discussed in Section 1.5. Briefly, the inspector must:
o Enter the premises at a reasonable time and complete the inspection
as promptly as possible.
o Issue receipts for samples collected.
o Provide duplicate samples.
o Furnish the owner, operator, or agent a copy of any sample analysis
conducted.
Arrival
The inspector should determine the appropriate time of entry.
Inspections must be conducted at a reasonable time or during normal working
hours. Inspections that cannot be completed before the normal close of
business will continue on the next business day, unless management does not
object to completing the inspection after closing time (if the time needed to
complete the inspection is short). If the facility is open continuously, or
if management leaves before operations stop, the inspection may continue at
the inspector's discretion. In any event, the inspection should be completed
in a timely manner.
OSWER Dir. No. 9938.2A 4-3 March 1988
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Upon arrival, the inspector should:
o Locate the proper official (owner, operator, or agent) as soon as
possible and determine that this official has the proper authority
to help you.
o Present identification to the proper officials, even if it is not
requested. Keep identification in sight at all times while trying to
locate the proper officials.
o Document entry in logbook or field notebook, noting date, time, and
the names and titles of facility personnel encountered.
Generally, proper identification consists of the inspector's EPA or State
agency identification card, as issued by the respective agencies, and any
additional identification required by EPA Regional or State policy. The
inspector should familiarize him/herself with applicable Regional or State
policy on identification requirements.
Inspectors may be requested on arrival to sign a log, passbook, waiver,
or other form prior to entering a facility. In general, inspectors may sign
logs or passbooks: they are used by facilities to keep a record of visitors to
the facility and are useful in the event of a fire or other emergency.
Inspectors should not sign waivers or other legal documents where the purpose
is to limit the facility's liability in the event of an accident.
Additionally, inspectors should not sign other legal documents limiting the
inspector's rights or the owners responsibilities while at the facility.
Consent
The owner or agent in charge at the time of the inspection gives consent
to inspect the premises.
The inspector should be aware that the consent to inspect may be
withdrawn at any time. However, any segment of the inspection completed
before such withdrawal remains valid. Withdrawal of consent is equivalent to
a refused entry. A warrant must be secured to complete the inspection.
Refusal of entry and use of a warrant to obtain entry are discussed in the
following sections.
Consent to site entry is not required for an inspector to observe and
report on things in plain view (i.e., anything that a member of the public
could be in a position to observe). This includes observations made while on
private property in areas not closed to the public (e.g., matters observed
while the inspector presents identification).
During an inspection, it is possible that an owner/operator would try to
limit the inspector's access to portions of the facility. Limiting access to
OSWER Dir. No. 9938.2A 4-4 March 1988
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portions of the facility is similar to being denied access to the facility.
The appropriate response to being denied access is discussed in the following
sections.
Denied Access
An inspector may be denied access for several reasons, some of which may
be valid. For example:
o The inspector does not have the safety equipment required by the
facility (per OSHA or NIOSH requirements).
In these cases, it is generally possible to obtain access (usually on
another day) by satisfying the owner/operator's objection (e.g., by returning
on another day with the required safety equipment). A warrant is not usually
necessary to obtain access in these cases.
Other reasons for denial of access will not be valid. In this case, a
warrant may be obtained to conduct the inspection. Some invalid reasons for
denial include:
o Not allowing the inspector to bring in necessary equipment (e.g.,
camera).
o Not allowing the inspector access to documents.
o Strikes and/or plant shutdowns.
o The inspector refuses to sign a waiver or other legal document
restricting the owner/operators liabilities or obligations.
When an inspector is denied access, the following procedures apply:
o Ask the reason for denial.
o If the problem is beyond the inspector's authority, suggest that the
official contact an attorney to obtain legal advice on his/her respon-
sibility under §3007 of RCRA.
o Under no circumstances should the inspector discuss potential penal-
ties or do anything that might be construed as threatening.
o If access is still denied, fill out a "Denial of Access Report"
(Exhibit 4.1.) with the time, date, and names and titles of persons
denying access. Obtain the signature of the facility representative
if possible.
o Leave the premises and document any observations made pertaining to
the denial, particularly any suspicions of violations.
OSWER Dir. No. 9938.2A 4-5 March 1988
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o Report all aspects of denial of access to the appropriate Regional
or State enforcement division to determine appropriate action to be
taken and to get help in obtaining a search warrant.
o A Federal or State enforcement division attorney should assist the
inspector in preparing the documentation necessary to obtain a search
warrant and will arrange for a meeting with the inspector and a U.S.
or State Attorney. The inspector or attorney will bring a copy of the
appropriate draft warrant and affidavits to the meeting.
o For Federal inspections, the enforcement division attorney will inform
the appropriate EPA Headquarters enforcement attorney or equivalent of
any entry refusals and will forward copies of all papers filed.
o The attorney will then secure a warrant and forward it to the inspec-
tor and/or to the U.S. Marshall or equivalent State law enforcement
authority.
Use of a Warrant to Gain Access
Inspectors should keep the following points in mind while seeking access
to a facility under a search warrant:
o A U.S. Marshall or local law enforcement officer should accompany the
inspector if the probability is high that entry will still be refused,
or if there are threats of violence by the owner/operator.
o An inspector should never attempt to make forceful entry into a
facility.
o If entry is refused with the warrant and the inspector is not accompa-
nied by a U.S. Marshall or local law enforcement officer, the
inspector should leave the facility and inform the enforcement
division attorney.
OSWER Dir. No. 9938.2A 4-6 March 1988
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EXHIBIT 4-1. DENIAL-OF-ACCESS REPORT
DENIAL-OF-ACCESS REPORT
On at I was denied access into
at
Facility Location
by
Facility Representative's Name and Title
for the following reason(s)
List here:
1.
2.
Signed/Inspector
Signed/Facility Representative
The facility representative, , has refused
Name
to sign this Denial-Of-Access Report. ( , .)
Date Time
OSWER Dir. No. 9938.2A 4-7 March 1988
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Conducting an Inspection Under a Warrant
The procedures for conducting an inspection under a search warrant will
differ from those for conducting an inspection under normal circumstances. The
procedures are as follows:
o The inspection must be conducted in strict accordance with the
warrant. If the warrant restricts the inspection to certain areas or
to certain records, the inspector must adhere to these restrictions.
o If sampling is authorized, all procedures must be carefully followed,
including presentation of receipts for all samples taken. The
facility should also be informed of its right to r.etain a portion of
the samples obtained by the inspector.
o If records or property are authorized to be taken, the inspector must
provide receipts and maintain an inventory of all items removed from
the premises.
Dealing With Threats
The receptiveness of facility officials to an inspection will vary from
firm to firm. In, general, most inspections proceed without difficulty.
However, in some cases, inspectors may be threatened by facility
representatives when trying to obtain entry to the facility or during the
course of an inspection (e.g., when trying to obtain access to a particular
portion of the facility).
The inspector should determine the appropriate course of action for
managing the threat based upon the nature of the threat and the actions of
facility officials. If threatened with violence, the inspector should
terminate the inspection and follow procedures presented in the section titled
"Denied Access". In such cases, the inspector should not return to the
facility except if accompanied by a U.S. Marshall or local law enforcement
officer. It will probably be necessary to obtain a warrant in these cases.
Threats which do not involve a threat of physical harm to the inspector
(e.g., a threat to call the inspector's supervisor) generally will not require
the inspector to terminate the inspection unless accompanied by consent with-
drawal or access denial by the owner/operator, in which case the relevant
procedures discussed in previous sections should be followed. Threats should
be noted in the field log.
Inspectors themselves should avoid making any statements to facility
representatives which could be construed as threatening or inflammatory.
OSWER Dir. No. 9938.2A 4-8 March 1988
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4.2
Opening Discussion
With Owner/Operator
When the proper facility authorities have been located and identification
has been presented, the inspector may discuss inspection plans with the
facility officials. This meeting has several purposes:
o To outline inspection objectives. This will inform facility offi-
cials of the purpose and scope of the inspection and may help to avoid
misunderstandings.
o To provide management with information on RCRA. During the initial
inspection, the inspector may wish to discuss the provisions of
RCRA with the manager and furnish a copy of the Act. The inspector
is regarded as a source of regulatory information and can help streng-
then Agency-industry relations.
o To establish the order of the inspection. A discussion of the order
in which operations will be inspected will help to eliminate wasted
time by allowing officials time to make records available and to
start up intermittent operations.
o To establish meeting schedules. A schedule of meetings with key
personnel will avoid time wasted in waiting for people to become
available. The inspector should try to obtain business cards of
all persons interviewed during the inspection.
o To arrange for facility personnel to accompany the inspector. During
compliance inspections, it is helpful if a facility representative
accompanies the inspector to explain operations and to answer
questions.
o To set up a closing conference. A wrap-up meeting should be sche-
duled with appropriate officials to provide a final opportunity to
gather information, to answer questions, and to complete adminis-
trative duties.
OSWER Dir. No. 9938.2A 4-9 March 1988
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o To advise management of the availability of duplicate samples. The
facility has a right to request and receive immediately duplicates
of any samples collected for laboratory analysis during the inspec-
tion as well as copies of the analysis results later (if an enforce-
ment case is not pending or being pursued).
o To discuss new requirements. The inspector should discuss any new
rules and regulations that might affect the facility and answer
questions pertaining to them.
o To gather general information. Any necessary general information,
such as the name and address of the chief executive officer of the
facility, should be obtained during this meeting.
o To ascertain whether the owner/operator is going to claim any
information as confidential business information. The owner/operator
should inform the inspector if and when information is confidential.
Direct questions such as: Do you want to make any CBI claims? may lead
the owner/operator to get nervous and claim CBI unnecessarily. If the
owner/operator does make that claim the inspector should provide the
appropriate forms for making a claim of confidentiality.
Holding the opening discussion immediately after receiving access to the
facility may not be appropriate in all cases. Depending upon the objective of
the inspection, the inspector may want to see particular operations or
locations in the facility prior to the opening discussion. For example, in an
unannounced inspection of a facility with a suspected violation, the inspector
may want to go directly to the site of the suspected violation in order to
observe the violation before the owner/operator can stop, conceal, or
otherwise obscure the non-complying operation or condition.
It is important that during the opening discussion, if one is held, or
other initial discussion with the owner/operator (e.g., while walking to the
location of a suspected violation), the inspector establish control of the
inspection in a firm, professional manner. While inspectors should, if
possible, avoid causing undue disruptions of facility operations (unless such
disruptions are required to achieve the goals of the inspection), the
inspector should remember that he or she is in charge of the inspection.
Inspectors should not let the facility representative steer the course of the
inspection.
From the opening discussion on throughout the inspection, the inspector
should consider him- or herself to be an investigative reporter trying to find
information that shows that the facility is not complying with the
regulations. Inspectors should question, question, and question some more. If
inspectors are diligent in questioning facility personnel and in observing
operations, they will be able to discern almost any inconsistencies in what
they see, hear, and have previously reviewed, that may indicate a violation.
Inconsistencies must be pursued until they are resolved. For example, if
a facility is using a commercial solvent that would generate a listed waste,
OSWER Dir. No. 9938.2A 4-10 March 1988
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but does not report that it is generating that waste, the inspector should
determine what's happening to the solvent. Where is the solvent used in the
plant? Is it all consumed during use? Is the facility representative's
explanation plausible, and is it consistent with the inspector's observations
and knowledge? The inspector should pursue inconsistencies until he or she is
satisfied that they either constitute a violation, or do not.
OSWER Dir. No. 9938.2A 4-11 March 1988
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4.3
Operations,
Waste Handling,
and Record Review
The inspector should have the facility representative describe facility
operations and waste management practices following the opening discussion.
In general, the inspector should be familiar with the facility through
previous review of the facility's file. Therefore, the purpose of this
discussion will be to:
o Obtain a more detailed understanding of operations.
o Answer any questions the inspector may have on waste generation, waste
flow, and waste management activities.
o Identify any changes in operating and/or waste management practices.
o Identify and reconcile any discrepancies between the operations
described by the facility representative and those described in the
facility file.
During this discussion, the inspector should prepare waste information sheets
(included in Appendix IV) on each waste managed at the facility.
After discussing facility operations and waste handling practices,
inspections usually proceed to the record review. The record review provides
the inspector with the opportunity to become thoroughly familiar with the
facility (e.g., through review of the operating record) and formulate specific
questions to be investigated during the visual inspection of the facility.
However, the record review does not have to occur before the visual
inspection. In some cases, inspection objectives may be best served if the
visual inspection occurs before the record review, or the visual inspection
may be performed first for other reasons (e.g., availability of facility
personnel or weather conditions).
Section 3007 of RCRA states that the regulated community shall furnish or
permit inspectors "to have access to, and to copy all records relating to
[hazardous] wastes". The regulated community must address administrative
requirements for manifests, recordkeeping, and reporting; and hazardous waste
facilities must comply with technical requirements mandating plans for waste
analysis, training, contingency procedures, groundwater monitoring, and
closure.
OSWER Dir. No. 9938.2A 4-13 March 1988
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Generators, Transporters, and Interim Status TSDFs
During the Interim Status period, RCRA inspectors are responsible for
reviewing all recordkeeping as required by §§ 262.40, 263.22, 265.74, and
270.10. Although no standard format is required, inspectors should check for
1) the presence of required records or plans, 2) dates of the documents
(whether they are being kept up to date and/or maintained for the required
period), and 3) any suspected falsification of data.
The regulatory requirements under Parts 262, 263, and 265 and 270 mandate
that the following records be maintained by the regulated parties:
1) Part A Permit Applicants (interim status TSDFs):
- 270.10 - Data used to complete permit applications.
- 270.30 - Records of all monitoring information.
2) Generators:
- 262.34 - Job titles and personnel records, agreements with local
authorities, and contingency plan.
- 262.40 - Manifests, biennial reports, exception reports, and waste
analyses and test results (or other basis for determining
a waste is hazardous and its classification).
3) Transporters:
- 263.22 - Manifests, shipping papers for bulk shipments by rail or
water, and manifests for foreign shipments.
4) Treatment, Storage and Disposal Facilities:
- General facility standards, including the following:
265.13 - Waste analysis plan
265.15 - Inspection schedule
265.16 - Job titles and personnel records
265.51,53 - Contingency plan
265.71-77 - Manifest system (records of manifests)
265.73 - Operating record
265.93 - Outline of ground-water monitoring plan
265.94 - Ground-water monitoring record
265.112 - Closure plan
265.118 - Post-closure plan.
OSWER Dir. No. 9938.2A 4-14 March 1988
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- Facility-specific standards, including the following:
265.193(i) - Annual assessment for tanks
265.196(f) - Certification of major repairs
265.197(2) - Contingent post-closure plan
265.279 - Land treatment, requirements for operating record
and closure plan
265.309 - Landfills, requirements for operating record, contents
and organization of cells, and closure plan
270.30 - Permits, requirements for monitoring information
(Subparts F & G).
- Required submittals to the Regional Administrator (see Exhibit
4-2).
While performing a record review in accordance with the respective
generator, transporter, and interim status regulations, the inspector may
encounter problems in accurately interpreting the regulations. Therefore, the
Agency has made available a number of guidance documents and lists of
background documents that will aid both the inspector and the regulated
community to comply with the recordkeeping requirements of Subtitle C. Exhibit
4-3 presents a list of some of these references; a complete catalog of
background documents can be obtained from the RCRA-Superfund Hotline.
OSWER Dir. No. 9938.2A 4-15 March 1988
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EXHIBIT 4-2. REQUIRED SUBMITTALS TO THE REGIONAL ADMINISTRATOR
Section 265.11
Section 265.12
Section 265.56
Section 265.72
Section 265.74
Section 265.75
Section 265.93
Section 265.94
Section 265.115
Section 270.110
EPA identification number.
Notice of date of arrival of hazardous waste from a
foreign source.
In cases of releases, fires, or explosions, notification
by emergency coordinator that an affected area is ade-
quately cleaned up before operations are resumed.
Written report by emergency coordinator on emergency
incident within 15 days of incident.
Manifest discrepancy report within 15 days of receipt of
waste.
Upon closure, copy of records of waste disposal locations
and quantities.
Biennial report.
In cases of confirmation of analyses indicating signifi-
cant increase (or pH decrease), a written notice that the
facility may be affecting ground-water quality within 7
days of date of such confirmation.
Within 15 days after above notification, specific plan for
a ground-water quality assessment program at the facility.
After determination of the above ground-water quality
assessment, written report containing an assessment of
ground-water quality and/or indicating a reinstatement of
the indicator evaluation program.
Recordkeeping and reporting: ground-water monitoring
information as specified in this section.
Annual reports of Section 265.75 contain results of
groundwater quality assessment program.
Certification of closure.
Permit application and amendments.
OSWER Dir. No. 9938.2A
4-16
March 1988
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EXHIBIT 4-3. EPA GUIDANCE AND BACKGROUND DOCUMENTS FOR SUBTITLE C
1. Regional Guidance Manual for Selected Interim Status Requirements (Draft).
Pub. No. PB81-184 988, May 1, 1980.
Section on Plans Recordkeeping, including sample waste analysis plan,
contingency plan, ground-water assessment plans, and operating record.
2. Final Draft Guidance for Subpart G of the Interim Status Standards for
Owners and Operators of Hazardous Waste Treatment. Storage and
Disposal Facilities. Pub. No. PB87-193 397, November 15, 1981.
3. Method for Determining the Compatibility of Hazardous Waste, Pub. No.
EPA 600-2/80/076, 1980.
4. RCRA Ground-Water Monitoring Technical Enforcement Guidance Document.
OSWER Directive No. 9950.1, 1985.
5. Background Documents. Sixteen background documents developed by the
Agency to explain and respond to comments on the Phase I rules, each
corresponding to a Section of the Subpart. List of background documents is as
follows:
a. Purpose, Scope, and Applicability (including general issues concerning
Interim Status Standards), Pub. No. PB81-181 414, April 15, 1980.
b. General Waste Analysis Requirements, Pub. No. PB81-181 406, April 29,
1980.
c. Security, Pub. No. PB81-181 398, April 15, 1980.
d. General Inspection Requirements, Pub. No. PB81-190 001, Apr.15, 1980.
e. Personnel Training, Pub. No. PB81-181 380, April 15, 1980.
f. Preparedness and Prevention, Contingency Plans, and Emergency
Procedures, Pub. No. PB81-181 372, April 15, 1980.
g. Manifest System, Recordkeeping, and Reporting, Pub. No. PB81-190 043,
April 15, 1980.
h. Interim Status Standards for Ground-Water Monitoring, Pub. No.
PB81-189 79, May 20, 1980.
i. Interim Status Standards for Closure and Post-Closure, Pub. No.
PB181-189 763, December 15, 1980.
j. Interim Status Standards Financial Requirements, Pub. No. PB81-1899
326, January 15, 1981.
k. Interim Status Standards for Tanks, Pub. No. PB81-190 050, December
15, 1980.
1. Interim Status Standards for Surface Impoundments, Pub. No. PB81-185
001, April 15, 1980.
m. Interim Status Standards for Land Treatment, Pub. No. PB81-190 068,
April 15, 1980.
n. Interim Status Standards for Landfills, Pub. No. PB81-189 789,
February 15, 1981.
o. Interim Status Standards for Incinerators, Pub. No. PB81-190 092,
December 15, 1981.
OSWER Dir. No. 9938.2A 4-17 March 1988
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EXHIBIT 4-3. (CONTINUED)
p. Interim Status Standards for Thermal Treatment, Pub. No. PB81-189 771,
April 15, 1980.
These documents can be obtained from EPA Regional Office libraries, at
EPA Headquarters library, or from Solid Waste Information, U.S. EPA, 26 West
St. Glair Street, Cincinnati, Ohio 45268.
5. Reference Manuals. A series of design and operation manuals being
prepared by the agency to assist facility owners and operators and regula-
tory officials. Manuals on the following topics have or will be completed
by the Agency:
a. Training
b. Ground-Water Monitoring
c. Air Monitoring
d. Financial Responsibility
e. Containers
f. Tanks
g. Surface Impoundments
h. Waste Piles
i. Land Treatment
j. Landfilling
k. Incineration
1. Thermal Treatment
m. Chemical, Physical, and Biological Treatment
A catalog of these technical guidance documents is available from the
RCRA-Superfund Hotline. Pub. No. EPA/530-SW-87-016A.
These documents also will be available through Solid Waste Information,
U.S. EPA, 26 West St. Glair Street, Cincinnati, Ohio 45268, through EPA
Regional libraries, or from the National Technical Information Service (NTIS).
OSWER Dir. No. 9938.2A 4-18 March 1988
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Permitted Facilities
Permitted facilities have recordkeeping requirements under 40 CFR 264
similar to those that apply to interim status facilities under 40 CFR 265.
The format and content of many of these records is specified in the facility
permit (in most cases by incorporating the document into the permit) and
changes to the format and content require modification of the permit.
Modifications must be approved by the EPA Regional office or the State.
Records or documents which are incorporated in the permit may include the
following:
o 264.13 - Waste analysis plan.
o 264.15 - Inspection schedule.
o 264.16 - Personnel training program.
o 264.51, 264.52 - Contingency plan.
o 264.112 - Closure plan.
o 264.118 - Post-closure plan.
Other records or submittals which are not incorporated in the permit must
be maintained by permitted facilities. These are similar to those previously
listed under Part 265 and in Exhibit 4-2. Permit documents maintained at the
facility should conform to those at the EPA Regional office or State agency.
The inspector should verify that documents at the facility are complete, are
the same as those maintained by the respective agencies, and that
modifications made to documents at the facility have been approved by the
permitting authority.
The inspector should complete applicable sections of the inspection
checklist during the record review, leaving blank those items to be evaluated
during the visual inspection.
OSWER Dir. No. 9938.2A 4-19 March 1988
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4.4
General Procedures
In general, the visual inspection of the facility should proceed in
accordance with an inspection plan or strategy developed by the inspector
during inspection planning. As previously discussed in section 2.6, this plan
should lay out, in the level .of detail considered appropriate by the inspector
(which may vary according to individual preferences), the operations the
inspector intends to inspect and the tentative order in which the inspection
will proceed. The inspector may, however, determine that it is appropriate to
modify the plan based upon information obtained during the record review or
other factors, such as the availability of specific personnel for interviewing
or the scheduled operations of waste management units to be inspected.
Inspectors should be flexible in changing their planned approach to suit
conditions encountered at the facility.
Step-by-step procedures for visually inspecting a facility will vary
according to the type of facility and the objectives of the inspection.
Specific procedures for inspecting facilities for compliance with RCRA
standards are provided by regulation and facility type in Appendix III to this
document. This appendix provides a summary of RCRA standards in Parts 262,
263, 264, 265, 266, and 268, and describes detailed inspection procedures for
determining compliance with Parts 262, 263, and the general facility standards
of Parts 264 and 265.
Checklists which may be used as a guide in performing the inspection and
in recording results of the inspection are provided in Appendix IV. Note that
Regional offices and State agencies may have preferred checklists that should
be used in lieu of those provided in Appendix IV.
When planning and performing the visual inspection, it is generally
desireable that the inspection proceed in a way which allows the inspector to
evaluate and understand the waste flow within the facility and to determine
the compliance status of each segment of the facility's waste management
system. For example, in a plant which generates hazardous waste, stores waste
for off-site disposal, and treats some waste on-site, the inspection could
proceed as follows, in brief:
OSWER Dir. No. 9938.2A 4-21 March 1988
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o Inspect points of waste generation and accumulation. Determine if the
owner/operator has identified all hazardous wastes based on generating
operations, and determine if accumulation points meet satellite
storage area requirements, if applicable.
o Evaluate in-plant waste transport from generation and accumulation
points to storage and treatment units. Determine if there is
potential for mislabeling, misplacing, or mishandling wastes, and if
wastes are adequately tracked to enable proper identification at
storage and treatment units.
o Evaluate storage and treatment units for compliance with applicable
standards. Determine if wastes in units correspond to those whose
points of generation have been inspected, and identify where any other
wastes in the units come from. Determine if any hazardous wastes are
generated in the unit (e.g., treatment sludge) and evaluate the
management of such waste for compliance.
This type of flow enables the inspector to understand the movement and
control of wastes within the facility, which is important in order to
identify:
o Hazardous wastes which may not currently be considered hazardous by
the owner/operator.
o Non-complying procedures or management practices which are part of the
facility's routine operations.
o Steps in the management process during which wastes may be mishandled
or misidentified, and in which there are opportunities for spills or
releases.
o Unusual situations which may be encountered during the inspection
which vary from the facility's stated normal operating procedures and
which may indicate potential violations.
This type of flow also allows the inspector to complete checklists and to
evaluate the facility in an organized manner, which helps to insure that all
aspects of hazardous waste management activities at the facility are
thoroughly inspected.
Inspections may be conducted on foot or, at larger facilities, by vehicle
and on foot. In either case, inspectors should be alert to all that is
happening at the facility and keep their eyes, ears, and noses open to any
potential violations. Although it is generally good to follow an inspection
plan in order to better understand waste generation and management within the
facility, inspectors should not feel compelled to follow their original
inspection plan or route. Rather, they should feel free to diverge from their
original plan to further investigate any observations which may uncover
potential violations or environmental hazards.
OSWER Dir. No. 9938.2A 4-22 March 1988
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Inspectors should not allow facility representatives to hurry the inspec-
tion, direct the route of the inspection, or prevent them from asking
pertinent questions of facility personnel. Inspectors should ask relevant
questions of both the facility representative guiding them through the
facility and of other personnel. Questioning diverse personnel may identify
inconsistencies in explanations of procedures or operations that could
indicate possible non-complying conditions that should be further
investigated, and can also give the inspector an indication of the adequacy of
the personnel training program. Answers to questions and observations that are
not reported on checklists should be recorded in a field log or notebook,
which is discussed in Section 4.5.
Inspectors should be careful to remain oriented during the tour of the
facility so that they can accurately note locations of waste management areas,
possible releases, potential sampling locations, etc. At larger facilities,
inspectors should carry a map or plot plan in order to note locations and
maintain their orientation.
Use of Inspection Checklists
As previously discussed, the inspector should complete as much of the
applicable checklist(s) as possible in the facility office, generally during
the record review, prior to visually inspecting the facility (unless the
objectives of the inspection or other reasons dictate that the visual
inspection occur before the record review). The inspector should leave blank
those sections of the checklist(s) which cannot be answered without visual
inspection.
During the visual inspection, the inspector should complete these
sections. However, completing these sections is not the sole purpose of the
visual inspection, and it is critical that the inspector not limit the visual
inspection to only completing the checklist. Inspectors should be aware of,
and investigate, all relevant waste generation and management activities
throughout the facility, and be alert to what is happening around them as they
tour the facility. If inspectors conduct visual inspections in ways which
allow them to understand how wastes are generated, transported, and managed at
the facility (as previously discussed), they should be able to complete the
applicable checklists easily during the inspection.
Determining the Need for Sampling and Identifying Sampling Points
Sampling is not routinely conducted as part of CEIs at interim status and
permitted facilities. Rather, sampling is generally performed during
inspections conducted in support of case development, which normally occur
after potentially non-complying conditions or criminal activities have been
identified during a CEI or through other means. Sampling procedures to be
followed during case development inspections/evaluations are provided in
detail in the Technical Case Development Guidance Document, available from the
OSUER Dir. No. 9938.2A 4-23 March 1988
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Office of Waste Programs Enforcement. Additional information on sampling is
provided in several EPA publications, including:
o Test Methods for Evaluating Solid Waste. Physical/Chemical Methods.
EPA, Office of Solid Waste, Pub. No. SW-846, July 1982, as amended
(Update I - April 1984; Update II - April 1985).
o Characterization of Hazardous Waste Sites - A Methods Manual. Volume
II. Available Sampling Methods. EPA, Pub. No. 600/4-84/075, April
1985.
If sampling is to be conducted during a CEI, the need to sample will be
determined or made known to the inspector during inspection planning. The
inspector should refer to these manuals during inspection planning to obtain
information on preparing sampling plans, taking samples, preserving samples,
splitting samples with the owner/operator, and completing chain-of-custody
requirements.
In most cases, the inspector will not perform sampling during CEIs.
However, the inspector should be aware of, and identify, potential sampling
requirements that may need to be fulfilled in future inspections, particularly
in cases where the inspector has identified potentially non-complying
conditions or criminal activity during the course of the inspection. In these
cases, it is possible that case development inspections/evaluations will need
to be performed at the facility in the future, and it is helpful when planning
these inspections to have the results of previous inspections in which
potential sampling locations and needs have been identified based on observed
conditions at the facility.
Sampling is generally conducted to verify the identity of a waste or to
identify potential releases of hazardous wastes or constituents to the
environment. There are many possible conditions or activities which may lead
the inspector to determine that future sampling will probably be necessary.
Examples of some of these conditions include situations in which:
The owner/operator is handling a potentially hazardous waste as a non-
hazardous waste. Sampling may be required to verify that the waste is
hazardous or non-hazardous.
In-plant waste handling practices indicate that mislabeling/misidenti-
fication of waste is likely to occur, or that wastes may vary signifi-
cantly in characteristic over time and be mismanaged as result.
Sampling may be required to demonstrate that the facility is
mislabeling or misidentifying wastes.
There is visible or other observable evidence of possible releases of
hazardous wastes from waste management units, satellite storage areas,
waste generating areas, etc. Sampling media and wastes may be
required to demonstrate that a release has occurred or is occurring.
OSWER Dir. No. 9938.2A 4-24 March 1988
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o Wastes may be being managed improperly, i.e., in an inappropriate
treatment or disposal unit. Sampling may be required to verify that
the correct wastes are being managed in the facility's various waste
management units.
The inspector should identify during the inspection the types and
locations of samples that may need to be taken during future inspections to
investigate potentially non-complying conditions, if they are encountered.
The inspector may identify the media or wastes to be sampled, the physical
locations to sample (e.g., the location of a possible release), the steps
within a treatment process to sample, the physical characteristics of the
medium to be sampled (e.g., sludge, granular solid), and other relevant
information that would be helpful in developing a sampling plan for a future
inspection.
Observations for Follow-up Case Development
Observations of potentially non-complying conditions or criminal activity
made by inspectors during CEIs may result in the initiation of one of several
types of enforcement actions, including:
o Issuing a warning letter.
o Issuing an Administrative Order.
o Issuing an Administrative civil penalty.
o Initiating a permit action.
o Instituting a civil court action.
o Instituting a criminal court action.
In some cases, these observations or conditions may be recorded directly on
inspection checklists; in others, they may be recorded through other forms of
documentation, such as photographs or field notebooks. In all cases, it is
essential that all observations that may lead to or support further case
development activities should be accurately and validly documented.
Inspectors should record in their notebooks any and all observations made
during the inspection and, where appropriate, use other forms of documentation
(e.g., photographs) to further document potentially non-complying conditions.
Documentation is discussed further in the following section.
During the inspection, inspectors should not threaten or suggest to the
owner/operator, or facility representative that they are in criminal violation
of RCRA or that they will be receiving a court action of any kind.
OSWER Dir. No. 9938.2A 4-25 March 1988
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4.5
Documentation
Documentation refers to all printed and mechanical media produced, copied
or taken by the inspector to provide evidence of suspected violations. It is
strongly recommended that the inspector record information collected during
the inspection in only the following types of records: field notebooks,
checklists, photographs, maps, and drawings. Recording information on other
loose papers is discouraged; loose papers may be easily misplaced and the
information on them discredited during hearings. Proper documentation and
document control are crucial to the enforcement system, as the Government's
case in a formal hearing or criminal prosecution often hinges on the evidence
gathered by the inspector. Therefore, it is imperative that each inspector
keep detailed records of inspections, investigations, photocopies, photographs
taken etc., and thoroughly review all notes before leaving the site.
The purpose of document control is to assure the accountability of all
documents for the specific inspection when that inspection is completed.
Accountable documents include items such as logbooks, field data records,
correspondence, sample tags, graphs, chain-of-custody records, bench cards,
analytical records, and photos. To ensure proper document control, each
document should bear a serialized number and should be listed, with the
number, in a project document inventory assembled upon completion of the
inspection. Water-proof ink should be used to record all data on serialized,
accountable documents.
Field Notebook
In keeping field notes, it is strongly recommended that each inspector
maintain a legible daily diary or field notebook containing accurate and
inclusive documentation of all inspection activity, conversations, and
observations. This will include any comments, as well as a record of actual
or potential future sampling points, photograph points, and areas of potential
violation. The diary or field notebook should contain only facts and observa-
tions because it will form the basis for later written reports and may be used
as documentary evidence in civil or criminal hearings. Notebooks used for
recording field notes should be bound and have consecutively numbered pages. A
separate notebook should be used for each facility inspected, in case the
notebook has to be made available to the owner/operator and/or his or her
OSWER Dir. No. 9938.2A 4-27 March 1988
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attorney as part of a legal action (e.g., through discovery). Because field
notebooks may be made available to the owner/operators and their attorneys,
inspectors should be careful to avoid recording potentially embarrassing notes
or notes which may weaken an future enforcement action.
For Federal inspectors, field notebooks are part of EPA's Regional files.
not the inspector's personal record. State policy on field notebooks may
vary, and State inspectors should inform themselves on State policy.
Checklists
In general, it is recommended that checklists be used in conjunction with
field notebooks to record inspection observations. However, Regions or States
may have different policies on the use of checklists, and inspectors should
follow the applicable Regional or State policy.
Checklists have been provided for use by inspectors in Appendix IV of
this document. In some cases, Regions or States may have preferred checklists
that should be used instead of the checklists provided here. Inspectors
should use the checklists preferred by their Region or State. Checklists
should not be used as a substitute for knowledge and understanding of the
regulations.
The use of checklists in conducting inspections has been discussed in
Section 4.4. In general, it is important that inspectors remember that check-
lists are only a tool for organizing, conducting, and recording the results of
an inspection; the purpose and scope of an inspection is not limited to just
completing the checklist. Inspectors should not restrict an inspection to
items on a checklist, and should be observant of the general operation of the
facility, of waste management practices, and of potentially regulated
activities not covered by checklists (e.g., new activities that the inspector
was not aware of in planning the inspection) as they perform the record review
and visual inspection.
The inspector should generally limit comments on the checklist to
checking the relevant answers, although more extensive comments may be made if
no alternative record is available for noting observations. It is recommended
that comments or observations on checklist answers be recorded in the field
notebook, where there is adequate room for explanations, sketches, etc., to
expand upon checklist answers.
Photographs
Photographs provide the most accurate documentation of the inspector's
observations, and they can be a significant and informative source for the
inspector, for review prior to future inspections, at informal meetings, and
at hearings. Documentation of a photograph is crucial to its validity as a
representation of an existing situation. For each photograph taken, the
following items should subsequently be entered in the inspector's field
notebook, or on the facility map, as such information is crucial to the
validity of the photograph's representation of an existing situation:
OSWER Dir. No. 9938.2A 4-28 March 1988
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o Date
o Time
o Number of the photo on the roll
o Type of film, lens, and camera used
o Photographed by (signature)
o Name and ID number of site
o General direction faced by inspector when taking photograph
o Location of checkpoint on site
o Other comments (e.g., weather conditions).
Comments should be limited to these pertinent facts because any discussion of
the photograph in terms of its contents could jeopardize its value as
evidence.
The type of camera used by the inspector is optional; however, 35 mm
single lens reflex cameras are most common. Inspectors should also be aware
that photographs taken with a telephoto lens may not be admissible evidence
because these lenses may distort the scale of the photo or image. When taking
photos, inspectors should include in the photograph a ruler or other item, as
appropriate, for showing the scale of the object photographed.
Maps and Drawings
Schematic maps, drawings, charts, and other graphic records can be useful
in documenting violations. They can provide graphic clarification of a parti-
cular site relative to the overall facility; demonstrate spill or
contamination parameters (e.g., the size of a contaminated area) relative to
the height or size of objects; and other information that, in combination with
other documentation, can produce an accurate and complete evidence package.
Maps and drawings should be simple and free of extraneous details. Basic
measurements should be included to provide a scale for interpretation, and
compass points should be included. Generally, maps should also be used to
show where photographs were taken, and in what direction; photo locations can
be shown on the map using the roll number, exposure (photo) number, and a
direction arrow.
OSWER Dir. No. 9938.2A 4-29 March 1988
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4.6
Closing Discussion
With Owner/Operator
Facility officials are usually anxious to discuss the findings of an
inspection prior to the departure of the inspector(s). A closing meeting or
conference should be held for the presentation and discussion of preliminary
inspection findings. This closing meeting or conference is a good time to
answer final questions, to prepare necessary receipts, to provide information
about RCRA, and to request the compilation of data that were not available at
the time of the inspection. The inspector should be prepared to discuss
general follow-up procedures, such as how results of the inspection will be
used and what further communications from the Region or State the facility may
receive. Closing conferences should be conducted in accordance with any
applicable guidelines established by the EPA Regional Administrator or State
director.
In order to conduct the closing discussion, the inspector should:
1) Review inspection notes and checklists in private to determine the
best approach to the discussion. The inspector may need to take time
to refer back to applicable federal or State standards, call his or
supervisor, or call the RCRA-Superfund Hotline, to get a clear inter-
pretation of the regulations as they apply to the specific conditions
at the facility. In general, the inspector should:
A) Identify any questions for the facility officials that may still
need to be answered before leaving the facility. These questions
may include questions raised during the visual inspection that need
clarification and questions concerning potential violations
uncovered during the inspection that the facility representative is
unaware of.
B) Determine which inspection results to discuss with the facility
representatives and how to discuss the results, i.e., determine how
definitively to present results. Of course, all inspection findings
are preliminary until reviewed by the inspectors supervisor.
However, inspectors should be prepared to forthrightly discuss all
obvious violations of rules observed during the inspection; they
should not discuss or threaten civil or criminal action. Inspectors
may or may not want to discuss tentative findings where there is
OSWER Dir. No. 9938.2A 4-31 March 1988
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doubt that a violation has occurred and where the inspector will
need to further review facility conditions, regulations, and
guidance to determine compliance. Inspectors don't have to have
their inspection results final at the close of inspection. In these
cases, inspectors generally should inform the facility
representative of those conditions that may be in violation and
briefly discuss how the inspector will resolve the compliance
question.
C) Anticipate questions that may be asked by the facility representa-
tives and determine how to respond. Obviously, questions that may
be asked will largely depend on inspection results. The inspector
can anticipate that the facility representative may challenge
specific results, may ask for clarifications of rules or results,
and may request help in understanding how to respond to or correct
non-complying conditions. The inspector should be prepared to
answer all questions within his or her ability, authority and
knowledge, and to defer answering questions which he or she can't
answer with certainty. The inspector should tell the facility
representative how he or she will follow-up on deferred questions,
and may refer the representative to appropriate EPA or State
officials for answers to questions beyond his or her authority.
2) Meet with the facility representatives to ask questions, review
results, and respond to questions from the representatives in accord-
ance with the approach developed under (1) above. When presenting
results, the inspector should stress that all inspection results are
preliminary until reviewed and discussed with the inspector's
supervisor. The inspector should inform the facility representative
that the overall compliance status of the facility will be determined
after review of inspection results with supervisory personnel and the
issuance of an inspection report. The inspector should answer
questions from the facility representative as planned under (C) above.
In conducting the meeting, it is essential that the inspector maintain a
professional, courteous demeanor, even though the attitude of facility
representatives may not be cordial. Because the inspector is often the only
contact between EPA or the State agency and the regulated industries, he or
she should be keenly aware of opportunities to maintain and improve agency-
industry relations. The closing conference provides a good opportunity to
offer various kinds of help to facility officials, within appropriate limits.
Having just completed an inspection, the inspector will have first-hand
knowledge of questions and problems and of ways to help overcome them.
Besides answering all questions within the inspector's authority and referring
other questions to Regional or State officials, the inspector may be able to
help the facility officials by:
OSWER Dir. No. 9938.2A 4-32 March 1988
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o Discussing problems with facility officials and tactfully offering
help and suggestions, as appropriate. Inspectors should limit their
comments to relatively straightforward interpretations of rules and
resolutions of problems. Inspectors should avoid providing any advice
or assistance that would prejudice the government's case in a
subsequent enforcement action (e.g., making guarantees that the
facility would come into compliance by performing certain actions,
other than those specified verbatim in regulations). Additionally,
inspectors should be careful to avoid making suggestions that might
imply that a "consultant" type of relationship exists with the
owner/operator.
o Offering or suggesting available resources to facility officials to
help overcome problems (i.e., Agency outreach materials, technical
publications, special services available to industry, etc.).
Contact with the facility after the inspection can serve to gather addi-
tional information and show interest in the facility, but such contacts should
be made with discretion. Inspectors should avoid making contacts just to "be
a nice guy;" contacts should serve enforcement or compliance objectives. It
is important for the inspector, as an industry relations representative, to
follow-up on deferred questions, referrals, and offers of help made during the
inspection. These activities, within appropriate limits (which may be set by
Regional or State policy), contribute towards achievement of a major
enforcement objective: making regulated facilities come into, or maintain,
compliance. A letter, phone call, or repeat visit indicates to facility
officials that the regulatory agency is genuinely interested in assisting them
achieve compliance (within appropriate limits), and that the agency is paying
attention to their actions, or lack thereof, towards achieving or maintaining
compliance.
Inspectors should never recommend a particular consultant or consulting
firm to the facility, even if asked to do so. Inspectors may recommend that a
facility contact a professional society about obtaining professional
assistance.
OSWER Dir. No. 9938.2A 4-33 March 1988
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INSPECTION REPORTS
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Chapter Five
Preparing
nspection Reports
SECTION PAGE
5.1 REPORT PREPARATION 5-3
Objectives 5-3
Report Preparation Procedures 5-4
5.2 REPORT ELEMENTS 5-7
Checklists 5-7
Narrative Information 5-7
Documentary Support 5-8
5.3 FOLLOW-UP DISCUSSIONS AND FILE PREPARATION 5-13
Preparing Inspection Files 5-14
5.4 DISCLOSURE OF OFFICIAL INFORMATION 5-17
Requests for Information 5-17
Confidential Business Information 5-18
OSWER Dir. No. 9938.2A 5-1 March 1988
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5.1
Report Preparation
The adequacy of follow-up to correct problems or deficiencies noted
during an inspection depends greatly on the report package the inspector
prepares following the inspection. The report must be organized in a manner
that allows the inspector and his or her supervisor to make maximum use of the
information. It is also essential that the report be completed expeditiously
so that results are available to support further actions, especially in
situations where a facility has significant violations. During report
preparation, inspectors should bear in mind that enforcement actions may be
taken against the facility at a later date, and that these actions will
benefit from the support of a timely, complete, accurate, and well-organized
report.
The intent of this guidance is to present a general method of reporting
inspection findings and conclusions. The guidance does not provide a required
or recommended report format; Regions and States generally have preferred
formats tailored to their specific procedures and requirements.
Objectives
The objective of an inspection report is to organize and coordinate all
relevant information and evidence gathered during an inspection in a
comprehensive and usable manner. To meet this objective, the information
presented in an inspection report must be:
o Accurate. All information must be factual and based on sound
inspection practices. Observations should be the verifiable re-
sults of first-hand knowledge. Case proceedings personnel must be
able to depend on the accuracy of all information.
o Relevant. Information in an inspection report should be pertinent to
the subject of the report. Irrelevant data clutter a report and can
reduce its clarity and usefulness.
OSWER Dir. No. 9938.2A 5-3 March 1988
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o Comprehensive. The subject of the report [i.e., suspected
violation(s)] should be substantiated by as much factual, relevant
information as possible. The more comprehensive the evidence is, the
better and easier the case development process becomes.
o Coordinated. All information pertinent to the subject should be
organized into a complete package. Documentary support (photographs,
photocopies, statements, sample analyses, etc.) accompanying the
report should be clearly referenced so that anyone reading the report
will get a complete and clear overview of the subject.
o Objective. Information should be objective and factual.
o Clear. The information in the report should be presented in a clear,
well-organized manner.
o Neat and legible. Adequate time should be taken to allow the
preparation of a neat, legible report.
Report Preparation Procedures
A basic four step procedure applies to the preparation of inspection
reports, regardless of the specific nature of the elements/contents. Each of
these steps is briefly described here:
o Reviewing the information. The first step in preparing the report is
to collect all information gathered during the inspection. The
inspector should assemble checklists, field notebooks, photos , maps ,
photocopies, and drawings and review the material for relevancy and
completeness. When gaps in information are discovered, the inspector
should obtain necessary data by means of a telephone call or, in
unusual circumstances, a follow-up visit.
o Organizing material. Information may be organized in any of several
different forms, depending on the requirements of the agency the
inspector represents. However, the report should include each of the
elements just discussed and should present the information in a
logical, comprehensive manner. The narrative should be easily
understandable (perhaps a cross-referencing system with the checklist
would be appropriate).
o Referencing accompanying material. All documentary support that
accompanies an inspection report should be clearly referenced to
enable the reader to locate documents easily. All documentary support
should be checked for clarity prior to writing the report.
OSWER Dir. No. 9938.2A 5-4 March 1988
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o Writing the narrative report. When all appropriate information has
been assembled, the narrative section of the report can be written.
Its purpose is to present a factual record of the procedures used in
the inspection and of the resulting findings. Using the field
notebook as a guide for preparing the narrative report, the inspector
should refer to the routine procedures and practices used during the
inspection, but should describe in detail facts relating to potential
violations and discrepancies. The report should be developed
logically from the organizational framework of the inspection.
It is recommended that any confidential business information included in
the inspection report be referenced in a nonconfidential manner (i.e., by
Document Control Number and a general description of the information contained
in the document) . An alternative would be to include the information, but to
treat the entire inspection report as a confidential document. If the latter
alternative is selected, the report would be logged in with the Document
Control Officer to ensure that only persons cleared for access are permitted
to review it.
OSWER Dir. No. 9938.2A 5-5 March 1988
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5.2
Report Elements
Although specific information requirements will vary among facilities,
each report comprises three elements: checklists, narrative information, and
documentary support. Suspected violations must be documented in these
elements. Each element of the inspection report is described in the following
subsections.
Checklists
Checklists are designed to lead to the collection of standard reviewable
information. They function as guides to ensure that all basic data are being
collected, and are generally completed as the inspection progresses and then
included in the inspection report as completed. A detailed discussion of
checklists appears in Section 4.4.
In instances where the checklist(s) need clarification and elaboration,
inspectors should use the information recorded in their field notebooks and
other information (e.g., from the inspection file) to expand upon checklist
results in the narrative body of the inspection report. Inspection checklists
represent only one component of a complete report; they should not be
considered sufficient in and of themselves. The inspection checklists used
and included in reports will vary according to individual State and Regional
procedural requirements.
Narrative Information
A narrative discussion of the facility inspected, its operations, and the
findings of the inspection is an important element of the inspection report.
The narrative should, at a minimum:
o Explain what the facility does.
o Discuss manufacturing and waste management operations at the facility.
o Describe the wastes generated and how they are handled.
OSWER Dir. No. 9938.2A 5-7 March 1988
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o Describe apparent violations, and discuss the documentary evidence
supporting the determination that the facility is in violation.
The narrative supports and explains findings presented in the inspection
checklists. The narrative, which is intended to describe results more fully,
may include recommendations for follow-up actions. A recommended outline for
the narrative is presented in Exhibit 5-1.
In preparing the narrative, simplicity of presentation should be a prime
consideration. The following are some reminders for preparing a good, concise
narrative report:
o Use a simple writing style; avoid stilted language.
o Use active rather than passive voice (e.g., "I observed..." rather
than "It was observed...").
o Keep paragraphs brief and to the point.
o Avoid repetition.
o Proofread the narrative carefully upon completion.
Documentary Support
All documentation that is intended to provide evidence of suspected
violations should be included as a part of the inspection report. Such
documentation includes statements, photographs, photocopies, drawings and
maps, printed matter, mechanical recordings, and copies of permits and
records. A specific example of important documentation is a photograph
showing a specific violation at a facility (e.g., a violation of aisle space
requirements at a drum storage facility). The documentation for the
photograph includes the photo itself; supporting documentation in the
inspectors field notebook providing information on where the photo was taken,
who took it, what type of equipment was used, when it was taken, and what roll
of film and exposure number it is; and supporting documentation on the
facility map or plan showing where the photo was taken, and in which
direction/perspective. The information that should be recorded in field
notebooks and on facility maps to document photographs is discussed in Section
4.5.
OSWER Dir. No. 9938.2A 5-8 March 1988
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EXHIBIT 5-1. RECOMMENDED NARRATIVE OUTLINE
I. GENERAL INFORMATION
1. Facility Information:
2. Responsible Official:
3. Inspection Participants:
4. Date of Inspection:
5. Applicable Regulations:
6. Purpose of Inspection:
7. State Coordination:
8. Facility Description:
9. Apparent Violations:
II. FOR GENERATORS
10. General Standards for
Generators:
11. The Manifest:
12. Pre-transport Requirements:
13. Recordkeeping and
Reporting:
14. Special Conditions:
(Name, Address, Telephone)
(Name, Title)
(Name, Agency or Company)
40 CFR Parts 260-270
(Requested by, inspection of, sampling
of, etc.)
(Assisted by, copy of report to,
additional information obtained from)
(RCRA related activities, including
operations, wastes generated, waste
handling)
(Regulatory citation, nature of
violation, evidence)
262.10 - 262.12 (Describe compliance
with these standards)
262.20 - 262.23 (Establish existence
of manifest records, assess adequacy
with respect to regulatory
requirements).
262.30 - 262.34 (Review packaging,
labeling, marking and placarding
procedures for compliance with the
regulations. Establish compliance
with accumulation time restrictions).
262.40 - 262.43 (Establish existence of
annual reports and additional reports).
262.50 - 262.51 (Inspect for reports of
international shipments of waste, and
proper notification to the
Administrator).
OSWER Dir. No. 9938.2A
5-9
March 1988
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EXHIBIT 5-1. (CONTINUED)
III. FOR TRANSPORTERS
15. General:
16. Manifest System and
Recordkeeping:
17. Hazardous Waste Dis-
charges :
IV. FOR TSDFs
18. General Facility
Standards:
19. Preparedness and
Prevention:
20. Contingency Plan and
Emergency Procedures:
21. Manifest System, Record-
keeping and Reporting:
22. Groundwater Monitoring:
23. Corrective Action Program:
24. Closure and Post Closure:
263.10 - 263.11 (Ensure that the trans-
porter has obtained an EPA I.D.
number).
263.20 - 263.22 (Establish existence of
manifest records and compliance with
manifest procedures).
263.30 - 263.31 (Ensure the transporter
is aware of the responsibilities of
this section. Check to see if any
discharge reports have been reported
to the Department of Transportation as
required by these regulations).
264, 265.10 - 264, 265.37 (Describe
compliance with these standards).
264, 265.30 - 264, 265.37 (Check for
required equipment and arrangements
with local authorities).
264, 265.30 - 264, 265.69 (Check
records and procedures for adequacy
with respect to the requirements of
this section).
264, 265.70 - 264, 265.77 (Establish
existence of manifest records,
operating record, annual report and
unmanifested waste report. Assess
adequacy with respect to regulatory
requirements).
264, 265.90 - 264.99 or 265.94 (Examine
groundwater monitoring plan and review
results of sampling analysis).
264.100 (Review status of corrective
action program.
264, 265.110 264, 265.120 (Review
closure and post closure plan for
adequacy with respect to regulatory
requirements).
OSWER Dir. No. 9938.2A
5-10
March 1988
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EXHIBIT 5-1. (CONTINUED)
25. Facility Specific 264, 265.170 - 264.351 or 265.430
Standards: (Depending upon the type of facility
being inspected, establish compliance
with the appropriate regulatory
standards).
26. Permit Conditions (Review violations of specific permit
conditions or schedules of compliance;
applies to permitted facilities only).
OSWER Dir. No. 9938.2A 5-11 March 1988
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5.3
Follow-Up Discussions
And File Maintenance
During preparation of the inspection report and following its completion,
the inspector may need to brief or discuss inspection results with
supervisors, case development officers, other State or Regional enforcement
personnel, and permitting personnel. In particular, it is likely that the
inspector will brief his or her supervisor on the inspection results
(particularly observed violations). The inspector may also brief the Regional
Case Development Officer (RCDO), equivalent State case development officer, or
enforcement decision group on the inspection to assist the RCDO in determining
the need for possible enforcement action, to answer questions about the
performance of the inspection, or to clarify inspection results in order to
develop additional evidence in support of enforcement case development.
In addition to these briefings or discussions, the inspector should be
prepared to discuss results with other Regional or State personnel as
appropriate based upon the facility's situation and the specific results.
Situations in which the inspector may need to discuss results with other
personnel include:
o Cases where the inspector has referred the facility representative to
other Regional or State personnel for information or assistance. The
inspector should inform other Regional or State personnel who may be
contacted by the facility for assistance based on the inspector's
recommendations during the closing discussion, and brief these person-
nel concerning conditions at the facility and the types of questions
that they should expect to receive.
o Cases where the facility is subject to both Federal and State enforce-
ment (e.g., cases in which some waste management units at the facility
are subject to enforcement by a partially authorized State and some
units are subject to EPA enforcement), and the inspector observes
potential violations at units not within his or her jurisdiction. The
inspector may inform the Regional or State agency with enforcement
authority over the unit(s) of violations observed by the inspector
which fall within the respective Region's or State's jurisdiction.
Regions and States may have policies for informing other agencies with
which they share joint authority over hazardous waste management
OSWER Dir. No. 9938.2A 5-13 March 1988
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facilities; inspectors should become familiar with and follow policies
applicable to their jurisdiction.
o Cases where a facility has applied for a permit, or is operating under
a permit, and where the inspector identifies conditions which conflict
with those presented in the permit application or required in the
permit. Where a facility has applied for a permit, and conditions at
the facility are not consistent with the application, the inspector
may want to inform the permit writer of the conflicting conditions.
Where the facility has been permitted, and conditions are not
consistent with the permit, the conditions may constitute violations
unless a modification has been applied for and approved. In such
cases, the inspector may want to confer with the permit writer on the
observed conditions and any modifications which the facility may have
applied for or discussed with the permit writer, prior to determining
how to present these conditions in the inspection report.
Preparing Inspection Files
Upon completion of the inspection report, inspectors should organize the
report, notes, and other documentary information into an inspection file.
Where inspection documentation includes confidential business information, it
may be appropriate to separate the information into two files, a non-
confidential file and a confidential file.
Proper organization of inspection information into files so that material
can be easily reviewed is important in helping to expedite review of
inspection results to determine possible enforcement actions. For EPA
inspections, inspection files are normally sent to Regional Case Development
Officers (RCDO) for review. The RCDO reviews the file in depth to determine
the adequacy of information in the file to support any necessary enforcement
actions and to substantiate elements of a violation. The result of the review
will generally be a recommendation to proceed with an enforcement action or to
dismiss violations as not worthy of prosecution. For State inspections, State
inspection files may go through a similar review by comparable State
enforcement personnel.
The non-confidential inspection file should contain the inspectors report
and all forms of non-confidential documentation, which may include:
o Field notebooks.
o Documents relating to sampling, as appropriate (e.g., custody records,
analytical results).
o Photographs.
o Drawings and maps.
Where necessary, a confidential business information (CBI) inspection
file may also need to be prepared. This file would include all CBI obtained
OSWER Dir. No. 9938.2A 5-14 March 1988
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during the inspection, and the results of analyses for samples considered to
be CBI. Relevant procedures for logging CBI with Document Control Officers,
or the State equivalent, should be followed in developing this file. The CBI
inspection file can only be reviewed in accordance with RCRA CBI control and
security procedures. For more information on CBI procedures, inspectors
should review the RCRA Confidential Business Information Security Manual.
available from the Office of Solid Waste, Office of Program Management and
Support.
OStfER Dir. No. 9938.2A 5-15 March 1988
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5.4
Disclosure
of Official Information
In addition to holding closing conferences and preparing final reports on
the findings of a facility site inspection, inspectors are responsible for
making information available to the public. This section presents details on
how to handle requests for general information and the procedures for
confidential business information.
Requests for Information
The aim of EPA's "open-door" policy on releasing information to the
public is to make information about EPA and its work freely and equally
available to all interested individuals, groups, and organizations. In fact,
EPA employees have both a legal and traditional responsibility for making
useful educational and safety information available to the public. This
policy, however, does not extend to information related to the suspicion of a
violation, evidence of possible misconduct, or confidential business
information. When such information is requested, personnel should immediately
notify their supervisor and/or legal counsel. Representatives of State
agencies may use EPA's policies on information disclosure as a guide in the
absence of formal procedures of their own.
Details on contacts with the media are summarized here. Inspectors
should clear any contacts with the press, other communications media, and
interested groups, with their supervisor, Regional public affairs office, or
State public affairs office. Inspectors should be familiar with and follow
Regional or State policy with respect to press relations.
In situations where the inspector or an inspection team is authorized to
discuss activities with the press or interested groups, one member should be
designated as the spokesperson to provide information concerning inspection
responsibilities and investigative activities. Questions concerning
investigation of alleged violations and enforcement policy should be referred
to the EPA Regional Counsel or appropriate State enforcement staff attorney
for response. In all contacts with the media, inspectors should be careful not
to make careless or accusatory statements.
OSWER Dir. No. 9938.2A 5-17 March 1988
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Confidential Business Information
All confidential information obtained will be marked as such and placed
in a locked filing cabinet or safe. Only authorized personnel will be allowed
access to the file. No copies of CBI will be made unless authorized in
writing by the document control officer. Inspectors and other enforcement
personnel have a responsibility to the submitters of RCRA CBI to maintain the
confidentiality of such information. Personnel handling CBI are prohibited
from disclosing, in any manner or to any extent not authorized by law, any
RCRA CBI they have access to in the course of their employment or official
duties. Requests for access to confidential information by any member of the
public or by a State, local, or federal agency will be handled according to
the procedure described in the Freedom of Information Act regulations (40 CFR
2). All requests will be referred to the responsible Regional organizational
unit.
Section 3001 (b) of RCRA and 40 CFR 2.305(h) authorizes EPA to furnish CBI
to State agencies acting as authorized representatives of the Unites States in
support of RCRA, provided the State agency has its own CBI procedures approved
by EPA. States must either develop their own procedures that are no less
stringent than EPA's or adopt EPA's existing procedures. State and Regional
RCRA CBI procedures will vary. Inspectors will become familiar with their
specific procedures prior to obtaining CBI authorization access.
Confidential claims for RCRA should not be confused with confidential
claims under other environmental laws (e.g., Toxic Substances Control Act).
Unauthorized disclosure of RCRA CBI may subject an employee to criminal
penalties under 18 United States Code (USC) Section 1905. Violations of RCRA
CBI procedures by employees may result in the revocation of CBI authorization
access and/or further disciplinary action.
For more detailed information inspectors should consult the RCRA
Confidential Business Information Security Manual. Office of Solid Waste, US
EPA, Draft, March 1984.
Contract inspectors must provide the same degree of protection to RCRA
CBI that is provided by EPA or an authorized State agency. Although the
contractor protection of CBI must be equivalent to EPA, the nature of
contracts is such that the specific procedures are somewhat different.
Contract inspectors should first consult Contractor Requirements for the
Control and Security of RCRA Confidential Business Information. Office of
Solid Waste, US EPA, March 1984.
OSWER Dir. No. 9938.2A 5-18 March 1988
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RCRA UPDATES
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Appendix I
Keeping Up With RCRA
Inspectors should keep up to date with changes in the RCRA standards (or
equivalent State standards, as appropriate). The complete Federal RCRA stan-
dards are published annually by the U.S. Government Printing Office (GPO) in
Title 40 of the Code of Federal Regulations (CFR). However, regulations
amending or adding to the CFR may be promulgated by EPA at any time during the
year; such amendments or additions are published by the GPO in the Federal
Register, which appears daily and can be obtained in EPA Regional libraries.
The annual edition of the CFR includes all revisions made to the CFR
which have been published in the Federal Register during the previous year.
The annual revision of Title 40 of the CFR, which contains the RCRA standards
(40 CFR Parts 260-272), is available from GPO in November, and usually
reflects changes to the regulations promulgated through July. Thus, the 1987
edition of Title 40 would appear in November, 1987, and reflect all amendments
or additions made to the RCRA regulations through July 1, 1987.
Keeping up with changes to the standards made during the year can be dif-
ficult. To help interested parties keep track of newly promulgated or pending
changes to the RCRA regulations (and other environmental standards), EPA
issues a semi-annual listing of recently completed and pending regulatory
actions. This listing, the "Semiannual Regulatory Agenda", is published in the
Federal Register, usually in April and October of each year. The agenda
lists regulatory actions at the pre-rule, proposed rule, final rule, and
completed action stage. Generally, actions at the final rule or completed
action stage will be of most interest to inspectors. Actions at the final
rule stage include regulations which EPA expects to promulgate as final rules
within the year; the agenda provides a planned date of promulgation and an EPA
Headquarters contact for the rule. Completed actions generally include
recently promulgated regulations; the agenda provides the date on which
recently promulgated standards were published in the Federal Register and
provides the Federal Register citation for the standards.
EPA Headquarters also maintains the RCRA-Superfund HOTLINE to answer
questions anyone may have concerning the RCRA standards. The Hotline can
provide inspectors with up-to-date information on recently promulgated
standards and send copies of regulations which have appeared in the Federal
OSWER Dir. No. 9938.2A 1-1 March 1988
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Register, as well as help to clarify the interpretation of RCRA regulations
and answer other questions concerning the RCRA program.
The Hotline number is:
o HOTLINE - 1-800-424-9346
The Hotline publishes a monthly report, titled the "RCRA-Superfund Industry
Assistance Hotline Report," which provides information on regulations and
guidance published during the preceding month and answers to particularly
pertinent questions asked by Hotline users. This report may be obtained by
request from:
U.S. Environmental Protection Agency
Office of Solid Waste
Office of Program Management and Support
WH-562
Washington, D.C. 20460
Finally, a number of newsletters published by various services provide
information on RCRA standards. These may be available in EPA Regional
libraries or, by subscription, from the publisher.
Receiving Revisions to this Document and "The RCRA Inspector News"
The Office of Waste Programs Enforcement intends to periodically update
this manual to reflect changes in RCRA standards and enforcement policy.
Additionally, OWPE publishes a newsletter, "The RCRA Inspector News," which
provides timely information on issues of special importance to the RCRA
inspector. Finally, OWPE may issue companion guidance documents on inspection
procedures for inspecting particular types of facilities or practices.
Persons wishing to receive updates to this manual, "The RCRA Inspector News,"
and companion guidance documents should complete the addressed postcard on the
following page and mail it to OWPE.
OSWER Dir. No. 9938.2A 1-2 March 1988
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RCRA Enforcement Division
Office of Waste Programs Enforcement
U.S. Environmental Protection Agency
Mail Code WH-527
401 M St., S.W.
Washington, D.C. 20460
RCRA Enforcement Division
Office of Waste Programs Enforcement
U.S. Environmental Protection Agency
Mail Code WH-527
401 M St., S.W.
Washington, D.C. 20460
RCRA Enforcement Division
Office of Waste Programs Enforcement
U.S. Environmental Protection Agency
Mail Code WH-527
401 M St., S.W.
Washington, D.C. 20460
-------
I am interested in receiving updates to "The RCRA
Inspection Manual," "The RCRA Inspector News," and
companion guidance documents prepared by the Office
of Waste Programs Enforcement. Please send these
items to me at the following address:
Name:
Title:
Address:
City:
State: Zip:
Work Phone:
To Whom It May Concern:
I am interested in receiving updates to "The RCRA
Inspection Manual," "The RCRA Inspector News," and
companion guidance documents prepared by the Office
of Waste Programs Enforcement. Please send these
items to me at the following address:
Name:
Title:
Address:
City:
State: ^ Zip:
Work Phone:^
To Whom It May Concern:
I am interested in receiving updates to "The RCRA
Inspection Manual," "The RCRA Inspector News," and
companion guidance documents prepared by the Office
of Waste Programs Enforcement. Please send these
items to me at the following address:
Name:
Title:
Address:
City:
State: - Zip:
Work Phone:
-------
GLOSSARY
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Appendix I
Glossary
Administrator
Administrative
Action
Administrative
Order
Administrative
Procedures Act
Aquifer
Biennial Report
Boiler
The Administrator of the United States Environmental
Protection Agency, or his designee.
A nonjudicial enforcement action taken by the Adminis-
trator (or his designee) or a State.
An order issued by the Administrator (or his designee)
to a violator of RCRA provisions that imposes enforceable
legal duties; e.g., forcing a facility to comply with
specific regulations. The four types of RCRA orders are
compliance orders, corrective action orders, monitoring
and analysis orders, and imminent hazard orders.
Administrative Procedures Act (APA) is a Federal statute
that provides standards for informing the public about the
actions of Federal agencies and assuring them that their
interests are properly protected.
Rock or sediment in a formation, group of formations, or
part of a formation that is saturated and sufficiently
permeable to transmit economic quantities of water to
wells and springs.
A report (EPA Form 8700-13A) submitted by generators of
hazardous waste to the Regional Administrator, which is
due March 1 of each even-numbered year. The report
includes information on the generator's activities during
the previous calendar year. The owner or operator of a
treatment, storage, and disposal facility must also pre-
pare and submit a biennial report on EPA Form 8700-1313.
An enclosed device using controlled flame combustion and
having the following characteristics:
1) The unit must be able to recover and export thermal
energy in the form of steam, heated fluids, or heated
gases; and 2) the unit's combustion chamber must be of
integral design (i.e., physically formed in one
manufactured or assembled unit); and 3) the unit must
maintain an energy recovery efficiency of at least 60
percent; and 4) the unit must export for use at least 75
percent of recovered energy, calculated on an annual
basis.
OSWER Dir. No. 9938.2A
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March 1988
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CERCIA
CFR
Characteristics
Civil Action
Closure
Acronym for the Comprehensive Environmental Response,
Compensation, and Liability Act, passed in 1980 and
commonly known as "Superfund." CERCIA gives the Federal
Government the power to respond to releases, or threatened
releases, of any hazardous substance into the environment
as well as to a release of a pollutant or contaminant
that may present an imminent and substantial danger to
public health or welfare. CERCIA established a Hazardous
Substance Trust Fund (Superfund), which is available to
finance responses taken by the Federal Government.
Abbreviation for the Code of Federal Regulations, a
document containing all finalized regulations.
The EPA has identified four characteristics of a hazard-
ous waste: ignitability, corrosivity, reactivity, and
toxicity. Any solid waste that exhibits one or more of
these characteristics is classified as a hazardous waste
under RCRA.
A law suit filed in court against a person who has either
failed to comply with statutory or regulatory require-
ments or an administrative order or has contributed to a
release of hazardous wastes or constituents. The four
types of civil actions are compliance, corrective, moni-
toring and analysis, and imminent hazard.
The act of securing a hazardous waste management facility
or unit pursuant to the requirements of 40 CFR Part-264.
Compatibility
- The ability of materials to exist together without ad-
verse environmental effects or health risks. Primarily
applied to waste fluid combinations and liner materials.
Compliance
Order/Action
Conditionally
Exempt Small
Quantity
Generator
Confidential
Business
Information
Container
- An order or action issued under Section 3008(a) of RCRA;
it requires any person who is not complying with a
requirement of RCRA to take steps to come into compliance.
- A generator that generates less than 100 kilograms of
hazardous waste in a calendar month, and is therefore not
subject to the handling procedures required under RCRA for
that month.
- Any information, in any form, received by EPA, an
authorized State, or an EPA contractor, from any person,
firm, partnership, corporation, or association; local,
State, or federal agency; or foreign government; that
contains trade secrets or commercial or financial
information that has been claimed as confidential by the
person submitting it, and that has not been determined to
be non-confidential under the procedures in 40 CFR Part 2.
- Any portable device in which material is stored, trans-
ported, treated, disposed of, or otherwise handled.
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Contaminant
Contingency Plan
Corrective
Action
Corrective
Action Order
Criminal Action
Any solute that enters the hydrologic cycle through human
action (limited definition for use in context of this
report).
A document setting out an organized and coordinated
course of action to be followed in case of a fire, ex-
plosion, or release of hazardous waste or hazardous waste
constituents from a treatment, storage, or disposal
facility that could threaten human health or the environ-
ment.
Actions, required by law, undertaken by a treatment,
storage, or disposal facility to alleviate potential or
existing threats to human health and the environment posed
by a release or threatened release of hazardous
substances, wastes, or constituents at a site.
An order EPA issues that requires corrective action under
RCRA Section 3008(h) at a facility where a release of
hazardous waste or constituents into the environment has
occurred. Corrective action may be required beyond the
facility boundary, and it can be required regardless of
when the waste was placed at the facility.
A prosecution action taken by the U.S. Government or a
State toward any person(s) who have knowingly and will-
fully failed to comply with the law. Such an action can
result in the imposition of fines or imprisonment.
The subsurface emplacement of fluids through a bored,
drilled, or driven well, or through a dug well whose depth
is greater than the largest surface dimension.
A hazardous waste treatment, storage, or disposal facil-
ity that has received an EPA or State permit (or has
interim status) and has been designated on the manifest
by the generator as the facility to which the generator's
waste should be delivered.
The accidental or intentional spilling, leaking, pumping,
pouring, emitting, or dumping of hazardous waste onto any
land or into any water.
The discharge, deposit, injection, dumping, spilling,
leaking, or placing of any solid waste or hazardous waste
into or onto any land or into any waters so that any
constituent thereof may enter the environment or may be
emitted into the air or discharged into any waters,
including ground waters.
Disposal Facility - A facility or part of a facility at which hazardous waste
is intentionally placed into or on any land or into water
and where the waste will remain after closure.
Deep-Well
Injection
Designated
Facility
Discharge or
Hazardous
Waste Discharge
Disposal
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March 1988
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DOT
Endangered and
Threatened
Species
EPA Identifica-
tion Number
EP Toxicity
Exception Report
Existing Facility
Facility
Fault
Federal Register
Final Status
Floodplain
Food-Chain Crops
Department of Transportation. DOT shares authority with
EPA concerning the transportation of hazardous materials,
including labeling, containment, and accident reporting
requirements.
Species whose populations are so reduced in number or
whose range is so limited in geographic extent that fur-
ther reduction in numbers or in size of available habitat
could inalterably reduce the breeding success of the
species and lead to subsequent extinction. These species
are listed in Section 4 of the Endangered Species Act.
The unique number assigned by EPA to each generator or
transporter of hazardous was.te and to each treatment,
storage, or disposal facility.
A t'est, called the extraction procedure, that is designed
to identify wastes likely to leach hazardous concentra-
tions of particular toxic constituents into the ground
water as a result of improper management.
A report that generators who transport waste offsite must
submit to the Regional Administrator if they fail to
receive a copy of the manifest, signed and dated by the
owner or operator of the designated facility to which
their waste was shipped, within 45 days of the date the
initial transporter accepted the waste.
A facility that was in operation or for which construc-
tion began on or before November 19, 1980.
All contiguous land, structures, other appurtenances, and
improvements on the land used for treating, storing, or
disposing of hazardous waste. A facility may consist of
several treatment, storage, or disposal operational
units; e.g., one or more landfills, surface impoundments,
or a combination of them.
A break in earth materials along which a measurable
amount of movement has taken place.
A document published daily by the Federal Government that
contains either proposed or final regulations.
A TSD facility that has interim status acquires final
status when final administrative disposition has been
made of its RCRA Part B permit application.
The flat areas adjacent to stream channels and covered by
water during periods of flooding.
Tobacco, crops grown for human consumption, and crops
grown to feed animals.
OSWER Dir. No. 9938.2A
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Freeboard
Generator
Ground Water
- The vertical distance between the top of a tank or sur-
face impoundment dike and the surface of the waste con-
tained therein.
- Any person who creates a hazardous waste or any person
who first makes the waste subject to the Subtitle C
regulation [e.g., imports a hazardous waste, initiates a
shipment of a hazardous waste from a treatment, storage,
or disposal facility (TSD), or mixes hazardous wastes of
different Department of Transportation (DOT) shipping
descriptions by placing them into a single container].
- Water below the land surface in a zone of saturation.
Ground-Water Flow - The direction of ground-water movement and of any contam-
inants it contains; governed primarily by the hydraulic
gradient.
Ground-Water
Quality
Ground-Water
Recharge
Guidance
Hammer Provision
Hazardous Waste
The ambient chemical, physical, and biological quality of
ground water; generally defined by State and local stan-
dards to determine suitability as a drinking-water sup-
ply. Uncontaminated ground water's suitability as a
drinking-water supply is generally based on its total
dissolved solids (TDS) content.
The addition of water to the ground-water system by
natural or artificial processes.
Documents issued primarily to elaborate and provide
direction on the implementation of regulations.
Statutory requirements that go into effect automatically
if EPA fails to issue regulations by certain dates speci-
fied in the statute.
As defined in RCRA, the term "hazardous waste" means a
solid waste or combination of solid wastes that, because
of its quantity, concentration, or physical, chemical, or
infectious characteristics, may
a) Cause or significantly contribute to an increase in
mortality or an increase in serious irreversible or
incapacitating reversible illness; or
b) Pose a substantial present or potential hazard to
human health or the environment when improperly
treated, stored, transported, or disposed of or
otherwise managed.
As defined in the regulations, a solid waste is hazardous
if it meets one of four conditions:
1) Exhibits a characteristic of a hazardous waste (40
CFR Sections 261.20 through 262.24).
OSWER Dir. No. 9938.2A
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Hazardous Waste
(continued)
2) Has been listed as hazardous (40 CFR Sections 261.31
through 261.33).
3) Is a mixture containing a listed hazardous waste and
a nonhazardous solid waste (unless the mixture is
specifically excluded or no longer exhibits any of
the characteristics of hazardous waste).
4) Is not excluded from regulation as a hazardous
waste.
HSWA
Imminent Hazard
Order
Incinerator
Industrial
Furnace
Inner Liner
Interim Status
- Abbreviation for the Hazardous and Solid Waste Amendments
of 1984 (Public Law 98-616), which significantly expanded
both the scope and the coverage of RCRA.
- Used by the responsible agency, under the authority of
RCRA Section 7003, to force any person contributing to an
imminent and substantial endangerment to human health or
the environment as a result of the handling of nonhazard-
ous or hazardous solid waste to take steps to clean up
the problem.
- Any enclosed device using controlled flame combustion that
neither meets the criteria for classification as a boiler
nor is listed as an industrial furnace.
- Any of the following enclosed devices that are integral
components of manufacturing processes and use controlled
flame devices to accomplish recovery of materials or
energy: 1) cement kilns; 2) lime kilns; 3) aggregate
kilns; 4) phosphate kilns; 5) coke ovens; 6) blast
furnaces; 7) smelting, melting, and refining furnaces; 8)
titanium dioxide chloride process oxidation reactors; 9)
methane reforming furnaces; 10) pulping liquor recovery
furnaces; 11) combustion devices used to recover sulfur
from spent sulfuric acid; 12) other devices as added to
this list by EPA.
- A continuous layer of material placed inside a tank or
container to protect the construction materials of the
tank or container from the contained waste or reagents
used to treat the wastes.
- A status classification that allows owners and operators
of TSD's that existed or were under construction prior to
November 19, 1980, to continue to operate without a per-
mit after this date. Owners and operators of TSD's are
eligible for interim status on an ongoing basis if the
TSD is in existence on the effective date of regulatory
changes under RCRA that cause the facility to be subject
to Subtitle C regulation. Owners and operators in inter-
im status are subject to and must comply with the
applicable standards in 40 CFR Part 265. Interim status
is gained through the notification process and by
submitting Part A of the permit application.
OSWER Dir. No. 9938.2A
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Landfill
Land Treatment
Leachate
Liability
Liner
Listed Wastes
Manifest
Metric Ton
Monitoring
Monitoring and
Analysis Order
- A disposal facility or part of a facility where hazardous
waste is placed in or on land and that is not classified
as a land treatment facility, a surface impoundment, or
an injection well.
- A facility or part of a facility at which hazardous waste
is applied onto or incorporated into the soil surface.
Such facilities are disposal facilities if the waste
remains after closure.
- Any liquid, including its suspended components, that has
percolated through or drained from hazardous waste.
- The state of being legally responsible for property
damage or bodily injury caused during the operation,
closure, or post-closure phases of a hazardous waste
management facility.
- A continuous layer of natural or human-made materials be-
neath or on the sides of a surface impoundment, landfill,
or landfill cell that restricts the downward or lateral
escape of hazardous waste, hazardous waste constituents,
or leachate.
- Hazardous wastes that have been placed on one of three
lists developed by EPA: nonspecific source wastes,
specific source wastes, or commercial chemical products.
These lists were developed by examining different types
of waste and chemical products to see if they exhibited
one of the four characteristics in the statutory defini-
tion of hazardous waste, were acutely toxic or hazardous,
or were otherwise toxic.
- The shipping document, EPA Form 8700-22, used to identify
the quantity, composition*, origin, routing, and destina-
tion of hazardous waste during its transportation from
the point of generation to the point of treatment, stor-
age, or disposal.
- 2200 pounds.
- Methods used to inspect and collect data on a facility's
operational parameters or on contiguous air, ground-
water, surface-water, or soil quality.
- Used to evaluate the nature and extent of a substantial
hazard to human health or the environment that exists at
a TSD. It can be issued either to the current owner or
to a previous owner or operator if the facility is not
currently in operation or if the present owner could not
be expected to have knowledge of the release potential.
OSWER Dir. No. 9938.2A
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MSDS
New Facility
Offsite
One-Hundred-Year
Flood Plain
- Material Safety Data Sheets. Standard information sheets
that are provided by chemical manufacturers with their
chemicals, identifying any hazards associated with the
product and outlining ways to respond to accidental
spills.
- A TSD that began operation or whose construction com-
menced after November 19, 1980.
- The opposite of onsite (see "Onsite").
- Areas adjacent to streams where the probability of flood-
ing in any given year is one in a hundred.
Onsite or On Site - An onsite location is on the same or geographically
contiguous property, which may be divided by public or
private right(s)-of-way, provided the entrance and exit
between the properties is at a cross-roads intersection,
and access is by crossing as opposed to going along the
right(s)-of-way. Noncontiguous properties owned by the
same person but connected by a right-of-way controlled by
that person and to which the public does not have access
is also considered onsite property.
Operator
Owner
Part A
Part B
Partial Closure
Post-Closure
Requirements
- The person responsible for the overall operation of a
facility.
- The person who owns a facility or part of a facility.
- The first part of the two-part application, which must be
submitted by a TSD facility to receive a permit. It
contains general facility information that is presented
in a standard form.
- The second part of the permit application, which includes
detailed and highly technical information concerning the
TSD in question. No standard form exists for the Part B;
the facility must submit information based on the regula-
tory requirements.
- The closure of a discrete part of a facility in accord-
ance with the applicable closure requirements of 40 CFR
Parts 264 and 265. For example, partial closure may
include the closure of a trench, a unit operation, a
landfill cell, or a pit while other parts of the same
facility continue to operate or are placed in operation
at some future time. A proposed redefinition was pub-
lished in the March 19, 1985, Federal Register (40 CFR
11068).
- Monitoring and maintenance requirements for closed HWM
units throughout the post-closure care period; these are
specified as part of facility-specific permit conditions.
OSWER Dir. No. 9938.2A
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Permit
Permit-by-Rule
Permit
Requirements
Person
Point Source
Policy
An authorization, license, or equivalent control document
issued by EPA or an authorized State to implement the
regulatory requirements of Subtitle C Parts 264 and 265,
for TSD's. Permit does not include RCRA interim status
or refer to any permit that has not yet been the subject
of final agency action, such as a draft permit or a
proposed permit.
A provision of Subtitle C whereby a facility is deemed to
have a RCRA permit if it is permitted under the Safe
Drinking Water Act; the Clean Water Act; or the Marine
Protection, Research, and Sanctuaries Act and also meets
a few additional Subtitle C requirements specified in 40
CFR Section 270.60.
Requirements in the RCRA permit, including ambient, per-
formance, design, and/or operating standards contained in
the regulations that the owner or operator must meet in
perpetuity in constructing, operating, closing, and
caring for the facility.
An individual, trust, firm, joint stock company, corpora-
tion (including a government corporation), partnership,
association, State, municipality, commission, political
subdivision of a State, or any interstate body.
Any discernible, confined, and discrete conveyance,
including, but not limited to, any pipe, ditch, channel,
tunnel, conduit, well, discrete fissure, container, roll-
ing stock, concentrated animal feeding operation, vessel,
or other floating craft from which pollutants are or may
be discharged. This term does not include return flows
from irrigated agriculture.
A document that specifies operating policies that must be
followed. They are used by program offices to outline
the manner in which pieces of the RCRA program are to be
carried out.
RCRA
RCRIS
Self
Implementing
Regulations
- Abbreviation for the Resource Conservation and Recovery
Act of 1976. What we commonly refer to as RCRA is an
amendment of the first piece of legislation related to
Federal solid waste, called the Solid Waste Disposal Act
of 1965. RCRA was amended by HSWA in 1980 and most
recently on November 8, 1984.
- Abbreviation for the Resource Conservation and Recovery
Act Information System, a database on RCRA facilities
currently under development. This system will replace the
Hazardous Waste Data Management System (HWDMS) currently
in use.
- Regulations mandated by Congress which are similar in
nature to a "hammer" in that they take effect
automatically on a certain date unless EPA has developed
its own regulations to supercede them.
OSWER Dir. No. 9938.2A
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Regional
Administrator
Regulation
Regulatory
Compliance
Representative
Sample
Resource
Recovery
Soil Porosity
Solid Waste
Solid Waste
Disposal Act
of 1965
State
State Hazardous
Waste Plan
- The highest ranking official in each of the 10 EPA
Regions.
- The legal mechanism that spells out how a statute's broad
policy directives are to be carried out. Regulations are
published in the Federal Register and then codified in
the Code of Federal Regulations.
- Meeting the requirements of Federal or State regulations
regarding facility design, construction, operation,
performance, closure, and post-closure care.
- A sample of a universe or whole (e.g., waste pile,
lagoon, ground water, or waste stream) that can be ex-
pected to exhibit the average properties of the universe
or'whole.
- The recovery of material or energy from solid waste.
- The ratio of the volume of the pores between soil
particles to the volume of the soil itself. Soil porosity
is a function of the particles' grade, size, and form or
type (shape). Determines the soil's physical condition at
different moisture levels and its ability to retard or
accelerate water and contaminant movement.
- As defined in RCRA, solid waste refers to any garbage;
refuse; sludge from a waste treatment plant, water supply
treatment plant, or air pollution control facility; and
other discarded material, including solid, liquid, semi-
solid, or contained gaseous material resulting from
industrial, commercial, mining, and agricultural opera-
tions, and from community activities. It does not in-
clude solid or dissolved material in domestic sewage;
solid or dissolved materials in irrigation return flows;
industrial discharges that are point sources subject to
permits under the Clean Water Act; or special nuclear or
byproduct material as defined by the Atomic Energy Act of
1954.
- See "RCRA"
Any of the 50 States, the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, Guam,
American Samoa, and the Commonwealth of the Northern
Mariana Islands.
A scheme generated at the State level to deal with the
management of hazardous waste generated, treated, stored,
or disposed of within the State or transported outside
the State.
OSWER Dir. No. 9938.2A
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Statute
Storage
Superfund
Surface
Impoundment
SW-846
Tank
The Act
- The law, as passed by Congress and signed by the Presi-
dent.
- The holding of hazardous waste for a temporary period, at
the end of which the hazardous waste is treated, disposed
of, or stored elsewhere.
- See "CERCLA".
- A facility or part of a facility that is a natural topo-
graphic depression, human-made excavation, or diked area
formed primarily of earthen materials (although it may be
lined with human-made materials), that is designed to hold
an accumulation of liquid wastes or wastes containing
free liquids, and that is not an injection well. Exam-
ples of surface impoundments are holding, storage, set-
tling, and aeration pits, ponds, and lagoons.
- Reference number for "Test Methods for the Evaluation of
Solid Waste, Physical/Chemical Methods," a methods manual
for the sampling and analysis of wastes.
- A stationary device designed to contain an accumulation
of hazardous waste; constructed primarily of non-earthen
materials (e.g., wood, concrete, steel, plastic), which
provide structural support.
- A shortened reference to the Resource Conservation and
Recovery Act.
Thermal Treatment - The treatment of hazardous waste in a device that uses
elevated temperatures as the primary means of changing
the chemical, physical, or biological character or com-
position of the hazardous waste. Incineration is an
example of thermal treatment.
Topographic Map
Totally Enclosed
Treatment
Facility
A map indicating surface elevations of an area through
the use of contour lines. It also shows population
centers and other cultural and land-use features, surface
water drainage patterns, and forests. These maps enable
quick identification of areas of slopes that are more
suitable for sanitary landfills.
A facility for the treatment of hazardous waste that is
directly connected to an industrial production process
and that is constructed and operated in a manner that
prevents the release of any hazardous waste or any con-
stituent thereof into the environment during treatment.
An example is a pipe in which waste acid is neutralized.
Transfer Facility - Any transportation-related facility, including loading
docks, parking areas, storage areas, and other similar
areas, where shipments of hazardous waste are held during
the normal course of transportation.
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Transporter
Treatment
TSD Facility or
TSDF
UN/NA Number
Waste Management
Practices
Waste
Minimization
Water Table
Wetlands
- Any person engaged in the offsite transportation of
hazardous waste within the United States by air, rail,
highway, or water, if such transportation requires a
manifest under 40 CFR Part 262.
- Any method, technique, or process, including neutraliza-
tion, designed to change the physical, chemical, or bio-
logical character or composition of any hazardous waste
so as to neutralize it; to render it nonhazardous or less
hazardous; to recover it; to make it safer to transport,
store, or dispose of; or to make it amenable to recovery,
storage, or volume reduction.
- Abbreviation for treatment, storage, or disposal facility.
Hazardous material identification number assigned to
chemicals, wastes, and other hazardous materials by DOT.
Under DOT regulations, UN/NA numbers for all hazardous
materials in a shipment must be listed on the shipping
papers accompanying the shipments. For hazardous wastes,
UN/NA numbers must be recorded on the Uniform Hazardous
Waste Manifest accompanying all hazardous waste shipments
under item 11 of the manifest, as part of the DOT
description of the waste.
UN/NA numbers are listed by chemical or waste name in 49
CFR 172.101 and 102. Numbers bearing the prefix "UN" are
associated with descriptions appropriate for international
shipments as well as domestic shipments. Numbers bearing
the prefix NA are associated with descriptions that are
not recognized for international shipments, except to and
from Canada.
Refers to aspects of a facility's design, operation, and
closure that ensure protection of human health and the
environment while treating, storing, or disposing of
hazardous wastes.
Refers to the reduction in the volume or quantity of
hazardous waste by the waste generator, to the extent
economically practicable.
1) The upper limit of the part of the soil or underlying
rock material that is wholly saturated with water; 2) the
upper surface of the zone of saturation in ground waters
in which the hydrostatic pressure is equal to atmospheric
pressure.
Bogs, swamps, marshes, tidal flats, or other areas inun-
dated by ground or surface water with a frequency suffi-
cient to support a prevalence of vegetative or aquatic
life that requires saturated or seasonally saturated soil
conditions for growth and reproduction.
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REGULATORY SYNOPSIS
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Appendix III
Regulatory
Requirement Synopsis and
Inspection Procedures
SECTION
PAGE
Introduction
TABLE III-l Part 262
TABLE III-2 Part 263
TABLE III-3 Part 265
TABLE III-4 Part 264
TABLE III-5 Part 266
TABLE III-6 Part 268
Generators
Transporters
Interim Status Facilities
Permitted Facilities
Specific Hazardous Wastes
Land Disposal Restrictions
III-2
III-3
111-28
111-40
III-118
III-156
III-170
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Introduction to the Regulatory Requirement Synopsis
and Inspection Procedures Sections.
This Table is organized into two sections that are to be used hand-in-
hand. The RCRA regulations (40 CFR Parts 262, 263, 264, 265, 266 and 268)
have been summarized in the Regulatory Requirement Synopsis which is presented
on the left hand pages of the Table. Inspection procedures useful for
verifying compliance with the regulations are presented on the right hand
page.
The Regulatory Requirement Synopsis is designed as a quick reference.
Therefore, the summaries state the key points of each regulation for the
inspector. These key points are not a substitute for reading the entire
regulation.
The Inspection Procedures are presented in a bulleted format in order to
identify important concerns and areas that might otherwise be overlooked.
When an in-depth description of the inspection procedures is necessary, a few
detailed paragraphs are provided to clarify these circumstances.
Once again, when inspecting permitted facilities, the permit conditions
drive any inspection. The inspection of permitted facilities is covered in
depth in Chapter 3.
There is also additional space on the inspection procedure pages to write
in your own or additional inspection procedures.
OSWER Dir. No. 9938.2A III-2 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis
Regulatory Requirement Synopsis - Identification of Hazardous Waste
§261.2 Definition of Solid Waste (August 20, 1985)
(a)(l) A solid waste is any discarded material that is not excluded.
(2) Discarded is abandoned (disposed of, burned, stored or treated
prior to disposal), recycled or inherently waste-like.
(c)(l) Recycled materials are solid wastes if they are used in a manner
constituting disposal such as applied on land or used in products
applied on the land if that is not their ordinary manner of use.
(c)(2) Recycled materials are solid waste if they are burned to recover
energy or used to produce a fuel.
(c)(3) The following materials are solid wastes when reclaimed: spent
materials, listed sludges and by-products and scrap metal.
(c)(4) Recycled materials are solid wastes if they are accumulated
speculatively except for listed commercial chemical products.
(e)(l) Recycled materials are not solid waste when they are used as
ingredients in an industrial process
(f) Claims that materials are not solid waste or are conditionally exempt
must be documented.
§261.3 Definition of Hazardous Waste (November 29, 1985)
(a)(l&2) A solid waste is a hazardous waste if it is not excluded and
it meets any of the following criteria:
(i) exhibits characteristics of hazardous waste
(ii) is listed in Subpart D
(iii) is a mixture of a solid waste and a hazardous waste unless the
mixture no longer exhibits the characteristic of the hazardous waste
or is wastewater discharged under the Clean Water Act.
(c)(2) Any solid waste generated from the treatment or disposal of a
hazardous waste is a hazardous waste.
OSWER Dir. No. 9938.2A III-3 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Identification of Hazardous Waste
§261.4 Exclusions (July 14, 1986)
(a)(l) Domestic Sewage
(2) Actual discharge of industrial wastewater under the Clean Water Act.
(3) Irrigation return flows
(4) Special nuclear or byproduct material
(5) Materials subject to in-situ mining techniques
(6) Pulping liquors that are reclaimed in a pulping furnace
(7) Spent sulfuric acid used to produce virgin sulfuric acid
(8) Secondary materials that are reclaimed and returned to the original
process
(b)(l) Household waste
(2) Agricultural waste
(3) Mining overburden
(4) Ash from combustion of coal
(5) Drilling fluids and other wastes associated with the production of
oil and gas
(6) Wastes failing the EP toxicity test for chromium if the chromium is
in the trivalent state
(7) Solid waste from the extraction, beneficiation and processing of ores
and minerals
(8) Cement kiln dust
(9) Arsenical-treated wood or wood products used as intended
OSWER Dir. No. 9938.2A III-4 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 261.2 through 261.4
Prior to an inspection, be familiar with the processes occurring at the
facility. The determination of what material is a hazardous waste subject to
regulation under Subtitle C of RCRA is the meat of any inspection. The
generator must determine if a material is a hazardous waste, however, the
inspector must substantiate the determination. Therefore it is essential that
the inspector knows the definitions and exceptions for hazardous waste.
Information on waste generation at specific industries should be consulted
when needed.
During the inspection, the inspector should ask about the wastes that are
typically generated during processes found onsite. The inspector should
confirm that listed wastes are managed as hazardous waste and verify that
generators have tested wastes that are suspected of exhibiting hazardous
characteristics. The inspector should be aware of determinations such as
'recycled materials' and 'not hazardous' unless documentation is provided.
OSWER Dir. No. 9938.2A III-5 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-6 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Manifest Review
§262.11 Hazardous Waste Determination (November 19, 1980)
The generator must determine that a waste is hazardous by, checking the
following:
(a) Is the waste excluded?
(b) Is the waste listed as hazardous in Subpart D?
(c) Does the waste meet the characteristics of hazardous waste as
determined by testing or by knowledge of the materials and processes
used.
§262.12 EPA Identification Numbers (May 19, 1980)
(a) A generator without an EPA identification number must not treat,
store, dispose of, or offer for transportation hazardous waste.
(c) A generator must not offer his hazardous waste to transporters or to
treatment, storage, or disposal facilities that have not received an
EPA identification number.
§262.20 General Requirements (March 24, 1986)
(a) A manifest must be prepared before a generator transports or offers
for transportation, hazardous waste for offsite treatment, storage,
or disposal.
(b) A generator must designate on the manifest one facility that is
permitted to handle the waste described on the manifest.
(c) A generator may designate one alternate facility in the event that
an emergency prevents delivery to the primary designated facility.
(e) An exception applies to generators of greater than 100 kg but less
than 1000 kg in a month where:
(1) The waste is reclaimed under contractual agreement and
(i) The type of waste and frequency of shipments are specified;
(ii) The vehicle used to transport the waste and deliver the regenerated
material back to the generator is owned by the reclaimer;
(2) The generator maintains a copy of the agreement for at least three
years.
OSWER Dir. No. 9938.2A III-7 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Manifest Review (continued)
§262.21 Acquisition of Manifests (March 20, 1984)
(a) If the consignment State supplies manifest forms and requires its
use, the generator must use that manifest.
(b) If the consignment State does not supply the manifest, but the
generator State does, the generator must use that State's manifest.
§262.22 Number of Copies (May 19, 1980)
The manifest consists of sufficient copies to provide the generator, each
transporter, and the designated facility with one copy plus one additional
copy to be returned to the generator.
§262.23 Use of the Manifest (December 31, 1980)
(a) The generator must: (1) Sign the manifest; and
(2) Obtain signature and date of acceptance from initial transporter;and
(3) Retain one copy for three years or until the designated facility
returns the signed copy which will be retained for three years.
(b) The generator must give the transporter the remaining copies, or
(c) For bulk shipments within the US solely by water, the generator must
send three signed and dated copies of the manifest to the designated
facility or to the last water transporter if exported by water.
(d) For rail shipments within the US, the generator must send three
signed and dated copies to:
(i) the next non-rail transporter, or
(ii) the designated facility if transported solely by rail, or
(iii) the last rail transporter to handle waste if exported.
§262.40 Record Keeping (January 28, 1983)
A generator must keep a signed manifest until the signed copy is returned
from the designated facility. All return-receipt copies, Biennial Reports,
Exception Reports, and records with test results and waste analyses must be
kept for three years. This time period is automatically extended during the
course of any unresolved enforcement action.
OSWER Dir. No. 9938.2A III-8 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 262.12 through 262.23 and 262.40
o Has each original in the generator's file of manifests been signed and
dated by the generator and the first transporter? Is the EPA
identification number clearly marked for the generator, the transporter
and the designated facility?
o Have all appropriate spaces been filled out correctly, and all changes
and cross-outs on the manifest been properly initialed?
o Have the generator's manifest files been carefully reviewed to be sure
that all shipments have been disposed of at a designated facility? After
35 days from when the waste was accepted by the initial transporter (See
Section 262.42), the designated facility should return the copy of the
manifest with the signature of the designated facility's owner/operator.
The generator must keep this copy on file for three years and may discard
the original. The return receipts for waste shipments must be kept on
file for three years.
The receipt of the waste by the designated facility should be verified by
observing the date on the originals. If 35 days have expired, the generator
should have the return receipt from the designated facility. If not, the
generator must have started exception reporting procedures.
The inspector should be aware that all State manifests do not look alike
and that some State waste codes are different from EPA waste codes. If waste
is transported periodically, e.g. during the first week of each month, check
to see if originals or return receipts are on file for each anticipated
shipment date. Obtain explanations for unusual gaps in the frequency of
offsite shipment. Are subsequent shipments larger? Has the 90 day storage
limit (see §262.34) been exceeded for facilities without storage permits?
Although the generator must determine if a waste is hazardous, the
inspector should use his knowledge of the processes conducted at a facility in
order to verify that the determination of hazardous wastes is appropriate and
that any hazardous waste shipped offsite is manifested. The inspector may
need to sample the waste or to review all the appropriate information back in
the office in order to properly evaluate the generator's determination. The
generator, however, does not have to have an analysis of the waste to make his
determination.
OSWER Dir. No. 9938.2A III-9 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Correlation with Applicable DOT Regulations
§262.30 Packaging (May 19, 1980)
Hazardous waste containers must meet DOT standards specified in 49 CFR 173
(General requirements for shipments and packaging), 178 (Shipping container
specifications) and 179 (Specifications for tank cars).
§262.31 Labeling, §262.32 Marking (May 19, 1980)
Before any off-site transportation, containers of hazardous waste must be
marked and labeled according to 49 CFR 172 (see Hazardous Waste Tables). The
following words must be printed on each container of less than 110 gallons, in
durable lettering or on a label or tag:
HAZARDOUS WASTE-Federal Law Prohibits Improper Disposal. If found contact
the nearest police or public safety authority or the U.S. EPA.
Generator's name and address
Manifest Document Number
§262.33 Placarding (May 19, 1980)
Placards must be provided in accordance with DOT regulations for hazardous
materials under 49 CFR 172, Subpart F - Placarding.
OSWER Dir. No. 9938.2A III-10 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 262.30 through 262.33
o Are any containers damaged, corroded or leaking?
o Does each container have an appropriate DOT label, the manifest number
and the generator's name and address?
o Is an appropriate placard placed on each motor vehicle, freight
container or rail car? (Note that there are exceptions to this
requirement for certain classes such as ORM-A,B,C,D or E material).
DOT regulations, Sections 178 and 179, concern shipping containers and
tank car specifications for the design of the container or the tank car and
are beyond the scope of most RCRA inspections. The DOT requirements, sections
172 and 173 for shipping and packaging, organizes materials according to their
hazard classification and specifically describes the packaging requirements
for each chemical or classification of chemicals. Since hazardous wastes can
be gases as well as liquids or solids, and can be shipped in bulk as well as
in small quantities by container, familiarity with the generated waste
characteristics and the DOT hazard classification of the waste prior to the
inspection will be helpful to the inspector. A review of the specific DOT
container requirements should be part of the inspection file review if there
is concern that the generator may not be meeting DOT requirements.
DOT's Hazardous Waste Tables identify the labeling requirements for
hazardous substances. The label category, ORM-E, applies to most hazardous
waste mixtures that do not meet the definition of a hazardous substance for
labeling purposes. DOT requirements change frequently, and the inspector
should try to obtain the current requirements from Regional DOT experts.
State regulations are often more stringent and the inspector should be aware
of those circumstances.
Ideally the inspector should verify that each container transported is
labeled and marked properly. However, the inspector usually will not be
present when a shipment is ready. Compliance with these requirements can be
ascertained by questioning the facility representative. In cases where
placards are required, the generator can be requested to produce them. The
presence of printed hazardous waste labels usually means that the generator
places them on the containers prior to shipment off-site.
OSWER Dir. No. 9938.2A III-ll March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Accumulation Time, Basic Requirements
§262.34 Accumulation Time (September 22, 1986)
(a) A generator may accumulate hazardous waste on site without a permit
for 90 days or less, provided that:
(1) The waste is placed in containers that meet DOT standards and the
generator complies with Subpart I, for containers, or Subpart J, for
tanks, of Part 265. (Except for 265.197(c) and 265.200. Such a
generator is exempt from al the requirements in Subparts G and H of
265, except for 265.11 and 265.114).
(2) The date upon which accumulation begins is marked upon each
container,
(3) Each container and tank is labeled "hazardous waste"
(4) The operator complies with Preparedness and Prevention and
Contingency Plan and Emergency Procedures (see §265, Subparts C and
D), and with 265.16 (Personnel Training)
(b) A generator who accumulates hazardous waste for more than 90 days is
an operator of a storage facility and must obtain interim status and
apply for a permit unless he has been granted an extension by the
Regional Administrator.
(c)(l) A generator may accumulate up to 55 gallons of hazardous waste and
one quart of acutely hazardous waste at a place near the point of
generation and is not required to obtain a permit or interim status
if he:
(i) Complies with §265.171 (condition of containers), §265.172
(compatibility), and §265.173 (management of containers).
(ii) Marks the containers with the words "hazardous waste"
(2) If he exceeds this amount, the generator has 3 days to comply with
paragraph (a) above.
OSWER Dir. No. 9938.2A 111-12 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 262.34 (a)(b)(c)
o Is each container and tank marked as "hazardous waste"?
o Do containers have the starting date for the accumulation period
marked on the container? The date should not be more than 90 days from
the date of the inspection unless the generator meets the conditions of
§262.34(c) or has an extension.
o Since tanks are not required to have the starting date marked on them
because they are reused, the generator must show through records and
manifests that the tank has been emptied within 90 days. This should be
verified for several previous waste shipments.
o Facilities generating less than 100 kg/month are conditionally exempt
small quantity generators (SQGs).
o Have satellite accumulation centers (Section c) been inspected to insure
that they have not exceeded a combined volume of 55 gallons of all
hazardous waste or one quart of acutely hazardous waste?
o Are there any satellite accumulation areas not identified by the
generator which are visible during the walkthrough inspection?
o Are satellite accumulation centers near the point of generation and at
the control of an operator close by?
Additional requirements to comply with applicable parts of §265 and the
inspection procedures will be covered in Table III-4. Please refer to these
sections when necessary.
OSWER Dir. No. 9938.2A 111-13 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Accumulation Time, Small Quantity Generators
§262.3A Accumulation Time (September 22, 1986)
(d) A small quantity generator (SQG) who accumulates greater than 100 kg
but less than 1000 kg of waste in a calendar month may accumulate
waste on site for 180 days without a permit or interim status
provided that:
(1) Waste quantity never exceeds 6000 kilograms on site.
(2)(3) The generator complies with paragraphs (a)(1),(a)(2),(a)(3) of this
section. (Except for §265.176).
(4) The generator complies with the following:
(i) There is at least one employee on the premises or on call as
emergency coordinator;
(ii) The following information is posted next to the telephone:
(A) Name and telephone number of emergency coordinator,
(B) Location of fire extinguishers, spill control material and fire
alarm, and
(C) Telephone number of fire department unless facility has direct
alarm.
(iii) Generator must ensure that all employees are familiar with waste
handling and emergency procedures; and
(iv) Emergency coordinator must respond appropriately in the event of
a fire, spill or release to the environment. Any releases to
surface water must be reported to the National Response Center.
(e) A small quantity generator (SQG) may accumulate waste on site for
270 days without a permit or interim status if the waste must be
transported over 200 miles for off site storage, disposal or
treatment.
(f) A small quantity generator (SQG) who accumulates waste on site over
the allowable number of days or over 6000 kg must obtain interim
status and apply for a permit or apply for an extension from the
Regional Administrator.
OSWER Dir. No. 9938.2A III-14 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 262.34
o Have you confirmed that generators who claim to be SQGs are not
generating more than the limit for SQGs? This may be done by looking at
the manifests for quantities and doing a mass balance to convert to
probable weight (see below).
o Has the generator exceeded the 180 day time period without shipping the
waste over 200 miles? The manifests should provide the location of the
designated facility.
o Do not confuse SQG regulations with the regular generator regulations!
The inspector should calculate the maximum quantity of hazardous waste in
containers based upon storage volumes of tanks. Based upon the waste
characteristics, the density of the waste (Water weighs 8.341bs or 3.79 kg
/gal.) and the volume available for waste storage, calculate the total
quantity of waste observed. This quantity must not exceed 6000 kg unless the
facility has interim status, a permit, or an emergency extension. In the case
of tanks, where the maximum volume will exceed the 6000 kg limit but the
actual waste quantity is less, note this circumstance. Even though it is not
a current violation, it is a good idea to mention the potential to the
generator.
When inspecting generators that produce small quantity wastes, verify that
the SQG meets the requirements for posting the appropriate phone numbers and
providing employee training. During the visual inspection, check for evidence
of spills or other releases or the potential for releases.
OSWER Dir. No. 9938.2A III-15 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Recordkeeping and Reporting
§262.41 Biennial Report (July 15, 1985)
A generator, except SQG, who ships any hazardous waste off site must
submit a Biennial Report to the Regional Administrator by March 1 of even-
numbered years. Biennial Reports (EPA form 8700-13A) must cover generator
activities during the previous year and must include:
(1) EPA ID number, name, and address of the generator.
(2) The calender year covered by the report.
(3) The EPA ID number, name, and address for each off site facility to
which waste was shipped.
(4) The EPA ID number, name and address for each transporter used.
(5) A description, EPA hazardous waste number, DOT hazard class, and
quantity of each hazardous waste shipped offsite to a facility in
the U.S. Information must be listed by EPA ID number of each
facility to which waste was shipped.
(6) A description of the efforts undertaken during the year to reduce
volume and toxicity of waste generated.
(7) A description of the changes in volume and toxicity of waste
actually achieved during the year compared to previous years.
(8) The certification signed by the generator or authorized
representative.
(b) A generator who manages waste on site must submit a Biennial Report
covering those wastes in accordance with §§270, 264, 256 and 266.
Reporting for exports is not required.
OSWER Dir. No. 9938.2A 111-16 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 262.41
o Is the generator's Biennial Report available? Although the generator is
not required to have it on site, if it is available, review the contents
for completeness. If the reports are not available on site, the
inspector can review them in the State or Regional office.
o In most cases, State annual reports are accepted in lieu of the U.S. EPA
biennial reports.
o Review waste minimization practices and compare recycling practices with
the nature of the waste to verify that these practices are consistent for
the wastes generated.
OSWER Dir. No. 9938.2A III-17 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Exception and Additional Reporting
§262.42 Exception Reporting (May 19, 1980)
(a) A generator who does not receive the return copy of the manifest
with the handwritten signature of the owner/operator of the
"designated facility within 35 days of the date the waste was
initially accepted by the first transporter, must determine the
status of the waste.
(b) A generator must submit an Exception Report to the Regional
Administrator if he has not received the signed return-copy of the
manifest within 45 days. Exception Reports must include:
(1) A legible copy of the original manifest.
(2) A letter signed by the generator explaining the efforts taken to
locate the hazardous waste and the results of those efforts.
§262.43 Additional Reporting (May 19, 1980)
The Administrator may require generators to furnish additional reports
concerning the quantities and disposition of hazardous wastes.
§262.44 Generators of 100-1000 kg/Month
Such generators are exempted from this subpart, except for recordkeeping
and exception reporting requirements.
§262.51 Farmers (April 1, 1983)
A farmer disposing of waste pesticides from his own use is not required
to comply with the standards in this Part provided he triple rinses each
emptied pesticide container and disposes of the residues on his own farm in a
manner consistent with the instructions on the label.
OSWER Dir. No. 9938.2A 111-18 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 262.42 through 262.43
o Many States require that a signed manifest be returned to the generator
prior to 35 days after shipment.
o Are any additional reports required by the Regional Administrator?
Verify these reports if applicable.
During the review of the generator's manifest file, if the inspector
finds records of waste shipments (original manifests) that do not have a
signed return copy of the manifest on file within 35 days of the date of the
off site shipment, he should find documentation that the generator has made
efforts to locate the waste and has filed the Exception Report within 45 days
of shipment. Even small quantity generators must file Exception Reports in a
timely manner for waste shipments initiated after March 23, 1988.
OSWER Dir. No. 9938.2A III-19 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Exporter of Hazardous Waste -Requirements
§262.52 General Requirements (August 8, 1986)
In order to export hazardous waste, the exporter must:
(a) Provide notification to EPA
(b) The receiving country must consent to receive hazardous waste
(c) Attach a copy of the EPA Acknowledgement of Consent to the manifest
(d) Conform to the conditions of the country's written consent
§262.53 Notification of Intent to Export (August 8, 1986)
A primary exporter of hazardous waste must notify EPA of the intent to
export this waste at least 60 days before the initial shipment. The
notification may cover a period of 12 months or less. The notification must
include:
(1) Name, mailing address, telephone number, and EPA ID of exporter;
(2i) A description of the hazardous waste and EPA ID number, DOT shipping
name, hazard class, and UN/NA number;
(2ii) Frequency of export and time period;
(2iii) Estimated quantity;
(2iv) All points of entry and departure from each country through which
the waste must pass;
(2v) Description of the mode of transportation and type of container;
(2vi) Description of the manner of waste management in the receiving
country;
(2vii) Name and site address of consignee; and
(2viii) Name of transit country and length of time remaining there.
OSWER Dir. No. 9938.2A III-20 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Parts 262.52 and 262.53
The central objective of an inspection is to identify all potentially
hazardous waste material that is being exported instead of focusing on exports
of hazardous wastes that are already identified. The inspector should ask if
any recycled material is being exported and whether any evaluation has been
made to determine if the material is hazardous per Part 261.
The inspector should verify that the exporter has filed the Notification
of Intent to Export within the required 60 day period before the initial
shipment and that the notification is complete. A notification is necessary
for any exported wastes that are hazardous.
The inspector should remember that:
o Bilateral international agreements have been signed with Canada and
Mexico that impose slightly different requirements that are analogous to
a permit or license system.
o The hazardous waste export program is a US EPA program that will not be
delegated to the States.
o All exports of materials (including hazardous waste) with a value
exceeding $1500 are required to prepare a Shipper's Export Declaration
(SED) indicating the number and type of containers, the type of material
(as indicated by classification codes established by the Census Bureau),
the units and weight of the shipments, and the value. Most exports of
hazardous waste for disposal would not require an SED. Conversely,
exports of listed hazardous waste to be recycled would frequently exceed
$1500 in value and would require a SED. The SED may be an important
ancillary source or information on cases involving suspected sham
recycling. Failure to file an SED or falsifying information on an SED
are enforceable violations under Census Bureau regulations. The
inspector should verify that the primary exporter has filed an SED for
recycled materials. If no SED has been filed, further investigation into
recycling activities should be conducted.
OSWER Dir. No. 9938.2A 111-21 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Exporter of Hazardous Waste -Requirements
§262.54 Special Manifest Requirements (August 8, 1986)
(a,b) The primary exporter must enter the name and site address of the
consignee and alternate in place of the designated facility and
alternate
(c) Primary exporter must identify the point of departure from the U.S.
(d) The following must be added to Item 16 of the Manifest: "and
conforms to the terms of the attached EPA Acknowledgment of
Consent."
(f) The primary exporter must require the consignee to confirm in
writing the delivery of the hazardous waste to that facility and to
describe any significant discrepancies between the manifest and the
shipment.
(g) If a shipment cannot be delivered to the designated or alternate
consignee, the primary exporter must:
(1) Renotify EPA to allow shipment to a new consignee and obtain an EPA
Acknowledgment of Consent prior to delivery; or
(2,3) Instruct the transporter to return the waste to the primary exporter
or designate another facility within the United States; and revise
the manifest in accordance with the primary exporter's instructions.
(h) The primary exporter must attach a copy of the EPA Acknowledgment of
Consent to the manifest that must accompany the hazardous waste
shipment.
(i) The primary exporter must provide the transporter with an additional
copy of the manifest for delivery to the U.S. Customs official at
the point the hazardous waste leaves the United States.
§262.55 Exception Reports (August 8, 1986)
A primary exporter must file an Exception Report with the Administrator if:
(a) He has not received a copy of the manifest signed by the transporter
stating the date and place of departure from the U.S. within 45 days
(b) The primary exporter has not received written confirmation from the
consignee that the hazardous waste was received within 90 days;
(c) The waste was returned to the U.S.
OSWER Dir. No. 9938.2A 111-22 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Parts 262.54, 262.55 and 262.57
o Has the exporter's file been reviewed? The correct information should be
included on all required reports and manifests. Some points that may be
overlooked but are required are as follows: the point of departure from
the U.S. and the additional certification statement included on Item 16
of the manifest.
o Has the transporter returned a signed copy of the manifest with the date
and place of departure within 45 days or that the exporter has filed an
Exception Report for each export of waste?
o Has the primary exporter provided an extra copy of the manifest to the
transporter for delivery to the U.S. Customs official at the point of
departure from the U.S.?
o Does the generator produce spent solvents, wastes containing heavy
metals, or materials contaminated with solvents or metals? Since these
materials represent a large percentage of exported wastes, the inspector
should pay careful attention to how they are being disposed.
o Are wastes generated on-site and recycled off-site? If so, verify the
location of the ultimate recycling facility.
o Is the generator in Regions I, II, III, or V? If so, exports should be
carefully checked, as more than 90% of waste exports originate in these
Regions.
Before export, the exporter must have EPA Acknowledgement of Consent, and
a copy must accompany each shipment with the manifest. If the exporter is
using a broker, the inspector should question the nature of the arrangements
made in order to verify that the export requirements will be met.
After 90 days from when the waste was accepted by the initial transporter,
the consignee must confirm in writing the delivery of the waste. The signed
copy of the manifest may be used as the confirmation, but other documents are
acceptable. Compliance with the 90 day time period should be verified by
observing the date on the manifests. If 90 days have expired from the date of
shipment, the exporter should have written confirmation from the consignee.
If not, the exporter must have started exception reporting procedures.
The exporter must renotify EPA during exception reporting and obtain a
revised EPA Acknowledgement of Consent. The inspector should verify that the
exporter has obtained the revised Acknowledgement of Consent, which must be
kept on file for three years.
The ultimate TSDF in a receiving country is defined as the consignee and
is not required to have a US EPA ID number. However, the primary exporter
must enter the name and site address of the consignee on the manifest.
OSWER Dir. No. 9938.2A 111-23 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Exporter of Hazardous Waste - Annual Reports
§262.57 Recordkeeping (August 8, 1986)
The exporter must keep a copy of each notification of intent to export,
EPA Acknowledgement of Consent, confirmation of delivery and annual report for
at least three years.
§262.56 Annual Reports (August 8, 1986)
(a) By March 1 of each year, primary exporters of hazardous waste must
file with the Administrator a report summarizing hazardous waste
export activity during the previous calendar year. Such reports
shall include the following:
(1) The EPA ID number and the name, mailing address, and site address of
the exporter;
(2) The calendar year covered by the report;
(3) The name and site address of each consignee;
(4) For each hazardous waste exported, a description of the hazardous
waste, the EPA hazardous waste number, the DOT hazard class, the
name and EPA ID number for each transporter used, the total amount
of waste shipped, and the number of shipments, pursuant to each
notification;
(5) Except for Exporters of 100 kg but less than 1000 kg of wastes per
month the following must be included:
(i) A description of the efforts undertaken during the year to reduce
the volume and toxicity waste generated;
(ii) A description of the changes in volume and toxicity of waste
achieved during the year compared with previous years,
(6) A certification signed by the primary exporter.
OSWER Dir. No. 9938.2A III-24 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 265.15
o Review the facility's inspection schedule. The schedule and list of items
to be checked should be included in the facility's log book.
o The items being inspected by the facility should include monitoring
equipment, safety equipment, emergency response equipment, security
devices, operational and structural equipment.
o The schedule should specifically list the components being inspected and
define the problems that might occur, e.g. deterioration of a liner, loss
of pressure in a self-contained breathing apparatus.
o The frequency of inspection may vary, but areas subject to spills such as
loading and unloading areas must be inspected daily.
o The facility's inspections must be recorded in a log book or other
summary. Each inspection should be dated, the inspector's full name
recorded, all observations noted, and the date and nature of any repairs
must be recorded.
The inspector should review all the entries in order to note if the
inspections are being conducted according to the specified frequency. The
inspector should also note the number of times that a facility inspector has
observed problems. Facilities with logbooks without any visual observations
recorded should be suspect as to whether the inspections are being done
adequately or at all. Look at the most recent observation logs and see if your
observations of the area or unit agree with the log. Another important entry
to check is that the facility has appropriately made repairs and recorded the
nature and date of those repairs in the log. The inspection records must be
kept for three years.
OSWER Dir. No. 9938.2A 111-47 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Personnel Training
§265.16 Personnel Training (January 31, 1985)
(a) (1) Facility personnel must successfully complete a program of train-
ing that teaches them to perform their duties in a way that ensures
the facility's compliance with the requirements.
(2) This program must be directed by a person trained in hazardous
waste management procedures and must include instruction relevant
to the positions in which they are employed.
(3) At a minimum, the training program must be designed to ensure that
facility personnel are able to respond effectively to emergencies.
(b) Facility personnel must successfully complete the program within six
months after the effective date of their employment or assignment to
a facility, or to a new position at a facility.
(c) Facility personnel must take part in an annual review of the initial
training.
(d) The owner or operator must maintain the following documents at the
facility:
(1) The job title for each position related to hazardous waste
management, and the name of the employee;
(2) A written job description for each position listed;
(3) A written description of the type and amount of both introductory
and continuing training that will be given to each person; and
(4) Records documenting that the training or job experience require-
ments have been met.
(e) Training records on current personnel must be kept until closure of
of the facility. Training records on former employees must be kept for
at least three years from the date the employee last worked at the
facility.
OSWER Dir. No. 9938.2A III-48 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 262.56
o Has the exporter, except for small quantity exporters (greater than 100
kg but less than 1000 kg per month) have filed an Annual Report? Does
that report include the required items as listed in 262.56 (a) 1-6
provided above?
The inspector should remember that small quantity exporters must file reports
in even-numbered years only.
OSWER Dir. No. 9938.2A 111-25 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Importer - Manifest Review
§262.60 Imports of Hazardous Waste (August 8, 1986)
(a,b,c) Importers of hazardous waste must meet the manifest requirements
of 262.20 except that the foreign generator's name and address and the
importer's name, address and EPA ID number must be included in place of the
generator's information and the importer or his agent must sign and date and
obtain the initial transport's signature on the manifest.
OSWER Dir. No. 9938.2A III-26 March 1988
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TABLE III-l Generator Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 262.60
o Are the required information and signatures provided on the
manifests?
OSWER Dir. No. 9938.2A 111-27 March 1988
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Table III-2 Transporters Regulatory Requirement Synopsis
Regulatory Requirement Synopsis - Transporters - General Requirements
§263.11 EPA Identification Number (May 19, 1980)
(a) A transporter must not transport hazardous wastes without an EPA ID.
§263.12 Transfer Facility Requirements (April 1, 1983)
(a) A transporter who stores manifested shipments of hazardous waste in
containers for a period of 10 days or less is not subject to
regulation under Parts 270, 264, 265, and 268.
OSWER Dir. No. 9938.2A 111-28 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 263.11 and 263.12
o Has the transporter obtained an EPA identification number? Is the
transporter using the correct number? Verify by checking manifests or
copies of manifests in the transporter's possession.
o How long has any waste shipment been stored at a transfer facility by the
transporter?
If waste is stored more than 10 days the transporter must comply with the
requirements for storage, treatment and disposal facilities. The inspector
can check the dates on the manifest in order to determine the date when the
waste was accepted by the transporter. After accounting for a reasonable
travel time to reach the transfer station, the inspector can determine if the
waste has been held at the transfer station for more than 10 days.
OSUER Dir. No. 9938.2A 111-29 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Transporters - Manifest System
§263.20 The Manifest System (March 24, 1986)
(a) A transporter may not accept hazardous waste from a generator unless
the waste is accompanied by a manifest signed by the generator.
(b) Before transporting the hazardous waste, the transporter must sign
and date the manifest, acknowledging acceptance of the hazardous
waste from the generator. The transporter must return a signed copy
to the generator before leaving the generator's property.
(c) The transporter must ensure that the manifest accompanies the
hazardous waste.
(d) A transporter who delivers a hazardous waste to another transporter
or to the designated facility must:
(1) Obtain the date of delivery and the signature of that
transporter or of the owner or operator of the designated
facility on the manifest;
(2) Retain one copy of the manifest
(3) Give the remaining copies of the manifest to the accepting
transporter or designated facility.
§263.22 (a) Recordkeeping (December 31, 1980)
(a) A transporter of hazardous waste must keep a signed copy of the
manifest for a period of three years.
OSWER Dir. No. 9938.2A 111-30 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Inspection Procedures Section 263.20 and 263.22(a)
o Does an appropriately signed manifest accompany each shipment of waste
(see exceptions for bulk shipments)?
When transporting drums by truck, transporters will often combine
shipments from several generators located along an established route, and each
shipment must have its own manifest. However, most inspectors will have
limited access to shipments in route and must usually focus on a review of
manifest files in order to verify that each shipment has a correctly filled
and signed manifest.
OSWER Dir. No. 9938.2A III-31 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Transporters - Bulk Shipments by Water
§263.20 (e) (1-5) Bulk Shipment by Water (March 24, 1986)
(e)(l) The transport of hazardous waste delivered by water (bulk shipment)
to the designated facility must obey the following procedure:
(2) A shipping paper containing all the information required on the
manifest (excluding the EPA ID numbers, generator certification, and
signatures) must accompany the hazardous waste; and
(3) The delivering transporter must obtain the date of delivery and
signature of the owner or operator of the designated facility on
either the manifest or the shipping paper; and
(4) The person delivering the hazardous waste to the initial water
(bulk shipment) transporter must obtain the date of delivery and
signature of the water (bulk shipment) transporter on the manifest
and forward it to the designated facility; and
(5) A copy of the shipping paper or manifest must be retained by each
water (bulk shipment) transporter.
§263.22 (b) Recordkeeping (December 31, 1980)
(b) For shipments delivered to the designated facility by water (bulk
shipments), each water (bulk shipment) transporter must retain a
copy of a shipping paper containing all the information.
OSWER Dir. No. 9938.2A III-32 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 263.20 (e) and 263.22 (b)
o Are shipping papers used in lieu of manifests? Remember that bulk
transporters by water can use shipping papers in lieu of manifests.
o When such papers are used, do they contain the name, address, and phone
number of the generator; and the name and address of the transporter(s)
and the designated facility?
o Has the transporter retained a copy of the shipping paper or manifest for
each shipment for three years?
OSWER Dir. No. 9938.2A III-33 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-34 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Transporters - Bulk Shipment by Rail
§263.20 (f) (1-5) Bulk Shipments by Rail (March 24, 1986)
(f)(l) When accepting hazardous waste from a non-rail transporter, the
initial rail transporter must:
(ii) Return a signed copy of the manifest to the nonrail
transporter;
(iii) Forward at least three copies of the manifest to:
(A) The next nonrail transporter, if any; or,
(B) The designated facility, if the shipment is delivered to that
facility by rail; or
(C) The last rail transporter designated to handle the waste in the
United States; and
(iv) Retain one copy of the manifest and rail shipping paper.
(2) Rail transporters must ensure that a shipping paper containing all
the information required on the manifest (excluding the EPA ID
numbers, generator certification, and signatures) accompanies the
hazardous waste at all times.
(3) When delivering hazardous waste to the designated facility, a
rail transporter must:
(i) Obtain the date of delivery and the signature of the owner or
operator of the designated facility on the manifest or the
shipping paper (if the manifest has not been received by the
facility); and
(ii) Retain a copy of the manifest or signed shipping paper.
(4) When delivering hazardous waste to a nonrail transporter, a rail
transporter must:
(i) Obtain the date of delivery and the signature of the next
nonrail transporter on the manifest; and
(ii) Retain a copy of the manifest.
OSWER Dir. No. 9938.2A 111-35 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Transporters - Bulk Shipment by Rail
(continued)
§263.20 (f) (1-5) Bulk Shipments by Rail (March 24, 1986)
(5) Before accepting hazardous waste from a rail transporter, a nonrail
"transporter must sign and date the manifest and provide a copy to
the rail transporter.
§263.22 (c) Recordkeeping (December 31, 1980)
(c) For shipments of hazardous waste by rail within the United States:
(1) The initial rail transporter must keep a copy of the manifest
and shipping paper with all the information.
OSWER Dlr. No. 9938.2A III-36 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 263.20 (f) and 263.22 (c)
o Are shipping papers, rather than manifests, accompanying each shipment?
Note that bulk transporters by rail may forward the manifest and use
shipping papers instead to accompany each shipment.
o Do all shipping papers contain the name, address, and phone number of the
generator, and the name and address of the transporters and of the
designated facility?
o Has the rail transporter retained a signed copy of the shipping papers
and manifest for three years?
OSWER Dir. No. 9938.2A 111-37 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Transporters - Bulk Shipment by Rail
§263.20 (g) Export of Hazardous Waste (March 24, 1986)
(g) A transporter who transports hazardous waste out of the United
States must:
(1) Indicate on the manifest the date the hazardous waste left
the United States;
(2) Sign the manifest and retain one copy; and
(3) Return a signed copy of the manifest to the generator.
(a) The transporter must deliver the entire quantity of
hazardous waste that he has accepted from a generator or
a transporter to:
(1) The designated facility listed on the manifest; or
(2) The alternate designated facility, if the hazardous waste cannot
be delivered to the designated facility because of an emergency
situation; or
(3) The next designated transporter; or
(4) The place outside the United States designated by the generator.
(b) If the hazardous waste cannot be delivered in accordance with
paragraph (a) of this section, the transporter must contact
the generator for further directions and must revise the
manifest according to the generator's instructions.
OSWER Dir. No. 9938.2A 111-38 March 1988
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TABLE III-2 Transporters Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 263.20 (g)
o Do all manifests on file with transporters who ship outside the U.S
include the date the waste left the U.S., as well as all general
information?
o Has the transporter retained a signed copy of a manifest for each
shipment for three years?
OSWER Dir. No. 9938.2A III-39 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis
Regulatory Requirement Synopsis - General Facility Standards
§265.1 Purpose, Scope, and Applicability (July 15, 1985)
(c) The requirements of this part do not apply to:
(1) Ocean disposal subject to permit
(2) Underground injection subject to a permit
(3) Owner or operator of a POTW
(4) Storage, treatment or disposal of hazardous waste in a State
authorized under RCRA Part 271 (State requirements apply instead.)
(5) Facilities that only manage excluded hazardous waste
(6) Facilities managing recyclable materials
(7) A generator accumulating waste on site in compliance with 262.34
(8) A farmer disposing of waste pesticides from his own use
(9) Totally enclosed treatment facilities
(10) An elementary neutralization unit or waste water treatment unit as
defined in 260.10
(11) Treatment of containment activities following a release of hazardous
waste or material
(12) Transporters holding waste at transfer facilities for less than 10
days
§265.11 Identification (ID) Number (May 19, 1980)
Every facility owner or operator must have an EPA identification number.
§265.12 Required Notice (January 31, 1985)
(a) The owner or operator of a facility that has arranged to receive
hazardous waste from a foreign source must notify the Regional
Administrator in writing at least four weeks in advance of the
date that the waste is expected to arrive at the facility.
(b) Before transferring ownership or operational control the owner or
operator must notify the new o/o in writing of these requirements.
OSWER Dir. No. 9938.2A 111-40 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Sections 265.1, 265.11 and 265.12
o Does the TSDF have an identification number, and is the number being used
appropriately on manifests, required reports, notifications, and other
necessary documents?
o Are all exemptions or excluded units appropriately excluded? Review
processes at any facility in order to confirm that any exemptions or
excluded units are appropriate.
During the inspection, the inspector should ask the owner/operator if they
accept shipments of foreign wastes or other recycled materials, and whether
these wastes have been evaluated to see if they meet the criteria in Part 261.
The inspector should identify all foreign generated wastes received at the
site and verify that the waste corresponds with the notices that have been
filed. Receiving any foreign hazardous waste without filing the notice
appropriately constitutes a violation.
o Are copies of all notices are retained in a facility's operating record?
OSWER Dir. No. 9938.2A III-41 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - General Waste Analysis
§265.13 General Waste Analysis (April 30, 1985)
(a)(l) Before an owner or operator manages any hazardous waste, he must
obtain a detailed chemical and physical analysis of a represent-
ative sample of the waste.
(b) The owner or operator must develop and follow a written waste analysis
plan which describes the procedures which he will carry out to comply
with paragraph (a). The plan must specify:
(1) The parameters for which each hazardous waste will be analyzed;
(2) The test methods which will be used to test for these parameters;
(3) The sampling method which will be used to obtain a representative
sample of the waste to be analyzed;
(4) The frequency with which the initial analysis of the waste
will be repeated;
(5) For off-site facilities, the waste analysis that hazardous waste
generators have agreed to supply; and
(6) The methods which will be used to meet the additional waste
analysis requirements for specific waste management methods.
(c) For off-site facilities, the waste analysis plan required in paragraph
(b) of this section must also specify the procedures which will be used
to inspect and analyze each movement of hazardous waste received at the
facility.
OSWER Dir. No. 9938.2A III-42 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 265.13
o Review the facility's written waste analysis plan before checking the
file of waste analyses.
o Methods described in Part 261 and SW 846 are acceptable for sampling and
analysis.
o The waste analyses plan must be adequate for determining whether a waste
is subject to the land disposal ban.
o Generators storing waste onsite for more than 90 days must have a waste
analysis plan
If more than one waste analysis plan exists or existed, determine the
applicability of each plan with respect to the time frame of the inspection
and which plan is currently in effect. The plans for offsite facilities may
define different waste analysis criteria for the types of waste it is
currently accepting. It is a good idea to prepare lists of the various wastes
handled at the facility prior to examination of the records.
Offsite facilities must have procedures to verify that the waste matches
the identity of the waste on the manifest by inspecting each waste movement
and performing analysis when the actual wastes are suspected to be different
from the waste identified on the manifest. It is the inspector's
responsibility to determine if the facility's plan is adequate and adhered to.
This includes reviewing the waste analysis procedures to see if they can
identify all the characteristics of the anticipated waste types. When pre-
acceptance determinations are made through actual testing, inspection of the
laboratory facility may be called for.
If the waste analysis plan is adequate, the inspector should verify that
the waste analysis is performed for each waste stored over 90 days in the
manner required and specified in the plan. Records of the analyses must be
kept on file as part of the operating record.
Inspectors must be on the lookout for wastes or waste streams that have
not been tested. This is particularly important at facilities where wastes
are generated and disposed of onsite, and where records or analyses necessary
for offsite disposal are not required. If an owner/operator maintains that a
particular waste has not been tested because it is not hazardous, he must
provide justification, such as Material Safety Data Sheet forms or process
information providing waste content, to support this determination.
OSWER Dir. No. 9938.2A 111-43 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Security
§265.14 Security (May 19, 1980)
(a) The owner or operator must prevent unknowing entry, and minimize the
possibility for the unauthorized entry, of persons or livestock onto the
active portion of his facility.
(b) Unless exempt, a facility must have:
(1) A 24 hour surveillance system or
(2)(i) An artificial or natural barrier which completely surrounds
the facility; and
(ii) A means to control entry, at all times, through the gates or
other entrances
(c) Unless exempt, a sign with the legend, "Danger--Unauthorized
Personnel Keep Out," must be posted at each entrance to the active
portion of a facility, and at other locations, in sufficient numbers
to be seen from any approach
OSWER Dir. No. 9938.2A 111-44 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 265.14
o Do non-exempt facilities have a 24-hr surveillance system equivalent to
either guards or television monitoring around the active portion of the
site or have a barrier around the active portion of the site and a means
to control entry such as locked or monitored gates?
o Are all monitoring equipment or locks functional and used properly?
o Are signs with the warning "Danger - Unauthorized Personnel Keep Out" be
posted at each entrance and at other locations in order to be seen from
any approach?
The inspector should note that security may be around the entire complex of
units or around individual units.
OSWER Dir. No. 9938.2A 111-45 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - General Inspection Requirements
§265.15 General Inspection Requirements (January 31, 1985)
(a) The owner or operator must inspect his facility for malfunctions and
deterioration, operator errors, and discharges which may lead to any
release of hazards.
(b) (1) The owner or operator must develop and follow a written schedule
for inspecting all monitoring equipment, safety and emergency
equipment, security devices, and operating and structural
equipment.
(2) He must keep this schedule at the facility.
(3) The schedule must identify the types of problems which are to be
looked for during the inspection.
(4) The frequency of inspection may vary for the items on the schedule.
Areas subject to spills, such as loading and unloading areas,
must be inspected daily.
(c) The owner or operator must remedy any deterioration which the inspection
reveals on a schedule which ensures that the problem does not lead
to an environmental hazard. Where a hazard is imminent or has already
occurred, remedial action must be taken immediately.
(d) The owner or operator must record inspections in an inspection log.
These records must include the date and time of the inspection, the name
of the inspector, a notation of the observations made, and the date and
nature of any repairs. These records must be kept for at least three
years.
OSWER Dir. No. 9938.2A III-46 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 265.16
o Has the documentation of a facility's personnel training program been
reviewed?
o Personnel training records may be included in the right-to-know records.
o The owner/operator must identify the people that need training before a
training program can be provided. Ask how the people given training were
identified and assess if this is thorough.
o Has everyone mentioned in the contingency plan been trained?
o Has a job title been given for each position? Be sure that an employee's
name is listed, and that a job description is provided.
o Is a description of the training to be provided and the training actually
received by the employee also be included?
o Is training reviewed annually with the employees?
The owner/operators must document that training has been provided.
Common forms of documentation include training session sign-up sheets or other
means where each employee signs and dates a record once the training or annual
update has been given. Documentation of training may not be possible where
workers do not have hazardous waste handler job classification due to union
rules.
The training program must enable facility personnel to respond
effectively to emergencies. If possible, the inspector should ask to speak to
a few employees to determine if they are familiar with what to do in the case
of a spill or similar emergency in order to verify that the employee training
has been provided. The determination whether a training program is adequate
is often a professional judgement, but the inspector can refer to appropriate
guidance in this matter.
OSWER Dir. No. 9938.2A III-49 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Ignitable, Reactive or Incompatible Wastes
§265.17 General Requirements for Ignitable, Reactive, or Incompatible Wastes
(May 19, 1980)
(a) This waste must be separated and protected from sources of ignition
or reaction including but not limited to: Open flames, smoking,
cutting and welding, hot surfaces, frictional heat, sparks, spontaneous
ignition, and radiant heat. While ignitable waste is being handled,
the owner or operator must confine smoking and open flame to specially
designated locations.
(b) The mixture of incompatible or reactive wastes, must be conducted so that
it does not:
(1) Generate extreme heat or pressure, fire or explosion, or violent
reaction;
(2) Produce uncontrolled toxic mists, fumes, dusts, or gases;
(3) Damage the structural integrity of the device or facility containing
the waste.
OSWER Dir. No. 9938.2A III-50 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Section 265.17
o Does a facility handle ignitable or reactive wastes, or wastes that might
be incompatible when mixed? Determine this by reviewing the waste
manifests or the waste analyses that are part of the operating record.
o Are "no smoking" signs placed conspicuously at facilities that handle
ignitable wastes, and is the smoking ban is enforced?
o Do any containers or tanks contain ignitable, reactive, or incompatible
wastes? Is there any evidence of bulging or off-gassing?
Specific requirements for handling these wastes are given under the unit
specific subparts (I through R) of this section. Refer to the Reference
section of this manual for additional material on waste compatibility.
OSWER Dir. No. 9938.2A III-51 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart C - Preparedness and Prevention
§265.31 Maintenance and operation of the facility (May 19, 1980)
Facilities must be maintained and operated to minimize the possibility of
any unplanned, sudden or non-sudden, release of hazardous waste or
constituents to air, soil, or surface water.
§265.32 Required Equipment (May 19, 1980)
All facilities must be equipped with the following, unless none of the
hazards posed by waste handled at the facility could require a particular kind
of equipment, specified below:
(a) An internal communications or alarm system;
(b) A device, such as a telephone, capable of summoning emergency
assistance from local emergency response teams;
(c) Portable fire extinguishers, fire control equipment, spill control and
decontamination equipment;
(d) Water at adequate volume and pressure to supply water hose streams,
or foam producing equipment.
§265.33 Testing and maintenance of equipment (May 19, 1980)
All safety equipment must be tested and maintained.
§265.34 Access to communications or alarm systems (May 19, 1980)
(a) Whenever hazardous waste is being handled, all personnel involved
must have immediate access to an internal alarm or emergency
communication device.
OSWER Dir. No. 9938.2A III-52 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures Subpart C - Preparedness and Prevention §265.31-§265.34
o What is the general appearance and housekeeping of the facility? Are any
potential problems apparent during the visual inspection phase?
o Are any inoperative devices and deteriorated, patched, or jury-rigged
equipment apparent?
The inspector should ask to see the type of internal and external
communication systems in use at the facility. The inspector should look for
fire extinguishers and other equipment such as hoses, sprinklers, or foam.
The equipment should be maintained and in good condition. The inspector
should personally check to see if simple equipment such as eye wash stations
actually function.
OSWER Dir. No. 9938.2A III-53 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart C - Preparedness and Prevention
§265.35 Required aisle space (May 19, 1980)
The owner or operator must maintain aisle space to allow the unobstructed
movement of personnel, fire protection equipment, and spill control equipment
to any area of facility.
§265.37 Arrangements with local authorities (May 19, 1980)
(a) The owner operator must attempt to make
(1) Arrangements to familiarize emergency response teams with the layout
of the facility, properties of the hazardous waste handled at the
facility, and associated hazards;
(2) Agreements as designating primary emergency authority and agreements
to provide support;
(3) Agreements with State emergency response teams; and
(4) Arrangements to familiarize local hospitals with the properties
of hazardous waste handled at the facility and associated hazards.
(b) The owner or operator must document the refusal in the operating
record.
OSWER Dir. No. 9938.2A III-54 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures Subpart C - Preparedness and Prevention §256.35,§265.37
o Have all local authorities been made aware of potential dangers at the
site? Ask to see the agreements made by all appropriate local emergency
response teams.
The owner/operator should provide proof that all local authorities were
contacted, such as a certified or registered letter, and that they either
agreed to a plan or have declined to participate in writing.
The inspector should also verify that aisle space is adequate and unob-
structed. A good rule-of-thumb is to note if the aisle space is adequate for
the removal of one drum, or at least two feet wide. Every individual drum
must be able to be inspected and in some cases emergency equipment must have
room to pass through the aisle space.
OSVER Dir. No. 9938.2A 111-55 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart D - Contingency Plan and Emergency
Procedures
§265.51 Purpose and implementation of contingency plan (January 31, 1985)
(a) Each owner/operator must have a contingency plan for his facility which
is designed to minimize hazards to human health or the environment from
fires, explosions or any unplanned releases of hazardous waste or waste
constituents.
(b) The provisions of the plan must be carried out whenever there is a
situation which could threaten human health or the environment.
§265.52 Content of Contingency Plan (January 31, 1985)
(a) The contingency plan must describe the actions facility personnel
must take to any unplanned sudden or non-sudden release.
(b) If the owner operator has already prepared a Spill Prevention,
Control, and Countermeasures Plan, he need only amend that plan
to incorporate hazardous waste management provisions.
(c) The plan must describe arrangements agreed to by local emergency
response teams.
(d) The plan must list names, addresses, and phone numbers of all
persons qualified to act as emergency coordinator and this list
must be kept up to date.
(e) The plan must include a list of all emergency equipment. In
addition, the plan must include the location and a physical
description of each item on the list, and brief outline of its
capabilities.
(f) The plan must include an evacuation plan for facility personnel.
§265.53 Copies of Contingency Plan (January 31, 1985)
A copy of the contingency plan must be:
(a) Maintained at the facility; and
(b) Submitted to all local emergency response teams.
OSWER Dir. No. 9938.2A III-56 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart D
o Is the copy of the Contingency Plan on file at the facility detailed
enough to deal with site-specific incidents?
o Does the plan must specify the name(s) of an emergency coordinator, his
address, and office and home phone number? Is at least one backup or
alternate emergency coordinator must be identified to ensure that one
person is available at all times?
o Does the plan include a list of all emergency equipment, as well as the
location and general description of the capabilities of each item listed?
o Has a copy of the Contingency Plan been kept on file at the facility and
another sent to local emergency response teams (police, fire
departments)? Ask to see signed receipts of these plans from the
appropriate agencies. Certified or registered mail receipts are
acceptable.
The plan is required to be updated when personnel or equipment change,
but this may be easily overlooked. The inspector should verify that the
individuals listed are current and that all the equipment listed can be
located by the descriptions given. The inspector should ask to see selected
equipment from the list to personally verify that the simple to operate safety
equipment, such as showers or eye washes, work.
OSWER Dir. No. 9938.2A III-57 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart D - Contingency Plan and Emergency
Procedures
§265.54 Amendment of Contingency Plan (January 31, 1985)
The contingency plan must be reviewed, and immediately amended whenever:
(a) Regulations are revised;
(b) The plan fails in an emergency;
(c) The facility changes;
(d) The list of emergency coordinators changes; or
(e) The list of emergency equipment changes.
§265.55 Emergency Coordinator (January 31, 1985)
At all times, there must be at least one employee at the facility or on
call with the responsibility for coordinating all emergency response measures.
§265.56 Emergency Procedures (January 31, 1985)
(a) When there is an emergency situation, the emergency coordinator must:
(1) Activate internal facility alarms; and
(2) Notify appropriate State or local agencies.
(b) The emergency coordinator must immediately identify the character, exact
source, and amount of any released materials.
(c) The emergency coordinator must assess possible hazards to human health or
the environment that my result from the release.
(d) If facility has had a release, the emergency coordinator must report his
findings pursuant to subsections (1) and (2).
(g) Immediately after an emergency, the emergency coordinator must provide
for treating, storing, or disposing of recovered waste, contaminated soil
or any other material that results from a release.
(j) The time, date, and details of any incident that requires implementing
the contingency plan must be recorded in the operating record. Within 15
days after the incident, he must submit a written report on the incident
to the Regional Administrator.
OSWER Dir. No. 9938.2A 111-58 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart D
o Are the emergency coordinator and backup trained to carry out the
provisions of the contingency plan?
During the file review, the inspector should look for reports of incidents
requiring the implementation of the contingency plan particularly if the plan
should have been implemented but was not. A facility must file a report with
the Regional Administrator within fifteen days of any incident. During the
inspection of facilities reporting such an incident, the inspector should view
the area in order to check that any spilled or released material has been
contained and disposed of properly, and that any equipment which was used has
been decontaminated and is fit for reuse.
OSWER Dir. No. 9938.2A III-59 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart E - Manifest System - Discrepancies
§265.71 Use of the Manifest System (May 19, 1980)
(a) If a facility receives hazardous waste accompanied by a manifest, the
owner/operator must:
(1) Sign and date each copy
(2) Note any significant discrepancies
(3) Give the transporter at least one copy
(4) Within 30 days send a signed copy to the generator
(5) Retain a copy at the facility
§265.72 Manifest Discrepancies (January 31, 1985)
(a) Manifest discrepancies are differences between quantity or type of
hazardous waste designated on the manifest and the quantity or type of
hazardous waste a facility actually receives. Significant discrepancies
are: (1) For bulk waste, variations greater than 10 percent in weight,
and (2) for batch waste, any variation in piece count,
(b) Upon discovering a significant discrepancy, the owner or operator must
attempt to reconcile the discrepancy with the waste generator or trans-
porter. If the discrepancy is not resolved within 15 days, the owner or
operator must immediately submit to the Regional Administrator a letter
describing the discrepancy and attempts to reconcile it, and a copy of
the manifest.
OSWER Dir. No. 9938.2A 111-60 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart E - Sections 265.71 and 265.72
o Have facilities accepting offsite waste retained signed and dated copies
of manifests for the wastes it accepts for three years?
o Has the facility, within 30 days of the receipt of the waste, returned a
signed and dated copy of the manifest to the generator? Observe the
dates on generator return copies to see if they are being held for longer
than 30 days.
o Are there any discrepancies in files which must be recorded on the
manifest document?
o Are any changes, cross-outs or write-overs present in the manifests? If
so, they should be closely reviewed.
Significant discrepancies in quantity are a variation of 10% for bulk
waste and one piece, e.g. drum, for any batch waste. Incorrectly or
inadequately identified waste is also a significant discrepancy. For any
discrepancies noted on any manifest, the facility must have attempted to
reconcile the discrepancy with the transporter(s) and generator within 15
days. Ask for verification of these attempts such as letters or notes from a
phone conversation. If the discrepancy is not resolved, the owner/operator
must describe the discrepancy and the attempts in a letter sent to the
Regional Administrator along with a copy of the manifest. The inspector
should look for copies of any letters sent and verify that the 15 day limit
was met.
OSWER Dir. No. 9938.2A 111-61 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart E - Operating Record
§265.73 Operating Record (April 30, 1985)
(a) A written operating record must be kept at each facility.
(b) The following information must be recorded, as it becomes available, and
maintained in the operating record until closure of the facility:
(1) A description and the quantity of each hazardous waste received, and
the method(s) and date(s) of its treatment, storage, or disposal;
(2) The location of each hazardous waste within the facility and the
quantity at each location. Include cross-references to specific
manifest document numbers, for waste accompanied by a manifest;
(3) Records and results of waste analyses and trial tests;
(4) Summary reports and details of all incidents that require
implementing the contingency plan.
(5) Records and results of inspections;
(6) Monitoring, testing, or analytical data where required; and
(7) All closure cost estimates and post-closure cost estimates.
(8) Notices and certification for land disposal ban
§265.74 Availability, retention, and disposition of records (January 31, 1985)
(a) All records must be furnished upon request, for inspection,
(c) A copy of records of waste disposal locations and quantities must be
submitted upon closure of the facility.
OSWER Dir. No. 9938.2A III-62 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart E - Sections 265.73 and 265.74
o Has the operating record been reviewed carefully? The review of the
operating record is very important to the inspection of any TSDF.
o Does a facility's operating record contain all the required information?
o Have all records and results of onsite inspections been kept as part of
the operating record for three years?
The inspector should note that facilities often do not have all the items
listed in 265.73(b)(1-8) in one file or designated area. However, if the
information is on-site, the requirement is being met. Inspectors should
encourage owners/operators to compile these items into one central area under
the control of one designated individual for the operating record.
OSWER Dir. No. 9938.2A III-63 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-64 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart E - Additional Reports
§265.75 Biennial Report (January 31, 1985)
The owner operator must submit a copy of a biennial report to the Regional
Administrator by March 1 of each even numbered year. Include the following
information:
(a) The EPA identification number, name, and address of the facility;
(b) The calendar year covered by the report;
(c) For off-site facilities, the EPA identification number of each hazardous
waste generator;
(d) A description and the quantity of each hazardous waste received during
the year;
(e) The method of treatment, storage, or disposal for each hazardous waste;
(f) Monitoring data where required;
(g) The most recent closure cost estimate and the most recent post-closure
cost estimate;
(h) The certification signed by the owner or operator of the facility; and
(i) Description of waste minimization efforts.
§265.76 Unmanifested Waste Report (January 31, 1985)
If a facility accepts any hazardous waste from an off-site source without
an accompanying manifest and if the waste is not excluded from the manifest
requirement, then the owner or operator must prepare and submit a single copy
of a report to the Regional Administrator within fifteen days after receiving
the waste. Such report must be designated "Unmanifested Waste Report" and
include the following:
(a) The EPA identification number, name, and address of the facility;
(b) The date the facility received the waste;
(c) The EPA identification number, name, and address of the generator and the
transporter, if available;
(d) A description and the quantity of each unmanifested hazardous waste;
OSWER Dir. No. 9938.2A III-65 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart E - Additional Reports
§265.76 Unmanifested Waste Report (continued)
(e) The method of treatment, storage, or disposal for each hazardous waste;
(f) The certification signed by the owner or operator of the facility; and
(g) A brief explanation of why the waste was unmanifested.
§265.77 Additional Reports (January 28, 1983)
The owner or operator must also report to the Regional Administrator;
(a) Releases, fires, and explosions.
(b) Ground-water contamination and monitoring data.
(c) Facility closure.
OSWER Dir. No. 9938.2A 111-66 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart E - Sections 265.75 through 265.77
Ask to see the facility's Biennial Report and if it is available, review
the report for completeness (if it was not reviewed prior to the
inspection).
Review the unmanifested waste reports from facilities that accept waste
from off-site generators. The documents should be reviewed for
completeness.
Be aware that conditionally exempt small quantity generator wastes are
excluded from the manifest requirement. See 265.76 (g); comment explains
what an o/o should do when receiving hazardous wastes from conditionally
exempt SQGs.
OSWER Dir. No. 9938.2A III-67 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-68 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart F - Groundwater Monitoring
§265.90 Applicability (January 31, 1985)
The owner or operator of a surface impoundment, landfill, or land
treatment facility which is used to manage hazardous waste must implement a
ground-water monitoring program capable of determining the facility's impact
on the quality of ground water in the uppermost aquifer.
§265.91 Ground-water Monitoring System (January 31, 1985)
(a) A ground-water monitoring system must consist of:
(1) Monitoring wells (at least one) installed hydraulically upgradient.
(2) Monitoring wells (at least three) installed hydraulically
downgradient at the limit of the waste management area.
(c) All monitoring wells must be cased in a manner that maintains the
integrity of the monitoring well bore hole.
§265.92 Sampling and analysis (January 31, 1985)
(a) The owner or operator must develop and follow a ground-water sampling and
analysis plan. The plan must include procedures and techniques for:
(1) Sample collection;
(2) Sample preservation and shipment;
(3) Analytical procedures; and
(4) Chain of custody control.
(1) Parameters characterizing the suitability of the ground water as a
drinking water supply.
(2) Parameters establishing groundwater quality.
(3) Parameters used as indicators of groundwater contamination:
OSWER Dir. No. 9938.2A III-69 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart F - Groundwater Monitoring
§265.93 Preparation, evaluation, and response (January 31, 1985)
(a) The owner or operator (o/o) must prepare an outline of a ground-water
quality assessment program that is capable in determining:
(1) Whether hazardous waste has entered the ground-water.
(2) The rate and extent of migration,
(3) The concentrations of hazardous constituents.
(c) (1) If the comparisons for the upgradient wells show a significant
increase (or pH decrease), the o/o must submit this information.
(2) If comparisons of downgradient wells show a significant increase
(or pH decrease) , the o/o must then immediately obtain additional
groundwater samples from downgradient wells where a significant
difference was detected, to determine if the significant difference
was laboratory error.
(d) (1) If the analyses performed confirm the significant increase (or pH
decrease) , the owner or operator must provide written notice to the
Regional Administrator- -within seven days of the date of such
confirmation .
(2) Within 15 days after the notification the o/o must submit a specific
plan for a ground water quality assessment program at the facility.
§265.94 Record Keeping and Reporting (January 31, 1985)
(a) The owner or operator must;
(1) Keep records of required analyses, associated ground-water
elevations and the evaluations required throughout the active life
of the facility, and for disposal facilities, throughout the post-
closure care period as well;
(2) Report the following ground-water monitoring information;
(i) During the first year concentrations of the parameters listed in
§265.92(b
(ii) Annually: Concentrations of the parameters listed
in 265.92(b)(3);
(iii) No later than March 1 following each calendar year; Results of
the evaluations of ground-water surface elevations .
OSWER Dir. No. 9938. 2A III -70 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart F - Sections 265.90 through 265.94
o The Subpart F CEI inspection is not to be confused with the CME or O&M
inspections which go beyond the scope of the CEI in evaluating ground
water monitoring.
Since Subpart F - Ground Water Monitoring, is very important when deter-
mining a facility's compliance with RCRA, the inspector should review and
refer to the RCRA Ground-water Monitoring Technical Enforcement Guidance
Document (TEGD) in order to evaluate a facility's ground water monitoring
system. Also refer to the RCRA Laboratory Audit Inspection Guidance manual if
possible. This manual addresses the identification of error in monitoring
well data that may be valuable to the inspector.
OSWER Dir. No. 9938.2A 111-71 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart G - Closure and Post-closure
§265. 112 Closure Plan (May 19, 1980)
(a) Written plan. By May 19, 1981, the owner or operator of a hazardous
waste management facility must have a written closure plan.
(b) Content of plan. The plan must identify steps necessary to perform
partial and/or final closure of the facility.
(c) The owner or operator may amend the closure plan at any time prior to the
notification of partial or final closure of the facility.
(d) The owner or operator must submit the closure plan to the Regional
Administrator at least 180 days prior to the date on which he expects to
begin closure of the firsc surface impoundment, waste pile, land
treatment, or landfill unit, or final closure if it involves such a unit.
Owners and operators with approved closure plans must notify the Regional
Administrator at least 45 days prior to the date on which he expects to
begin final closure of a facility with only tanks, container storage, or
incinerator units.
OSWER Dir. No. 9938.2A 111-72 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart G - Sections 265.112
o Is the closure plan been updated and current?
Note that only facilities with approved closure plans are required to
submit a request to EPA in order to change their closure plans.
In many cases at interim status facilities, the inspector is the only
official that has an opportunity to evaluate the completeness of the plan
prior to closure and submittal of the plan to the Administrator. The
inspector should closely evaluate the content of the plan to verify that it
adequately addresses the required steps and that all units are covered by the
plan.
The owner/operator must "expect to begin" closure within 30 days after
receiving the last shipment of waste, and notification and submittal of the
closure plan to EPA must occur by the specified time period depending upon the
nature of the unit. If the inspector feels that a unit does not have the
capacity to manage additional wastes, he should question the owner/operator
about the anticipated date when operations cease and the submittal of the
closure plan in the required time period.
OSWER Dir. No. 9938.2A 111-73 March .1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart G - Closure and Post-closure
§265.113 Closure
(a) Within 90 days after receiving the final volume of hazardous wastes, or
within 90 days after approval of the closure plan, the owner or operator
must treat, remove from the unit or facility, or dispose of on-site, all
hazardous wastes in accordance with the approved closure plan.
(b) Within 180 days after receiving the final volume of hazardous wastes, the
owner or operator must complete final closure.
§265.114 Disposal or decontamination
All contaminated equipment, structures and soil must be properly disposed
of, or decontaminated.
§265.115 Certification
Within 60 days of completion of closure the owner or operator must submit
to the Regional Administrator, a certification that the hazardous waste
management unit or facility, has been closed in accordance with the
specifications in the approved closure plan.
§265.116 Survey plat
An owner or operator must submit to the local authority, with
jurisdiction over local land use, and to the Regional Administrator, a survey
plat indicating the location and dimensions of landfill cells or other
hazardous waste disposal units with respect to permanently surveyed
benchmarks.
OSWER Dir. No. 9938.2A 111-74 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart G - Sections 265.113 through 265.116
Have any activities or sections been shut down? If so, have the
appropriate partial closure steps been taken? Be aware that the
owner/operator may close certain units but not the whole facility.
Has closure or partial closure been completed within 180 days after
receipt of the last shipment of waste? If not, has the Administrator
approved an extension?
Has closure been completed properly and all wastes or materials been
properly disposed or decontaminated? Closed unit(s) should be visually
inspected.
OSWER Dir. No. 9938.2A III-75 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart G - Closure and Post-closure
§265.117 Post-closure care (May 19, 1980)
(a)(l) Post-closure care for each hazardous waste management unit subject to
the requirements must begin after completion of closure of the unit
and continue for 30 years after that date.
§265.118 Post-closure plan (May 19, 1980)
(a) By May 19, 1981, the owner or operator of a hazardous waste disposal unit
must have a written post-closure plan.
§265.119 Post-closure notices (May 19, 1980)
(a) No later than 60 days after certification of closure of each hazardous
waste disposal unit, the owner or operator must submit to the local
authority with jurisdiction over local land use, and to the Regional
Administrator, a record of the type, location, and quantity of hazardous
wastes disposed of within each cell or other disposal unit of facility.
(b) Within 60 days of certification of closure:
(1) Record, in accordance with the State law, a notation on the deed to
the facility property:
(i) The land has been used to manage hazardous wastes; and
(ii) Its use is restricted under 40 CFR Subpart G regulations.
§265.120 Certification of completion of post-closure (May 19, 1980)
No later than 60 days after the completion of the established post-
closure care period for each hazardous waste disposal unit the owner or
operator must submit to the Regional Administrator a certification that the
post-closure care period for the hazardous waste disposal unit was performed
in accordance with the specifications in the approved post-closure plan.
OSWER Dir. No. 9938.2A 111-76 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart G - Sections 265.117 through 265.120
o Does the facility have a post closure plan? Note that only land disposal
facilities are required to have post-closure plans.
o Is the post-closure plan is current? Only facilities with approved post-
closure plans need submit a request to EPA in order to update their post-
closure plans.
In many cases at interim status facilities, the inspector is the only
official that has an opportunity to evaluate the completeness of the plan
prior to closure and submittal of the plan to the Administrator. The
inspector should closely evaluate the content of the plan to verify that it
adequately addresses the maintenance and monitoring requirements.
The owner/operator must submit the post-closure plan in the same time
frame as the closure plan for land disposal units. Certain units may be under
post-closure care while the facility is still operating other units. The
inspector should ask if any units, specifically disposal units, are closed and
should be under post-closure care.
OSWER Dir. No. 9938.2A 111-77 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart H - Financial Requirements
§265.142 Cost estimate for closure (May 2, 1986)
(a) The owner/operator must have a detailed written estimate of the cost of
closing the facility as required. The estimate must include the highest
costs possible for closure under the closure plan. The costs must be
based on third party closure and cannot incorporate any salvage value.
(b) The closure cost estimate must be adjusted for inflation.
(c) The closure cost estimate must be revised within 30 days of a revision to
the plan.
(d) The closure cost estimate must be kept at the facility during the
operating life. Revisions must be deleted.
§265.143 Financial assurance for closure (May 2, 1986)
The owner/operator must establish financial assurance for closure of the
facility by choosing are of these options;
(a) Closure trust fund
(b) Surety bond guaranteeing payment into a closure trust fund
(c) Closure letter of credit
(d) Closure insurance
(e) Financial Test and corporate guarantee for closure
(f) Use of multiple financial mechanisms
Within 60 days after certification of final closure, the RA will notify
the owner/operator that he is no longer required to maintain financial assu-
rance .
OSWER Dir. No. 9938.2A III-78 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart H - Sections 265.142 and 265.143
o Does the facility have the required copy of the cost estimate onsite?
o Which financial mechanism has the owner/operator elected to use?
The inspector should verify that the cost estimate includes third-party
closure costs and is updated within 30 days of any significant revisions to
the closure plans or when the closure plan is submitted to EPA. Documentation
of financial assurance is not required to be kept at the facility and may be
kept at a central or corporate location.
OSWER Dir. No. 9938.2A III-79 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart H - Financial Requirements
§265.144 Cost estimate for post-closure care (May 2, 1986)
(a) The owner/operator must have a detailed written estimate of the cost of
post-closure care for the facility as required. The estimate must be
based upon third party costs and is determined by multiplying the annual
post-closure cost by the number of years of care.
(b) The post-closure care cost estimate must be adjusted for inflation.
(c) The post-closure care cost estimate must be revised written 30 days of a
revision to the post-closure care plan.
(d) The closure cost estimate must be kept at the facility during operating
life and revision must be dated.
§265.145 Financial assurance for post-closure care (May 2, 1986)
The owner/operator must establish financial assurance for closure of the
facility oy choosing one of these options
(a) Post-closure trust fund
(b) Surety bond guarantee payment into a post-closure trust fund
(c) Post-closure letter of credit
(d) Post-closure insurance
(e) Financial test and corporate guarantee for post-closure care
(f) Use of multiple financial mechanisms
OSWER Dir. No. 9938.2A III-80 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart H - Sections 265.144 and 265.145
o Does the facility have the required copy of the cost estimate for post-
closure care on-site?
o Has a copy of the cost estimate for post-closure care and the
documentation of financial assurance for the post-closure care period
been reviewed?
The inspector should verify that the cost estimate includes third-party
closure costs and is updated within 30 days of any significant revisions to
the post-closure care plans or when the post-closure care plan is submitted to
EPA. Documentation of financial assurance for post-closure care is not
required to be kept at the facility and may be kept at a central or corporate
location. The inspector should ask which financial mechanism the
owner/operator has elected to use.
OSWER Dir. No. 9938.2A III-81 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart H - Financial Requirements
§265.147 Liability requirements (May 2, 1986)
(a) Coverage for sudden accidental occurrences must be maintained by the
owner/ operator as of November, 1985. Liability insurance may be demon-
strated in one of three ways;
(1) Hazardous Waste facility liability endorsement or by a Certificate
of Liability Insurance.
(2) Passing a financial test for liability
(3) A combination of the above
(b) Coverage for non-sudden accidental occurrences must be maintained for
land disposal units. The required liability insurance can be
demonstrated in one of three ways:
(1) Hazardous Waste Facility Liability Endorsement or by a Certificate
of Liability Insurance.
(2) Passing a financial test for liability
(3) A combination of the above.
(c) The owner/operator can request a variance and the RA may adjust the
required level of financial responsibility.
OSWER Dir. No. 9938.2A 111-82 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart H - Sections 265.147
o If a facility has lost its liability coverage, has the owner/operator
submitted the closure plan and stopped accepting wastes?
The inspector should note that proof of liability coverage does not have
to be onsite.
The owner/operator was required to submit documentation of liability
insurance to the Regional Administrator by November 8, 1985, or meet the
financial test requirements, obtain a waiver, or have a State guarantee.
Unless the facility has met one of there requirements, it has lost interim
status and must close. While many facilities lost interim status after that
date, many have not submitted closure plans. During the pre-inspection
review, documentation of liability insurance or a demonstration of meeting the
financial test should be verified. At facilities that have lost interim
status, the inspector should verify that the facility is no longer accepting
wastes, and that the closure plan, post-closure care plan (when applicable)
and cost estimates have been submitted. At facilities where EPA has approved
the plans, the inspector should verify that closure and post-closure
activities are being appropriately carried out.
OSWER Dir. No. 9938.2A III-83 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart I - Containers
§265.171 Condition of Containers (May 19, 1980)
If a container holding hazardous waste is not in good condition, the owner
or operator must transfer the hazardous waste from this container to a
container that is in good condition.
§265.172 Compatibility of waste with container (May 19, 1980)
The owner or operator must use a container made of, or lined with
materials which will not react with, the hazardous waste to be stored, so that
the ability of the container to contain the waste is not impaired.
§265.173 Management of containers (November 25, 1980)
(a) A container holding hazardous waste must always be closed during storage,
(b) A container holding hazardous waste must not be opened, handled, or
stored so that the container may rupture or leak.
§265.174 Inspections (May 19, 1980)
The owner or operator must inspect areas where containers are stored, at
least weekly, looking for leaks and for deterioration caused by corrosion or
other factors.
§265.176 Ignitable or reactive wastes (May 19, 1980)
Containers holding ignitable or reactive waste must be located at least 15
meters from the facility's property line.
§265.177 Special requirements for incompatible wastes (May 19, 1980)
(a) Incompatible wastes, must not be placed in the same container.
(b) Hazardous waste must not be placed in an unwashed container that
previously held an incompatible waste.
(c) A storage container holding a hazardous waste that is incompatible must
be separated from the other materials or protected from them by means of
a dike, berm, wall, or other device.
OSWER Dir. No. 9938.2A III-84 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart I
During an inspection of a container storage area, the inspector should
check the following areas:
o The security around the unit.
o The condition of the containers (leaks, deterioration or signs of
incompatibility such as swollen drums, corrosion or off-gassing).
o Whether there is sufficient aisle space.
o Dead vegetation or stains in the storage run-off area.
o Safety and emergency equipment.
o Does evidence of past spills correlate with the operating record?
o Are there any drums that are not stored in unauthorized area which are
apparent during a thorough walk through?
If the containers are storing ignitable or reactive waste and are located
within 15 meters of the property boundary but inside a structure, the
owner/operator should have a waiver from the local fire marshall. Even with a
waiver, the acceptability of this practice must be evaluated on a case-by-case
basis. Containers must be handled safely. . Check with the owner/operator on
how they handle the containers, i.e. by hand or fork truck.
The inspector should be aware that some States require secondary
containment of the storage area for generators accumulating wastes for less
than 90 days. See Section 264, Subpart I.
OStfER Dir. No. 9938.2A III-85 March 1988
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TABLE III-3 Interim Status Regulatory Rec ement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart J - Tanks
§265.190 Applicability (July 14, 1986)
These regulations apply to all tank systems used to store or treat
hazardous waste except:
(a) Tanks used for wastes without free liquids that are in a building
with an impermeable floor.
(b) Tanks, including sumps, that are part of a secondary containment
system.
The above tanks are exempted only from 265.193, secondary containment
requirements.
§265.191 Assessment of existing tank system's integrity (July 14, 1986)
(a) Existing tank systems without secondary containment (§265.193) must have
a written assessment certified by an independent, qualified registered
professional engineer (IQPRE) attesting to its integrity by January 12,
1988.
(b) The assessment must consider the following;
(1) Design standards.
(2) Characteristics of the waste.
(3) Existing corrosion protection.
(4) Documented age of system.
(5) Results of leak test, internal inspection or other integrity
exam.
(d) If the tank system is unfit for use, it must be taken out of service and
repaired or retrofitted appropriately before reuse, or replaced, in
compliance with 265.196.
§265.192 Design and installation of new tank systems or components
(July 14, 1986)
(a) New tank systems or components must be certified by an IQPRE for
structural integrity and compliance with design standards. All
components in contact with soil or water must be evaluated by a
corrosion expert.
(b) During the installation of a new tank system or component and prior to
its use, an IQPRE must inspect the system.
OSWER Dir. No. 9938.2A 111-86 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart J - Tanks
§265.192 Design and installation of new tank systems or components (continued)
(c) All back fill material must be non-corrosive, porous, and homogenous.
(d) All tanks and ancillary equipment must be tested for tightness.
(e) Ancillary equipment must be protected.
(f) The owner/operator must provide necessary corrosion protection.
(g) Written statements and certification for design, and installation must be
kept on file.
§265.193 Containment and detection of releases (July 14, 1986)
(a) Secondary containment must be provided as follows;
(1) All new tank systems or components prior to use.
(2) All existing tank systems handling dioxin wastes by January 12, 1989.
(3) Existing tank systems of known age by January 12, 1989 or by 15 years
of age, whichever comes later.
(4) For existing tank systems without documented age not later than
January 12, 1995, or, if the facility is greater than seven years
old, by the time the facility is 15 years old, or by January 12,
1989, whichever is later.
(5) Secondary containment systems must:
(1) Prevent migration of any wastes or accumulated liquids.
(2) Be capable of detecting and collecting any releases.
(c) The containment systems must be compatible with the wastes or liners,
prevent failure, provide leak detection and be designed to remove any
liquid.
(f) Ancillary equipment (such as pipes, sumps) must be provided with full
secondary containment.
(i) All tank systems must conduct a leak test at least annually until such
time as secondary containment meeting the requirements of this section is
provided. The results of such tests must be retained on file at the
facility.
OSWER Dir. No. 9938.2A 111-87 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart J - Tanks
§265.194 General Operating Requirements (July 14, 1986)
(a) Hazardous wastes may not be placed in a tank system if they can cause it
to fail.
(b) Spills and overflows must be prevented.
§265.195 Inspections (July 14, 1986)
(a) The owner/operator must inspect the following daily;
(1) Overfill and spill control equipment;
(2) Above ground positions of tank system;
(3) Data from monitoring and leak detection systems; and
(4) Area surrounding externally accessible portion of tank system.
(b) Cathodic protection systems must be inspected within 6 months after
installation and annually afterwards. Impressed current sources must be
tested bimonthly.
(c) ihe inspections must be documented in the operating record.
§265.196 Response to leaks and disposition of unfit tank systems
(July 14, 1986)
If there has been a leak or spill, or if the tank system is unfit for use,
the following must be done:
(a) Stop adding wastes;
(b) Remove waste from tank system;
(c) Contain visible releases;
(d) Report to RA as appropriate;
(e) Provide secondary containment or close; and
(f) Certify major repairs.
OSWER Dir. No. 9938.2A 111-88 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart J - Tanks
§265.197 Closure and post-closure care (July 14, 1986)
(a) At closure, the 0/0 must remove or decontaminate all material; or
(b) He can close as a landfill.
(c) For tanks without secondary containment, closure plans and financial
assurance must be prepared for both closure options.
§265.198 Special requirements for ignitable or reactive wastes (July 14, 1986)
(a) Ignitable or reactive waste must not be placed in a tank unless:
(1) The waste has been treated so that it is no longer ignitable or
reactive; or
(2) The tank is protected from conditions that may cause the waste to
ignite or react; or
(3) The tank is used only for emergencies; and
(b) The 0/0 maintains a protective distance between the waste and any public
ways or adjoining properties.
§265.199 Special requirements for incompatible wastes (July 14, 1986)
(a) Incompatible wastes must not be placed in the same tank system.
(b) Tanks must be decontaminated prior to holding incompatible wastes.
§265.200 Waste analysis and trial tests (July 14, 1986)
The owner or operator must, whenever a tank system is to be used to treat
or to store a hazardous waste that is substantially different from the waste
previously handled in that tank system; or treat the old waste with a
different process.
(a) Conduct waste analyses and trial treatment or storage tests.
(b) Obtain written documented information on similar waste under similar
operating conditions.
OSWER Dir. No. 9938.2A III-89 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart J - Tanks
§265.201 Special requirements for SQGs that accumulate waste in tanks
(July 14, 1986)
(a) The following requirements apply to small quality generators (between 100
kg and 1,000 kg per month) that accumulate hazardous waste in tanks for
less than 180 days (or 270 days if the waste is shipped over 200 miles),
and do not accumulate over 6,000 kg on-site at any time.
(b) Generators must comply with the following general operating requirements:
(2) Hazardous wastes must not be placed in a tank if they could cause it
to fail before the end of its intended life.
(3) Uncovered tanks must have at least 60 centimeters of freeboard.
(4) On tanks with a continuous feed, the tank must be equipped with a
means to stop this inflow.
(c) Generators must inspect:
(1) Discharge control equipment at least once each operating day;
(2) Data from monitoring equipment at least once each operating day;
(3) The level of waste in the tank at least once each operating day;
(4) The construction materials of the tank at least weekly; and
(5) The construction materials of and the area at least weekly.
(d) Upon closure of the facility, SQGs must remove all hazardous waste from
tanks, discharge control equipment, and discharge confinement structures.
(e) Generators must comply with requirements for ignitable or reactive waste.
(f) Generators must comply with above requirements for incompatible wastes
OSWER Dir. No. 9938.2A 111-90 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart J
o Is a written assessment on tank integrity provided for existing tanks by
January 12, 1988?
o Are new tanks are adequately designed and properly installed with appro-
priate documentation?
o Is secondary containment provided when required?
o Are inspection and record keeping requirements being met?
o Are spill and overfill prevention measures adequate and operational?
o Are annual assessments being completed?
The inspector should remember that the regulations which are applicable
to above-, on-, in-, and underground tanks that can be entered apply in
States without authorized RCRA programs only, unless a State amends its
statute. Requirements for the permitting of unenterable, underground tank
systems, new underground tank systems, and SQGs apply in all States. Detailed
inspection procedures are provided in the "Inspection Manual for Hazardous
Waste Storage and Treatment Tank Systems".
OSWER Dir. No. 9938.2A III-91 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A 111-92 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart K - Surface Impoundments
§265.221 Design requirements (July 15, 1985)
(a) The owner/operator of a. surface impoundment must install two or more
liners and a leachate collection system for each new unit, replacement
unit, or lateral expansion.
(b) The owner/operator of each unit must notify the RA at least sixty days
prior to receiving waste.
(c) If the owner/operator demonstrates that alternative design and operating
practices, together with location characteristics, will prevent the
migration of any hazardous constituent into the ground water or surface
water at least as effectively as such liners and leachate collection
systems, the requirements for such may be waived.
(d) The double liner requirement may be waived for any monofill if:
(1) The monofill contains wastes from foundry furnace emission controls
or metal casting molding sand, and are not EP toxic; and
(2) The monofill has at least one liner; and
(B) The monofill is located more than one-quarter mile from an
underground source of drinking water; and
(C) The monofill is in compliance with ground-water requirements.
§265.222 General Operating Requirements (April 23, 1985)
(a) A surface impoundment must have enough freeboard to prevent any
overtopping of the dike by overfilling, wave action, or a storm.
(b) A freeboard level less than 60 centimeters may be maintained if the
owner/operator obtains certification by a qualified engineer.
§265.223 Containment system (May 19, 1980)
All earthen dikes must have a protective cover.
§265.225 Waste analysis and trial tests (May 19, 1980)
Additional waste analyses are required when a surface impoundment is used to:
(1) Chemically treat a hazardous waste which is different from waste treated
previously
(2) Chemically treat hazardous waste with a different process.
OSWER Dir. No. 9938.2A III-93 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart K - Surface Impoundments
§265.226 Inspections (May 19, 1980)
(a) The owner/operator must inspect:
(1) The freeboard level at least once each operating day, and
(2) The surface impoundment at least once a week to detect any leaks,
deterioration, or failures in the impoundment.
§265.228 Closure and post-closure care (May 19, 1980)
(a) At closure, the owner/operator may elect to remove from the impoundment:
(1) Standing liquids;
(2) Waste and waste residues;
(3) The liner;
(4) Underlying and surrounding contaminated soil.
(b) If the owner/operator removes all the impoundment materials in the
impoundment it is not further subject to the requirements of this part.
(c) If the owner/operator does not remove all the impoundment materials, he
must close the impoundment and provide post-closure care as for a
landfill. If necessary to support the final cover, the o/o must treat
remaining contents by removal of liquids by drying, or other means.
§265.229 Special requirements for ignitable or reactive wastes (May 19, 1980)
Ignitable or reactive waste must not be placed in a surface impoundment
unless:
(a) The waste is treated, and:
(1) The resulting waste mixture no longer meets the definition of
ignitable or reactive waste; or the waste is managed so that it is
protected from any conditions which may cause it to ignite or react;
(2) The owner/operator obtains a certification that the design features
or operating plans of the facility will prevent i.inition or reaction
§265.230 Special requirements for incompatible wastes (May 19, 1980)
(a) Incompatible wastes must not be placed in the same Surface Impoundments.
OSWER Dir. No. 9938.2A III-94 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart K
o Is there adequate freeboard?
o Has any replacement or lateral expansion of a unit included the
installation of two or more liners and a leachate collection system?
In addition, has the Part B application been filed, or a waiver been
obtained?
o Does the waste analysis plan include procedures to determine treatability
or compatibility of wastes in surface impoundments?
The inspector should also remember that interim status surface impoundments
that continue to operate must be retrofitted with two liners and a leachate
collection system between the liners by November 8, 1988 unless it has an
existing liner with no evidence of leaks and no drinking wells nearby; the
impoundment is for aggressive biological treatment; or the o/o demonstrates no
migration.
OSWER Dir. No. 9938.2A III-95 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-96 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart L - Waste Piles
§265.251 Protection from wind (May 19, 1980)
The owner/operator must cover the pile or control wind dispersion.
§265.252 Waste analysis (May 19, 1980)
The owner/operator must analyze a representative sample of waste from each
incoming movement unless the wastes the facility receives which are amenable
to piling are comparable.
§265.253 Containment (July 26, 1982)
If leachate or run-off from a pile is a hazardous waste, then either:
(a)(l) The pile must be placed on a compatible impermeable base;
(2) The owner/operator must design, construct, operate, and maintain
a run-on control system capable of preventing flow onto the
active portion of the pile during peak discharge from at least a
25-year storm;
(3) The owner/operator must design, construct, operate, and maintain a
run-off management system to collect the water volume resulting
from a 24-hour, 25-year storm; and
(4) Collection and holding facilities must be emptied promptly;or
(b)(l) The pile must be protected from precipitation and run-on; and
(2) No liquids may be placed in the pile.
§265.254 Design requirements (July 15, 1985)
The owner/operator of a waste pile is subject to the requirements for
liners and leachate collection systems with respect to each new unit,
replacement of unit, or lateral expansion.
§265.256 Special requirements for ignitable or reactive wastes (May 19, 1986)
(a) Ignitable or reactive wastes must not be placed in a pile, unless:
(1) The waste or mixture no longer meets the definition of ignitable
or reactive waste;
(2) The waste is managed in such a way that it is protected from any
material or conditions which may cause it to ignite or react.
OSWER Dir. No. 9938.2A III-97 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart L - Waste Piles
§265.257 Special requirements for incompatible wastes (May 19, 1980)
(a) Incompatible wastes must not be placed in the same pile unless they do
not give off heat, vapors, fumes, etc.
(b) A pile of hazardous waste that is incompatible with any waste or other
material must be separated from the other materials, or protected from
them by means of a dike, berm, or other device.
(c) Incompatible hazardous waste must not be piled on the same area unless
that area has been decontaminated sufficiently.
§265.258 Closure and post-closure care (July 26, 1982)
(a) At closure, the owner/operator must remove or decontaminate all waste
residues, contaminated containment system components, contaminated
subsoils, and structures and equipment, and manage them as hazardous
waste.
(b) If the owner/operator finds that not all contaminated subsoils can be
practicably removed or decontaminated, he must close the facility and
perform post-closure care in accordance with the closure and post-closure
requirements that apply to landfills.
OStfER Dir. No. 9938.2A III-98 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart L
While inspecting a facility that uses waste pile(s) to manage wastes, the
inspector should evaluate the following areas:
o What is the impermeability of the base and is it compatible with the
waste?
o Is the run-off management system adequate?
o Are the evaluation and disposal method of contaminated runoff adequate?
o Do replacement units or lateral expansions have the required liners and a
leachate collection system?
o Is the method used to control wind dispersion (usually a tarp or location
inside a structure) adequate?
OStfER Dir. No. 9938.2A III-99 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart M - Land Treatment
§265.272 General operating requirements (April 23, 1985)
(a) Hazardous waste must not be placed in or on a land treatment facility
unless the waste can be made less hazardous or non hazardous by
degradation, transformation, or immobilization processes occurring in or
on the soil.
(b) The owner/operator must design, construct, operate, and maintain a run-on
control system capable of preventing flow onto the active portions of the
facility during peak discharge from at least a 25-year storm.
(c) The owner/operator must design, construct, operate, and maintain a run-
off management system capable of collecting and controlling a water
volume at least equivalent to a 25-year storm.
(d) Collection and holding facilities must be emptied or otherwise
expeditiously managed after storms.
(e) If the treatment zone contains matter subject to wind dispersal, the
owner/operator must control wind dispersal.
§265.273 Waste Analysis (May 19, 1980)
Before treating a hazardous waste at a land treatment unit, the o/o must:
(a) Determine the concentrations in the waste of any substances which exceed
the maximum concentrations of constituents that cause a waste to exhibit
the EP toxicity characteristic;
(b) For any waste listed, determine the concentrations of any substances
which caused the waste to be listed as a hazardous waste;
(c) If food chain crops are grown, determine the concentrations in the waste
of arsenic, cadmium, lead, and mercury.
§265.276 Food chain crops (April 1, 1983)
(a) An o/o of a land treatment unit on which food chain crops are being
grown, or have been or will be grown must notify the RA within 60 days.
(b)(l) Food chain crops must not be grown on the treated area of a land
treat mt facility unless the owner/operator can demonstrate, that any
arser, j, lead, mercury, or other constituents identified
(i) Will not be transferred to the food portion of the crop;
(ii) Will not occur in greater concentrations in crops grown on the land
treatment unit than in the same crops grown on untreated soils.
OSWER Dir. No. 9938.2A III-100 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart M - Land Treatment
§265.278 Unsaturated zone monitoring (May 19, 1980)
(a) The owner/operator must have in writing, and must implement, an
unsaturated zone monitoring plan which is designed to :
(1) Detect the vertical migration of hazardous waste constituents under
the active portion of the land treatment facility, and
(2) Provide information on the back-ground concentrations of the hazardous
waste constituents in untreated soils nearby;
(b) The unsaturated zone monitoring plan must include,
(1) Soil monitoring using soil cores, and
(2) Soil-pore water monitoring using devices such as lysimeters.
§265.279 Recordkeeping (July 26, 1982)
The operating record must include waste application dates and rates.
§265.280 Closure and post-closure care (July 26, 1982)
(a) In the closure plan and the post-closure plan, the owner/operator must
address the following objectives:
(1) Control of the migration of hazardous constituents into ground water;
(2) Control contaminated run-off from entering surface water;
(3) Control of the release of airborne particulate contaminants;
(4) The growth of food-chain crops.
(b) The o/o must address the following for closure and post-closure care:
(1) Type and amount of hazardous waste and constituents applied;
(2) The mobility and the expected rate of migration;
(3) Site location, topography, and surrounding land use;
(4) Climate;
(5) Geological and soil profiles and surface and subsurface hydrology;
(6) Unsaturated zone monitoring;
OSWER Dir. No. 9938.2A III-101 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart M - Land Treatment
(7) Type, concentration, and depth of migration of hazardous waste
constituents in the soil as compared to background.
(c) The owner/operator must consider
(1) Removal of contaminated soils;
(2) Placement of a final cover;
(3) Monitoring of ground water.
(d) During the closure period, the o/o of a land treatment facility must;
(1) Continue unsaturated zone monitoring specified in the closure plan;
(2) Maintain the run-on control;
(3) Maintain the run-off management system; and
(4) Control wind dispersal.
(e) When closure is completed the owner/operator must submit certification
from the owner/operator and by an independent qualified soil scientist.
(f) During post-closure care, the o/o of a land treatment unit must:
(1) Continue soil-core monitoring;
(2) Restrict access to the unit;
(3) Assure that growth of food chain crops complies;
(4) Control wind dispersal.
§265.281 Special requirements for ignitable or reactive wastes (July 26, 1982)
Ignitable or reactive waste must not be land treated unless:
(a) The waste is immediately incorporated into the soil so that the resulting
mixture, no longer is ignitable or reactive; and
(b) The waste is managed such that it is protected from any material or
conditions which may cause it to ignite or react.
§265.282 Special requirements for incompatible wastes
Incompatible wastes must not be placed in the same land treatment area
unless heat, vapors or fumes are not generated.
OSWER Dir. No. 9938.2A III-102 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart M
o Is the run-off management system adequate?
o Is the evaluation and disposal method of contaminated runoff adequate?
o Does the waste analysis plan include procedures to evaluate all
substances for which the applied waste was listed or is EP toxic?
o What is the type of cover crop being grown, particularly on closed units?
The inspector should note whether it could be, or is already being, used
as a food chain crop.
While inspecting a land treatment unit, the inspector should also consider
the following:
o Land treatment facilities operating under interim status may submit
existing operating data as part of the Land Treatment Demonstration
required under Part 264 permitting process, however, they cannot apply
any new waste as part of the demonstration under interim status without
obtaining a short-term or two phase permit.
o Some practices such as discharge into a septic field may qualify as land
treatment.
The inspector should refer to the "Permit Guidance Manual on Hazardous Waste
Land Treatment Demonstrations"
OSWER Dir. No. 9938.2A III-103 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart N - Landfills
§265.301 Design requirements (July 15, 1985)
(a) The owner or operator of a landfill must install two or more liners and
leachate collection systems above and between such liners each new unit
replacement unit, or lateral expansion.
(b) The owner or operator of each unit must notify the Regional Administrator
at least sixty days prior to receiving waste.
(c) The owner or operator may demonstrate that alternative design and
operating practices together with location characteristics, will prevent
the migration of any hazardous constituent into the ground water or
surface water at least as effectively as such liners and leachate
collection systems and the requirements may be waived.
(d) The double liner requirement may be waived for any monofill, if:
(1) The monofill contains only hazardous wastes from foundry furnace
emission controls or metal casting molding sand, and is not EP toxic.
(2)(i)(A) The monofill has at least one liner;
(B) The monofill is located more than one-quarter mile from a well; and
(C) The monofill complies with ground-water monitoring requirements.
§265.302 General operating requirements (April 30, 1985)
(a) The owner or operator must design, construct, operate, and maintain a
run-on control system capable of preventing flow onto the active portion
of the landfill during peak discharge from at least a 25-year storm.
(b) The o/o must design, construct operate and maintain a run-off management
system to collect and control volume from a 24- hour, 25-year storm.
(c) Collection and holding facilities must be emptied expeditiously.
(d) The o/o of a landfill subject to wind must control wind dispersal.
§265.309 Surveying and record keeping (May 19, 1980)
The o/o of a landfill must maintain the following in the operating record:
(a) A map of the exact location, dimensions, and depth of each cell; and
(b) The contents of each cell and the location of each hazardous waste type
within each cell.
OSWER Dir. No. 9938.2A III-104 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart N - Landfills
§265.310 Closure and post-closure care (April 23, 1985)
(a) At final closure of the landfill or of any cell, the o/o must cover the
landfill or cell with a final cover designed and constructed to:
(1) Provide long-term minimization of migration of liquids through the
closed landfill;
(2) Function with minimum maintenance;
(3) Promote drainage and minimize erosion;
(4) Accommodate settling; and
(5) Have a permeability less than or equal to the permeability of any
bottom liner.
(b) After final closure, the owner/operator must comply with all post closure
requirements:
(1) Maintain the integrity and effectiveness of the final cover;
(2) Maintain and monitor the ground-water monitoring system;
(3) Prevent run-on and run-off from damaging the final cover; and
(4) Protect and maintain surveyed benchmarks.
§265.312 Special requirements for ignitable or reactive wastes (July 26, 1982)
(a) Ignitable or reactive waste must not be placed in a landfill, unless the
waste is treated so that the resulting mixture is no longer ignitable or
reactive.
(b) Ignitable wastes in containers may be landfilled provided that the wastes
are disposed of such a way that they are protected from any material or
conditions which may cause them to ignite.
§265.313 Special requirements for incompatible wastes (May 19, 1980)
Incompatible wastes must not be placed in the same landfill cell.
OSWER Dir. No. 9938.2A III-105 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart N - Landfills
§265.314 Special requirements for bulk and containerized liquids (May 28,1986)
(b) Effective May 8, 1985, the placement of bulk or non-containerized liquid
hazardous waste or hazardous waste containing free liquids is prohibited.
(c) Containers holding free liquids must not be placed in a landfill unless:
(1) All free standing liquid has been removed; or
(2) The container is very small; or
(3) The container is designed to hold free liquids; or
(4) The container is a lab pack.
(d) To demonstrate the absence or free liquids, the Paint Filter Liquids Test
must be used.
§265.315 Special requirements for containers (April 23, 1985)
Unless they are very small, containers must be either;
(a) At least 90 percent full; or
(b) Crushed, shredded, or similarly reduced in volume.
§265.316 Disposal of small containers of hazardous waste in overpack drums
(November 17, 1981)
Small containers of hazardous waste in overpacked drums (lab pack) may be
placed in a landfill if:
(a) Hazardous waste is packaged in non-leaking inside containers;
(b) The inside containers are overpacked in an open head DOT-specification
metal shipping container;
(c) The absorbent material used is not capable of reacting dangerously,
being decomposed by, or being ignited by, the contents;
(d) Incompatible wastes, are not be placed in the same outside container; and
(e) Reactive wastes are be treated
OSWER Dir. No. 9938.2A III-106 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart N
o Is the map providing the location and cell dimensions, and the contents
of each cell adequate?
o Is the evaluation and disposal method of contaminated runoff adequate?
o What is the integrity of the final cover during the post-closure period?
o Is the maintenance of the ground-water monitoring system adequate?
While inspecting a landfill, the inspector should also remember that any
replacement or lateral expansion of a unit requires two or more liners and a
leachate collection system plus the filing of a Part B application (or the
attainment of a waiver).
OSWER Dir. No. 9938.2A III-107 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart 0 - Incineration
§265.341 Waste analysis (May 19, 1980)
The owner or operator must analyze any waste not previously burned to
enable him to establish steady state operating conditions and to determine the
type of pollutants which might be emitted. The analyses must determine:
(a) The heating value of the water;
(b) The halogen content and sulfur content in the waste; and
(c) The concentrations of lead and mercury in the waste.
§265.345 General operating requirements (May 19, 1980)
During start-up and shut-down of an incinerator, the owner or operator
must not feed hazardous waste unless the incinerator is at steady state
conditions.
§265.347 Monitoring and inspections (June 24, 1982)
The owner or operator must conduct the following monitoring and
inspections:
(a) Existing instruments which relate to combustion and emission control
must be monitored at least every 15 minutes.
(b) The complete incinerator and associated equipment must be inspected at
least daily.
§265.351 Closure (May 19, 1980)
At closure, the owner or operator must remove all hazardous waste and
hazardous waste residues from the incinerator.
§265.352 Interim status incinerators burning particular hazardous wastes
January 14, 1985)
(a) Interim status incinerators may burn dioxin bearing wastes only if they
receive certification and meet performance standards.
OSWER Dir. No. 9938.2A III-108 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart 0
While inspecting an incinerator, the inspector should check the following
areas:
o Waste types, particularly dioxin containing wastes.
o Feed rates and operating conditions.
o Ash handling and ultimate disposal.
OSWER Dir. No. 9938.2A III-109 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart P - Thermal treatment
§265.373 General operating requirements (May 19, 1980)
Before adding hazardous waste, the owner or operator must bring his
thermal treatment process to steady state conditions.
§265.375 Waste analysis (May 19, 1980)
The owner or operator must sufficiently analyze any waste which he has not
previously treated to enable him to establish steady state operating
conditions. The analysis must determine:
(a) The heating value of the waste;
(b) The halogen content and sulfur content in the waste; and
(c) The concentrations of lead and mercury in the waste.
§265.377 Monitoring and inspections (May 19, 1980)
The o/o must conduct the following monitoring and inspections:
(1) Existing instruments which relate to temperature and emission control
must be monitored at least every 15 minutes.
(2) The stack plume must be observed visually at least hourly for normal
appearance.
(3) The complete thermal treatment process and associated equipment must
be inspected at least daily.
§265.381 Closure (May 19, 1980)
At closure, the owner or operator must remove all hazardous waste and
hazardous waste residue from thermal treatment process or equipment.
§265.382 Open burning; waste explosives (May 19, 1980)
Open burning of hazardous waste is prohibited except for the open burning
and detonation of waste explosives.
§265.383 Interim status thermal treatment devices burning particular
hazardous wastes (January 14, 1985)
Interim status thermal treatment devices may burn dioxin - bearing wastes
only if they receive certification and meet performance standards.
OSWER Dir. No. 9938.2A III-110 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart P
While inspecting a thermal treatment unit, the inspector should consider
the following areas:
o Waste types being treated.
o Operating conditions.
o Residue handling and ultimate disposal.
OSWER Dir. No. 9938.2A III-111 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-112 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart Q - Chemical, Physical and
Biological Treatment
§265.400 Applicability (May 19, 1980)
The following regulations apply to units which treat hazardous wastes by
chemical,'physical or biological methods other than tanks, surface
impoundments and land treatment. Treatment in tanks, surface impoundments and
land treatment units are covered in Subparts J, K and M respectively.
§265.401 General operating requirements (May 19, 1980)
(a) Chemical, physical, or biological treatment of hazardous waste must not
generate heat, fumes, or vapors.
(b) Hazardous wastes or treatment reagents must not be placed in the
treatment process or equipment if they could cause the treatment process
to fail before the end of its intended life.
(c) Where hazardous waste is continuously fed into a treatment process, the
process must be equipped with a means to stop this inflow.
§265.402 Waste analysis and trial tests (May 19, 1980)
Additional analysis is required whenever:
(1) A hazardous waste is substantially different from waste previously
treated; or
(2) A substantially different process is to be used. The addition
analysis consists of:
(i) Conducting waste analyses and trial treatment tests.
(ii) Obtaining written, documented, information on similar treatment
experience.
§265.403 Inspections (May 19, 1980)
(a) The owner or operator of a treatment facility must inspect:
(1) Discharge control and safety equipment at least once each operating
day;
(2) Data gathered from monitoring equipment at least once each operating
day;
OSWER Dir. No. 9938.2A III-113 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart Q - Chemical, Physical and
Biological Treatment
§265.403 Inspections (continued)
(3) The construction materials of the treatment process or equipment, at
least weekly; and
(4) The construction materials of, and the area immediately surrounding,
at least weekly.
§265.404 Closure (May 19, 1980)
At closure, all hazardous waste and hazardous waste residues must be
removed from treatment processes or equipment.
§265.405 Special requirements for ignitable or reactive wastes
(May 19, 1980)
(a) Ignitable or reactive waste must not be placed in a treatment process
unless the waste is treated so that the resulting mixture is no longer
ignitable or reactive.
§265.406 Special requirements for incompatible wastes (May 19, 1980)
(a) Incompatible wastes, must not be placed in the same treatment process.
(b) Hazardous waste must not be placed in unwashed treatment equipment which
previously held an incompatible waste.
OSWER Dir. No. 9938.2A III-114 March 1988
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TABLE III-3 Interim Status Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart Q
While inspecting a chemical, physical or biological treatment unit, the
inspector should consider the following areas:
o Waste types being treated.
o Operating conditions.
o Residue handling and ultimate disposal.
o Whether other emissions such as gases, vapors, or mists, or any odor
causing substances are present.
o Records that show the treatment is working.
o Remember that treatment in tanks, surface impoundments and land
treatment units are not covered by Subpart Q.
OSWER Dir. No. 9938.2A III-115 March 1988
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Part 264
Permitted Units
Inspection procedures should be developed from Chapter Three (refer
back), and/or from procedures presented in Part 265.
OSWER Dir. No. 9938.2A III-117 March 1988
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TABLE III - 4 Permitted Unit Regulatory Requirement Synopsis
Regulatory Requirement Synopsis - Subpart B - General Facility Standards
§264.10 through §264.17(b) are similar to Part 265 requirements.
§264.17(c) Requirements for Ignitable, Reactive or Incompatible wastes
(July 31, 1985)
When a facility must comply with the general requirements, permitted
facilities must document such compliance.
§264.18 Location standards (July 15, 1985)
(a) Portions of new permitted facilities must not be located within 61 meters
of a fault which has had displacement in Holocene time.
(b) A facility located in a 100 year flood plain must be designed,
constructed, operated, and maintained to prevent washout unless the waste
can be removed, no adverse effects will result if washout occurs.
(c) Placement of any non-containerized or bulk liquid waste in any salt dome
formation, salt bed formation, underground mine or cave is prohibited.
OSWER Dir. No. 9938.2A 111-118 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart B
The inspector should remember that:
o General inspection requirements for permitted facilities are usually
the same as for interim status facilities.
o Compliance with location standards should be verified during the permit
process.
OSWER Dir. No. 9938.2A III-119 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart C - Preparedness and Prevention
Subpart D - Contingency Plan and Emergency
Procedures
Subpart E - Manifest System, Recordkeeping
and Reporting
Subpart H - Financial Requirements
Subpart C requirements are similar to Part 265 Subpart C requirements.
Subpart D requirements are similar to Part 265 Subpart D requirements.
Subpart E, §265.70 through §265.72 are similar to Part 265 requirements.
§264.73 Operating record requirements are similar to 265 except as given
below:
The operating record must contain the following:
(7) notices to generators of appropriate permits.
(9) annual certification that a program is in place to reduce toxicity
and volume of hazardous waste generated by the permittee.
Subpart E, §265.74 through §265.77 are similar to Part 265 requirements.
Subpart H requirements are similar to Part 265 Subpart H requirements.
OSWER Dir. No. 9938.2A III-120 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subparts C, D, E and H
The inspector should remember that:
o General inspection requirements for permitted facilities are the
usually the same as for interim status facilities.
o Permitted facilities are required to include notices to generators
of appropriate permits and annual certification that a waste
minimization program is in place in their operating record, whereas
interim status facilities are not required to do so.
o Owner/operators may obtain waivers from the Regional Administrator (RA)
from aisle space and emergency equipment requirements.
OSWER Dir. No. 9938.2A III-121 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
OSWER Dir. No. 9938.2A III-122 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart F - Release from Solid Waste
Management Units
§264.90 Applicability (July 15, 1985)
These regulations apply to owner/operators of facilities that treat, store
or dispose of hazardous waste unless he is exempt or operates a unit which is
an engineered structure, does not receive or contain liquids, has both inner
and outer layers of containment, a leak detection system(s) which will be
maintained and will not allow hazardous constituents to migrate beyond the
outer layer.
Owner/operators of land treatment units with treatment zones that do not
contain levels of constituents above background can eliminate post-closure
care requirements. The post-closure care requirements also do not apply to
waste piles meeting design standards and to units where there is no potential
for migration into the uppermost aquifer.
§264.91 Required programs (May 19, 1980)
All facilities covered under these regulations must conduct a detection
monitoring program unless hazardous constituents are detected at the
compliance point. In this case, the owner/operator would conduct a compliance
monitoring program. If ground water standards are exceeded, a corrective
action program must be started.
§264.92 Ground-water protection standard (May 19, 1980)
The RA will establish the ground water protection standard in the facility
permit.
§264.93 Hazardous constituents (April 1, 1983)
The RA will specify in the permit the hazardous constituents to which the
standard applied.
§264.94 Concentration limits (April 1, 1983)
The RA will specify in the permit the concentration limits.
§264.95 Point of compliance (May 19, 1980)
The RA will specify the point of compliance in the permit. The POC is a
vertical surface located at the hydraulically downgradient limit of the waste
management area that extends into the uppermost aquifer.
§264.96 Compliance period (May 19, 1980)
The compliance period is equal to the number of years in the active life
of a unit and is specified in the permit by the RA.
OSWER Dir. No. 9938.2A III-123 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart F - Release from Solid Waste
Management Units (Continued)
§264.98 Detection monitoring program (January 31, 1985)
The owner/operator must monitor for indicator parameters that provide a
reliable indication of the presence of a release to the ground water. The RA
will specify the parameters in the permit.
The owner/operator must install a monitoring system at the compliance
point and establish background levels for the parameters of concern. The o/o
must monitor semiannually and statistically evaluate any increase or pH
changes. If there is a significant increase, he must notify the RA within 7
days. If detection monitoring indicates a release, the 0/0 must go to
compliance monitoring and obtain a permit modification.
§264.99 Compliance monitoring program (January 31, 1985)
The o/o must determine whether the regulated units are in compliance with
the ground water protection standard. The o/o must determine the concen-
tration hazardous constituents in the ground water at least quarterly. The o/o
must determine the flow rate and direction in the uppermost aquifer, and
analyze for all Appendix IX at least annually. If there is a statistically
significant difference between the observed concentration and the groundwater
protection standard for each constituent, the o/o shall notify the RA and
apply to make the permit changes necessary for a corrective action program.
§264.100 Corrective action program (January 31, 1985)
The owner/operator must implement a corrective action program that
prevents hazardous constituents from exceeding their ground-water protection
standard by removing or treating. A ground-water monitoring program that can
demonstrate the effectiveness of the program must be implemented. The o/o can
terminate corrective action measures if he can demonstrate that the ground-
water protection standard has not been exceeded for 3 consecutive years.
§264.101 Corrective action for solid waste management units (July 15, 1985)
The o/o of a facility must implement corrective action for releases that
affect human health and the environment from any solid waste management unit.
Corrective action required will be specified in the permit.
OSWER Dir. No. 9938.2A III-124 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart F
The inspector should consider the following:
o Is the owner/operator doing detection or compliance monitoring?
o Are all constituents specified in the permit being monitored?
o Are complete Appendix IX scans and ground-water flow rate and direction
evaluations being done as frequently as specified in the permit for
compliance monitoring programs?
o Does the ground-water monitoring program follow proper procedures
for sample collection, sample preservation and shipment and chain of
custody?
o Does monitoring data show that either background or the ground water
protection standard have been exceeded? Have the statistical
evaluations been done?
o Has an RFA been performed? If not you may look at any or all
Solid Waste Management Units on site.
o Is the facility under corrective action? If so, are the compliance
schedules being met?
Identification of releases from solid waste management units will be
done during a RCRA Facility Assessment. "RCRA Facility Assessment Guidance
Manual" is available as a reference.
OSWER Dir. No. 9938.2A III-125 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart G - Closure and Post-closure
§264.110 Applicability (May 19, 1980)
(b)(2) Post-closure requirements apply to surface impoundments and waste
piles even if they remove all waste at closure
§264.112 Closure plan; amendment of plan (May 19, 1980)
(c) The owner/operator may request a permit modification to amend the
closure plan any time prior to closure when changes occur that will
affect the closure of the unit
§264.113 through §264.117 are similar to Part 265 requirements
§264.118 Post-closure plan; amendment of plan (May 19, 1980)
(d) The owner/operator may request a permit modification to amend the post
closure plan any time during the active life or the post-closure care
period when changes occur that will affect post-closure care
§264.119 through §264.120 are similar to Part 265 requirements
OSWER Dir. No. 9938.2A 111-126 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart G
o Have any amendments in closure or post-closure plans been accompanied by
a request for a permit modification?
o Have post-closure plans been completed for waste piles and surface
impoundments even though they will not be closed as a landfill, as
required?
OSWER Dir. No. 9938.2A III-127 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart I - Use and Management of
Containers
§264.170 through §264.174 are similar to Part 265 requirements
§264.175 Containment (May 19, 1980)
(a) (b) Container storage areas must have a containment system designed
and operated as follows:
(1) Impervious base, free of cracks;
(2) Sloped or designed to drain off leaks, spills or precipitation
unless containers are elevated;
(3) System must be able to contain 10% of the volume of the free
liquids in all containers or the largest container, which ever is
greater;
(4) Run-on must be prevented unless the system has capacity to contain
excess liquid;
(5) Accumulated liquid and waste must be removed in a timely manner.
(c) Container storage areas that do not hold wastes with free liquid do
not need a containment system, except for F020, F022, F023, F026 and
F027, which must always have a containment system which meet number 2
given above.
§264.176 and §264.177 are similar to Part 265 requirements
§264.178 Closure (May 19, 1980)
At closure, all hazardous wastes and associated residues must be removed
from the containment system
OSWER Dir. No. 9938.2A III-128 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart I
o Is the containment system free from cracks, gaps or other signs of
deterioration and without any standing liquids (unless recent
precipitation or spills have occurred)? How long has precipitation been
there?
o Does the containment system have sufficient excess capacity to collect
precipitation and run-on and still meet the 10% requirement for free
liquids?
o Is the evaluation and disposal method of any contained liquid within the
containment system adequate?
o After closure, has the decontamination of the containment system been
documented?
OSWER Dir. No. 9938.2A III-129 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart J - Tank Systems
§264.190 through §264.199 are identical to §265.190 through §265.199
OSWER Dir. No. 9938.2A III-130 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart J
The inspector should remember that:
o The regulations applicable to above-, on-, in-, and underground tanks
that can be entered apply in States without authorized RCRA Programs
only, unless a State amends its statute. Requirements for unenterable,
underground tank systems and leak detection requirements for all new
underground tank systems apply in all States.
OSWER Dir. No. 9938.2A III-131 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart K - Design of Surface Impoundments
§264.221 Design and operating requirements (July 15, 1985)
(a) Any surface impoundment that is not a new, a replacement or a lateral
expansion must have a liner that is designed, constructed and
installed to prevent any migration out of the impoundment during its
active life.
(b) Waivers may be obtained from the Regional Administrator for (a).
(c) New surface impoundments, replacements or lateral expansions must have
two or more liners and a leachate collection system between liners.
(d) Other liner designs can be used if they are demonstrated to be as
effective as (c) and approved by the Regional Administrator.
(e) Waivers may be obtained from the Regional Administrator for (c).
(f) A surface impoundment must be designed, constructed, maintained and
operated to prevent overtopping, overfilling, wind and rain action,
run-on, malfunction, and human error.
(g) Dikes must be designed, constructed and maintained to prevent massive
failure.
(h) The permit will specify all the requirements.
OSWER Dir. No. 9938.2A III-132 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart K - Section 264.221
o What is the maintenance and condition of the dikes and any other visible
portions of the surface impoundment?
o Is there any evidence of overtopping or other types of releases?
OSWER Dir. No. 9938.2A III-133 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart K - Monitoring and Inspection
§264.226 Monitoring and inspection (July 15, 1985)
(a) During construction and installation, liners and cover systems must
be inspected for damage and imperfections
(b) While the surface impoundment is in operation, it must be inspected
weekly and after storms for:
malfunctions or improper operation of overtopping controls
sudden drops in the level of contents
erosion or other signs of deterioration
(c) The owner/operator must obtain certification of structural integrity
OSWER Dir. No. 9938.2A . III-134 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart K - Section 264.226
o Has all documentation of inspections during construction and installation
been reviewed?
o Has documentation of inspections and adequate inspection procedures been
properly undertaken?
OSWER Dir. No. 9938.2A III-135 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart K - Emergency Repairs; Contingency
Flans
§264.227 Emergency repairs; contingency plans (July 15, 1985)
(a) A surface impoundment must be removed from service if the liquid
level drops without a known reason or a dike leaks
(b) If an above condition occurs, the owner/operator must immediately
o shut off inflow
o stop leaks and contain surface leakage
o take measures to prevent catastrophic failure
o if leak cannot be stopped, empty the impoundment and notify RA
within 7 days
(c) Contingency plan must specify procedure to meet requirements of (b)
(d) Once an impoundment is removed from service due to leak or failure,
and prior to returning to service, the appropriate repair must be
certified
(e) Once an impoundment is removed from service due to leak or failure and
is not to be repaired; it must be closed.
OSWER Dir. No. 9938.2A .111-136 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart K - Section 264.227
o Is there evidence of a leak or failure in the operating record?
o Was the contingency plan followed and was it adequate to contain any
releases in a timely manner?
o After a leak or other failure, is the unit being repaired or is it
closing?
OSWER Dir. No. 9938.2A III-137 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart K - Closure and Post-closure Care
§264.228 Closure and Post-closure Care (July 15, 1985)
(a) At closure, the owner/operator must either
(1) remove or decontaminate all residues, equipment, subsoils and
system components, or
(2) eliminate free liquid and solidify wastes so that it will support
a final cover
(b) If some waste residues are left in place upon closure, the
owner/operator must comply with post-closure requirements and maintain
the effectiveness of the final cover and the integrity of the ground-
water monitoring system.
(c) If an owner/operator plans to close under (a)(l), he still must have
a contingent post-closure plan in case he cannot remove all the
contaminated material. Cost estimates must also be provided for post-
closure care.
§264.229 through §264.231 are similar to Part 265 requirements
OSWER Dir~ No. 9938.2A III-138 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart K - Section 264.228
o Has the facility elected to clean close or to close as a landfill?
o If the facility is closing by removing or decontaminating all material,
can he document this? If not, has the owner/operator implemented the
contingent closure and post-closure plans?
o If the surface impoundment is closing with material in place, is the
impoundment free of standing water and will (does) it support a cover?
OSWER Dir. No. 9938.2A III-139 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart L - Design of Waste Piles
§264.251 Design and operating requirements (January 31, 1985)
(a) A waste pile must have a liner and a leachate collection system
(b) A facility may be exempt from (a) if it can prove its design char-
acteristics will prevent migration of hazardous constituents into
ground water
(c) Run-on must be diverted around the active portion of the pile
(d) Run-off must be collected and controlled
(e) Collection and holding facilities must be emptied after storms
(f) Waste piles must be maintained in a manner that prevents dispersal
of particulates by wind
§264.254 Monitoring and inspection (July 15, 1985)
(a) During construction, liners and covers must be inspected for defects
(b) Waste piles must be inspected weekly for deterioration, proper control
of run-on and runoff, control of wind dispersal, and the proper
function of leachate collection systems
§264.256 and §264.257 are similar to Part 265 requirements
§264.259 Special requirements for hazardous wastes F020, F021, F022
F023, F026 and F027 (January 14, 1985)
The hazardous wastes listed above (dioxin containing) must not be
placed in a waste pile that is not enclosed unless the pile is operated
with a management plan approved by the RA.
OSWER Dir. No. 9938.2A III-140 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart L - Section 264.251, 264.254 and 264.259
o Is the removal of collected run-off a short time after storms being
properly done?
o Is the evaluation and disposal of the run-off and leachate adequate?
o Has documentation of inspections conducted during construction been
located and properly reviewed?
o Has documentation of weekly operational inspections been properly
completed?
OSWER Dir. No. 9938.2A III-141 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart L - Closure and Post-closure Care
§264.258 Closure and post-closure care (May 19, 1980)
(a) At closure, the owner/operator must remove or decontaminate all
residues, equipment, subsoils and system components
(b) If some waste residues are left in place upon closure, the
owner/operator must close the facility and comply with post-closure
requirements that apply to landfills
(c) The owner/operator of a waste pile that does not comply with the
liner requirements and is not exempt must have a contingent post-
closure plan in case he cannot remove all the contaminated material,
Cost estimates must also be provided for post-closure care.
OSWER Dir. No. 9938.2A III-142 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart L - Section 264.258
o Can the owner/operator document the removal or decontamination of all
material? If not, has the owner/operator implemented the contingent
closure and post-closure plans?
OSWER Dir. No. 9938.2A III-143 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart M - Land Treatment
§264.271 Treatment program (January 31, 1985)
(a) A land treatment program must be established that ensures that haz-
ardous constituents placed in the treatment zone are degraded, or im-
mobilized within the zone
(b) The RA will specify in the permit the hazardous constituents that must
be degraded, immobilized, or transformed.
(c) The RA will specify vertical and horizontal dimensions of the treat-
ment zone
§264.272 Treatment demonstration (April 1, 1983)
(a) For each waste that will be applied to the treatment zone, the owner/
operator must demonstrate that hazardous constituents in the waste can
be completely degraded, transformed, or immobilized in the treatment
zone
(b) In making this demonstration, the 0/0 may use field tests, laboratory
analyses, available data, or operating data
(c) Field or laboratory data must accurately simulate operating
conditions, must show that the waste will be properly degraded, and
must be conducted to protect human health and the environment
§264.273 Design and operating requirements (January 31, 1985)
(a) The owner/operator must design, construct and operate to maximize
degradation, transformation and immobilization.
(b)(c)(d)(f) The owner/operator must design, construct and operate to
minimize run-on and control run-off and wind dispersal.
(e) Any collection basins for run-on, run-off or precipitation must be
emptied expeditiously.
OSWER Dir. No. 9938.2A III-144 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart M - Section 264.271 through 264.272
o Has the owner/operator obtained either a short-terra or two phase permit
if he is conducting laboratory or field tests as part of the land
treatment demonstration?
o Removal of collected run-off and run-on in a short time after storms.
o Evaluation and disposal of the collected run-off.
o Is the facility complying with the application rates and waste types
specified in the permit?
OSWER Dir. No. 9938.2A III-145 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart M - Land Treatment
§264.278 Unsaturated zone monitoring (January 31, 1985)
(a) The owner/operator must monitor the soil and soil-pore liquid to
determine whether any hazardous constituents migrate out of the
treatment zone
(b) The owner/operator must install an unsaturated zone monitoring system
at a sufficient number of sampling points to yield samples that are
representative background soil-pore liquid quality and the quality
of soil-pore liquid below the treatment zone
(c) Background must be established for each hazardous constituent
(d) Soil monitoring and soil-pore liquid monitoring must be conducted
directly below the treatment zone
(e) Consistent sampling and analysis procedures must be used
(f) The owner/operator must determine when a statistically significant
change occurs over background
(g)(h)The RA must be notified when a significant change is found that is
not due to error or other sources
§264.279 Recordkeeping (January 31, 1985)
Hazardous waste application dates and rates must be included in the
operating record.
§264.283 Special requirements for hazardous wastes F020, F021, F022
F023, F026 and F027
The hazardous wastes listed above (dioxin containing) must not be
placed in a land treatment unit unless approved by the RA.
OSWER Dir. No. 9938.2A III-146 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart M - Section 264.278, 264.279 and 264.283
o Is the soil-pore liquid and soil monitoring being conducted according
to the procedures and frequency specified in the permit?
The inspector should refer to the "Permit Guidance Manual on Hazardous Waste
Land Treatment Demonstrations" for a complete discussion of land treatment
units.
OSWER Dir. No. 9938.2A III-147 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart M - Closure and Post-closure Care
§264.280 Closure and post-closure care (May 19, 1980)
(a) (1&2) During the closure period, the owner/operator must continue
all operations necessary to maximize degradation,
transformation or immobilization of hazardous constituents
within the treatment zone, and to minimize runoff
(3&4) Maintain run-on control and runoff management systems
(5) Control wind dispersal of hazardous waste
(6&7) Continue to comply with prohibitions (limitations) on growing
food chain crops and to monitor the unsaturated zone
(8) Establish vegetative cover
(b) Notify RA after closure is complete and provide certification
(c) (1) During the post-closure care period, the owner/operator must
continue all operations consistent with post-closure care
activities
(2,3&4) Maintain a vegetative cover, run-on control and runoff
management systems
(5) Control wind dispersal of hazardous waste
(6&7) Continue to comply with prohibitions (limitations) on growing
food chain crops and to monitor the unsaturated zone
(d) If the owner/operator can demonstrate that the levels of hazardous
wastes left in the soil does not exceed background, post closure
care is not required
\
OSWER Dir. No. 9938.2A III-148 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart M - Section 264.280
o The system must still be operated and maintained to promote further
degradation, immobilization and transformation during closure and post-
closure care.
o Certification of closure must be provided by an independent soil
scientist.
o Vegetative cover must be established unless the background levels of
wastes remaining in the soil have not been exceeded.
OSWER Dir. No. 9938.2A III-149 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart N - Landfills
§264.301 Design and operating requirements (July 15, 1985)
(a) Landfills not regulated under (c) below or interim status must have
a liner and a leachate collection system above the liner
(b) A landfill may be exempt from (a) if the owner/operator can
demonstrate that an alternate design and location characteristics
prevent migration
(c) New or expanded facilities need two or more liners and a leachate
collection system above and between the liners
(d) A landfill may be exempt from (c) if the owner/operator can
demonstrate that an alternate design and location characteristics
prevent migration
(e) The double liner requirement can be waived for monofills by the RA
(f) Run-on flow must be controlled
(g) Runoff must be diverted from active portions
(h) Collection or holding facilities must be emptied after storms
(i) Wind dispersal of particulates must be controlled
§264.303 Monitoring and inspection (July 15, 1985)
(a) Liners and cover systems must be inspected during and after con-
struction for defects or imperfections
(b) Landfills must be inspected for deterioration and malfunctions and
properly functioning leachate collection systems weekly during
operation and after storms
§264.310 Closure and post-closure (July 15, 1985)
(c) Any leak detected during post-closure must be reported to the RA
within 7 days
§264.316 Special requirements for hazardous wastes F020, F021, F022
F023, F026 and F027 (January 14, 1985)
The hazardous wastes listed above (dioxin containing) must not be placed
in a landfill unless approved by the RA.
OSVER Dir. No. 9938.2A III-150 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart N - Section 264.301 through 264.316
o Is the owner/operator conducting the inspections as required? Are the
leachate collection systems functioning properly?
OSWER Dir. No. 9938.2A III-151 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart 0 - Incinerators
§264.341 Waste Analysis (January 31, 1985)
(a) The owner/operator must include a waste feed analysis in Part B
applications
(b) Waste analysis must be conducted throughout normal operations
§264.342 Principal organic hazardous constituents (April 1, 1983)
(a) POHCs must be treated to performance standards
(b) One or more POHCs will be specified in the permit for each waste
burned
§264.343 Performance standards (January 14, 1985)
(a) Destruction and removal efficiency (DRE) must equal 99.99% for each
POHC and 99.9999% for POHC from dioxin containing listed wastes
(b) Stack emissions of HCL must not exceed 1.8 kg/hr or 1 percent of
the acid in the gas prior to emissions control
(c) Incinerators must not emit greater than 180 mg/dry std cubic meter of
particulate matter
(d) Inability to meet the performance standards of this section, despite
compliance with permit conditions, may be taken as information
justifying modifications, revocation, or reissuance of a permit
§264.344 Hazardous waste incinerator permits (January 31, 1985)
(a) Wastes must only be burned as authorized in the permit except for
trial burns and if the waste is exempted by the RA
OSWER Dir. No. 9938.2A III-152 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart 0 - Sections 264.341 through 264.344
o Have DREs for each POHC been demonstrated?
o Do the analyses of the waste feed show that it is the same as that
specified in permit?
o Does compliance with the operating conditions ensure compliance with the
performance standards? If not, a new trial burn could be ordered.
OSWER Dir. No. 9938.2A III-153 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Regulatory Requirement Synopsis - Subpart 0 - Incinerators
§264.345 Operating requirements (January 31, 1985)
(a) an incinerator must be operated under the requirements specified
in the permit
(b) for each waste feed, the permit will specify acceptable operating
conditions
(c) during start-up or shut-down, hazardous wastes must not be incinerated
unless operating conditions are met
(d) fugitive emissions must be controlled in the combustion zone
(e) incinerators must have automatic waste feed shut-off systems when
conditions deviate from limits including CO, waste feed rate,
temperature, or combustion gas velocity indicators
(f) incinerators must cease operation when limits in the permit are
exceeded
§264.347 Monitoring and inspection (January 31, 1985)
(a) the owner/operator must conduct the following monitoring and
inspections:
(1) combustion temperature, waste feed rate, and combustion gas velocity
must be monitored continuously
(2) carbon monoxide must be monitored continuously
(3) sampling and analysis of the waste and emissions must be conducted
as specified to determine ORE
(b) incinerators must be inspected daily for leaks, spills etc.
(c) emergency and cutoff systems and associated alarms must be tested
weekly
(d) monitoring and inspection data must be recorded in operating log
OSWER Dir. No. 9938.2A III-154 March 1988
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TABLE III-4 Permitted Unit Regulatory Requirement Synopsis (continued)
Inspection Procedures - Subpart 0 - Section 264.345 and 264.347
o Are the operating requirements specified in the permit being met at all
times when incinerating hazardous wastes?
o Are the emergency cut-off systems operational and set at specified
limits? Are the indicators for CO, temperature, et cetera, tied to the
cut-off system?
o Are the continuous monitoring systems working properly?
o Has equipment been checked for leaks, fugitive emissions, and structural
integrity?
o Are waste types consistent with those specified in the permit?
OSWER Dir. No. 9938.2A III-155 March 1988
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TABLE III - 5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities
Regulatory Requirement Synopsis - Part 266 -Subpart C - Recyclable Materials
Used in a Manner Constituting Disposal
§266.20 Applicability (May 19, 1980)
(a) These regulations apply to recyclable materials applied on land:
(1) Without mixing with other substances
(2) Mixed with substances that do not react with the material
(3) Combined material is not produced for public use
(b) Products produced from recyclable material for public use that are used
in a manner constituting disposal are not subject to regulation if they
are inseparable. Commercial fertilizers is an example.
§266.21 Standards for Generators and Transporters (May 19, 1980)
Generators and transporters of the applicable recyclable materials are
subject to requirements of Parts 262 and 263 as well as the notification
requirement.
§266.22 Standards for Storage (May 19, 1980)
Owner/operators that store recyclable material destined for disposal are
regulated under applicable provisions of Subparts A through L of Parts 264 and
265, Parts 270 and the notification requirement.
§266.23 Standards for Users (July 15, 1985)
(a) Owner/operators that use recycled materials destined for disposal are
regulated under Subparts A through N of Parts 264 and 265 and Parts 270
and the notification requirement.
(b) The use of oil or other material that is contaminated with dioxin for
dust suppression or road treatment is prohibited.
OSWER Dir. No. 9938.2A III-156 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Inspection Procedures - Subpart C - Recyclable Materials Used in a Manner
Constituting Disposal
o Does the waste and management practice meet the criteria given in 266.20?
o If waste oil or other material is being used for dust suppression or road
treatments, has it been tested for dioxin?
OSWER Dir. No. 9938.2A III-157 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
OSWER Dir. No. 9938.2A III-158 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Regulatory Requirement Synopsis - Subpart D - Hazardous Waste Burned for
Energy Recovery
§266.30 Applicability (November 29, 1985)
(a) These regulations apply to hazardous waste burned in any boiler or
industrial furnace for energy recovery. Fuel produced from hazardous
waste processing, blending or other treatment is also hazardous waste
fuel. These regulations do not apply to gas.
(b) Used oil, exempt hazardous waste and small quantity generator waste that
is burned for energy recovery is not covered by these requirements.
§266.31 Prohibitions (November 29, 1985)
(a) A person may market hazardous waste fuel only:
(1) To persons who have an EPA identification number
(2) To persons who intend to burn it in boilers or industrial furnaces
(b) Hazardous waste fuel may be burned only in industrial furnaces and
boilers.
§266.32 Standards for Generators (November 29, 1985)
(a) Generators are subject to Part 262
(b) Generators who market the waste as fuel are subject to 266.34
(c) Generators who are burners are subject to 266.35
§266.33 Standards for Transporters (November 29, 1985)
Transporters are subject to Part 263.
§266.34 Standards for Marketers of Hazardous Waste Fuel (November 29, 1985)
(b) Notification
A marketer must notify EPA of activity even if he has an EPA
identification number for other hazardous waste management activities.
(c) Storage
Applicable provisions of 262.34 and Subpart A-L Parts 264 or 265 and Part
270 must be followed.
OSWER Dir. No. 9938.2A III-159 - March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Regulatory Requirement Synopsis - Subpart D - Hazardous Waste Burned for
Energy Recovery (continued)
§266.34 Standards for Marketers of Hazardous Waste Fuel (continued)
(d) Off-site shipment
The standards for generators apply to marketers.
(e) Required notices
Before shipment to any burner or other marketer, the first marketer must
obtain a certification stating that EPA has been notified of waste-as-fuel
activity; recipient will only burn waste in an industrial furnace or boiler;
(f) Record keeping
In addition to the record keeping requirements of Parts 262, 264 and 265
the marketer must keep a copy of each certification for three years.
§266.35 Standards for Burners (November 29, 1985)
The burner must comply with the previously stated prohibitions,
notification requirements, storage and record keeping provisions and required
notices.
OSWER Dir. No. 9938.2A III-160 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Inspection Procedures - Subpart D - Hazardous Waste Burned for Energy Recovery
o Does the energy recovery unit meet the definition of either industrial
furnace or boiler?
o Does the waste burned-as-fuel generate at least 5,000 to 8,000 BTU per
pound in order to be legitimately considered fuel?
OSWER Dir. No. 9938.2A III-161 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
OSWER Dir. No. 9938.2A III-162 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Regulatory Requirement Synopsis - Subpart E - Used Oil Burned for Energy
Recovery
§266.40 Applicability (November 29, 1985)
(b) "Used oil" is any oil refined from crude oil and has been used resulting
in impurities.
(c) Used oil containing more than 1000 ppm of total halogens is presumed to
be a hazardous waste regulated under Subpart D.
(d) Used oil that exhibits a characteristic of hazardous waste or contains
waste from a small quantity generator is regulated under this Subpart.
(e) Used oil that exceeds any specification level is subject to this Subpart
when burned for energy recovery but is termed 'off-specification used oil
fuel'.
§266.41 Prohibitions (November 29, 1985)
(a) A person may market off-specification used oil only to burners or other
marketers who have notified EPA and received a number and to burners who
burn only in an industrial furnace or boiler. A boiler may be a space
heater if the oil is from do-it-yourselfers, burns less than 0.5 million
BTUs per hour and combustion gases are vented to the outdoors.
§266.43 Standards for marketers (November 29, 1985)
(a) The following persons are not marketers subject to this regulation:
generators or collectors who provide oil to persons who process it;.
marketers who do not obtain the oil from generators or market off-
specification oil.
(b) Marketers must:
(1) Obtain analysis of the used oil
(2&3) Follow prohibitions in 266.41 and notify EPA of activity
(4) Use an invoice system for off-specification oil containing an invoice
number, his and the recipient's EPA identification number, name and
address of both facilities, quantity, date and this statement: This
used oil is subject to EPA regulation under 40 CFR Part 266.
OSWER Dir. No. 9938.2A III-163 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Regulatory Requirement Synopsis - Subpart E - Used Oil Burned for Energy
Recovery (continued)
§266.43 Standards for marketers (continued)
(5) Before shipment to any burner or other marketer, the first marketer
'must obtain a certification stating that EPA has been notified of
waste oil activity; recipient will only burn waste in an industrial
furnace or boiler;
(6) Marketers of oils that meet specification must keep the analyses,
the name and address of the recipient, quantity of fuel delivered,
date, a cross reference to the analysis for three years.
(6ii) Marketers of off-spec oil must keep a copy of each invoice and
certification for three years.
§266.44 Standards for Burners (November 29, 1985)
The burner must comply with the previously stated prohibitions,
notification requirements, storage and record keeping provisions and required
notices.
OSWER Dir. No. 9938.2A III-164 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Inspection Procedures - Subpart E - Used Oil Burned for Energy Recovery
o Has the used-oil been analyzed to determine if it meets specifications?
o Does the energy recovery unit meet the definition of boiler or industrial
furnace?
OSWER Dir. No. 9938.2A III-165 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Regulatory Requirement Synopsis - Subpart F - Recyclable Materials Utilized
for Precious Metal Recovery
§266.70 Applicability and Requirements (May 19, 1980)
(a) These regulations apply to recyclable materials that are reclaimed to
recover economically significant amounts of gold, silver, platinum,
palladium, iridium, osmium, rhodium, ruthenium.
(b) Persons who generate, transport or store the above materials must:
(1) Notify EPA, and
(2) Comply with Subpart B Manifest regulations, Part 262 (generators);
263.20 and 263.21 (transporters); and 265.71 (use of the manifest
system) and 265.72 (manifest discrepancies).
(c) Persons who store this material must keep the following records:
(1) Records showing volume of material at beginning of year;
(2) Amount of materials generated or received during year;
(2) Amount of materials remaining at the end of the year.
(d) Recyclable materials regulated under this subpart that are accumulated
speculatively are subject to all provisions of Parts 262 through 265, 270
and 124.
OSWER Dir. No. 9938.2A III-166 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Inspection Procedures - Subpart F - Recyclable Materials Used for Precious
Metal Recovery
o Is the recyclable material being kept for speculative purposes?
OSWER Dir. No. 9938.2A III-167 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Regulatory Requirement Synopsis - Subpart G - Reclamation of Spent Lead-Acid
Batteries
(a) Persons who generate, transport, or collect spent batteries but do not
reclaim them are not subject to these regulations.
(b) Owner/operators of facilities that reclaim spent batteries must:
(1) Notify EPA
(2) Comply with all applicable provisions in Subpart A,B (not waste
analysis), C,D,E (not 264.71 or 264.72) and F through L of Part 264.
OSWER Dir. No. 9938.2A III-168 March 1988
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TABLE III-5 Management of Specific Hazardous Wastes and Types of Hazardous
Waste Management Facilities (continued)
Inspection Procedures - Subpart G - Spent Lead-Acid Batteries Being Reclaimed
o Has the reclaiming facility complied with the applicable parts of Part
264?
OSWER Dir. No. 9938.2A III-169 March 1988
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TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis
Regulatory Requirement Synopsis - Part 268 - Subpart A - General
§268.1 Purpose, scope and applicability (November 7, 1986)
(b) Prohibited wastes cannot be land disposed except under the following
conditions:
(c) (1) Case-by-case extension granted under 268.5 or a nation-wide
variance.
(2) No-migration petition granted under 268.6.
(3) Waste is contaminated soils and debris from CERCLA sites or RCRA
Corrective Actions (Applicable until 11/8/88).
(4) Conditionally exempt small quantity generators (less than 100 kg
per month).
(5) Farmers disposing of waste pesticides.
§268.3 Dilution prohibited as a substitute for treatment (November 7, 1986)
No one shall dilute a restricted waste or the residual from a restricted
waste in order to comply with the treatment standards, or circumvent a
restriction or effective date.
§268.4 Treatment surface impoundment exemption (November 7, 1986)
Restricted wastes can continue to be treated in surface impoundments
provided treatment occurs in the impoundment, and residues not meeting
treatment standards are removed annually. The impoundments must meet minimum
technology design requirements as applicable and have appropriate ground-water
monitoring. Evaporation as the primary form of treatment is not allowed.
OSWER Dir. No. 9938.2A III-170 March 1988
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TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Inspection Procedures - Part 268.1. 268.3 and 268.4
The inspector should check the following when verifying compliance with
land disposal ban requirements:
o Do any of the exemptions apply to the waste or have extensions or
petitions been granted?
OSWER Dir. No. 9938.2A III-171 March 1988
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TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Regulatory Requirement Synopsis - Part 268 - Section 268.7
§268.7 Waste analysis (November 7, 1986)
(a) The generator must evaluate his waste. He can do so by the Toxicity
Characteristic Leaching Procedure (TCLP) or by Total Constituent
Analysis (TCA) or;
(b) Apply knowledge of the waste generating process.
(1) If the waste is restricted, prior to land disposal, the generator
must notify the treatment facility of the appropriate treatment
standard and include the following information:
EPA hazardous waste number
treatment standard
manifest number
waste analysis data.
(2) If the waste is not restricted (i.e.can be land disposed) the
generator must submit a notice, including the information above
plus signed certification to the disposal facility.
(3) If the waste is subject to a case-by-case extension, a no-
migration petition, or a nationwide variance, the generator must
forward such notice to the land disposal facility.
(c) The residuals from treating restricted wastes must be tested using
TCLP or TCA at the treatment facility to assure that the treatment
extract meets applicable treatment standards. A notice and a
certification for either treatment levels expressed as
concentrations or for treatment with approved technologies must be
sent with the waste to the land disposal facility.
OSWER Dir. No. 9938.2A III-172 March 1988
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TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Inspection Procedures - Part 268.7
The inspector should verify the compliance status with respect to the
following activities:
o Has an adequate analysis been done to determine if the waste is
restricted?
o Has the owner/operator (or generator) been providing proper notice
and certification to all off-site facilities?
o Is the Waste Analysis Plan adequate and does it reflect LDR testing
requirements?
o Is the waste properly classified or characterized?
o Is the facility submitting and/or receiving notice/certifications?
o Is the facility performing an adequate review of incoming wastes?
OSWER Dir. No. 9938.2A III-173 March 1988
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TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Regulatory Requirement Synopsis - Part 268 - Subpart C - Prohibition on
Land Disposal
§268.30 Solvent wastes (November 7, 1986)
(a) As of November 8, 1986, hazardous wastes numbered F001, F002, F003,
F004 and F005 are prohibited from land disposal except in an injection
well unless the waste is a:
(1) Small quantity generator waste (100-1000 kg/month)
(2) Solvent waste from RCRA and CERCLA cleanups
(3) Solvent/water, solvent containing sludge or solvent soil mixtures
containing less than 1 percent total solvent constituents.
(b) After November 8, 1988, the above wastes are prohibited from land
disposal. Until 1988, these wastes can only be land disposed in
facilities that meet applicable design requirements (268.5 (u)(2)).
§268.31 Dioxin containing wastes (November 7, 1986)
As of November 8, 1988, these wastes, F020, F021, F023, F026, F027 and
F028, are prohibited from land disposal. Until 1988, these wastes can
only be land disposed in facilities that meet applicable design
requirements.
§268.32 California List Wastes (July 8, 1987)
(a) As of July 8, 1987, the following hazardous wastes are prohibited from
land disposal except in an injection well: liquid wastes with pH less
than 2.0, liquid wastes with PCB concentrations greater than 50 ppm,
and dilute waste waters containing halogenated organic compounds
between 1,000 mg/1 and 10,000 mg/1. Liquids containing concentrations
of the following metals are also prohibited: arsenic (500 mg/1),
cadmium (100 mg/1), chromium as VI(500 mg/1), lead (500 mg/1), mercury
(20 mg/1), nickel (134 mg/1), selenium (100 mg/1) and thallium (130
mg/1) (These are statutory levels which are not yet codified).
(e) As of July 8, 1989, the following hazardous wastes are prohibited from
all forms of land disposal: other liquid wastes with HOCs greater or
equal to 1,000 mg/1, non-liquid wastes with HOCs greater or equal to
1,000 rag/kg.
OSWER Dir. No. 9938.2A III-174 March 1988
-------
TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Inspection Procedures - Part 268 Subpart C
The inspector should verify the compliance status with respect to the
following activities:
o Land disposal of restricted wastes that are not exempted is not
permissable after the effective date given for each waste.
OSWER Dir. No. 9938.2A III-175 March 1988
-------
TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Regulatory Requirement Synopsis - Part 268 - Subpart D - Treatment Standards
§268.40 Applicability of treatment standards (July 8, 1987)
A restricted waste or waste residual that meets the treatment standards
expressed as concentrations in waste extract can be land disposed. A
restricted waste for which a treatment technology is specified may be land
disposed after treatment with that technology.
§268.42 Treatment standards expressed as specific technologies (July 8, 1987)
Liquid wastes containing PCBs greater than 500 ppm must be incinerated
according to 40 CFR 761.70. PCB wastes equal or greater than 50 ppm but less
than 500 may either be incinerated or burned in high efficiency boilers. Non-
liquid hazardous wastes containing HOCs in total concentrations greater than
1000 mg/kg must be incinerated according to either 264, subpart 0, or 265,
subpart 0. Alternative treatment that can be demonstrated may be approved by
the Administrator.
§268.44 Variances (November 7, 1986)
If a generator cannot treat his waste to meet the standards in waste
extracts, he may petition the Administrator for a variance.
OSWER Dir. No. 9938.2A III-176 March 1988
-------
TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Inspection Procedures - Part 268 Subpart D
The inspector should verify the compliance status with respect to the
following activities:
Do all restricted wastes (not otherwise exempted) being land disposed
either meet the treatment standards for concentration in the extract
of the waste or treatment residual or are treated using specified
technology(ies)?
OSWER Dir. No. 9938.2A III-177 March 1988
-------
TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Regulatory Requirement Synopsis - Part 268 - Subpart E - Prohibitions on
Storage of Restricted Waste
§268. 50 Prohibitions on storage of restricted waste (November 7, 1986)
Storage of restricted waste is prohibited unless accumulation of such
quantities is necessary to facilitate proper recovery, treatment or disposal.
Storage for accumulation purposes by a TSDF may occur only in tanks or
containers, and only up to one year without having to prove that accumulation
is necessary. After that time, the owner/ operator must provide proof that
accumulation time is required. Storage restrictions do not apply to exempted
wastes or those wastes meeting treatment standards. PCB wastes must be stored
at a facility that meets the requirements of 40 CFR 761.65(b). Storage of PCB
wastes can be up to but not exceeding one year.
OSWER Dir. No. 9938.2A III-178 March 1988
-------
TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
Inspection Procedures - Part 268 Subpart D
o Are restricted wastes stored only in tanks or containers?
o Is each container at the TSDF used to accumulate wastes marked with the
contents and accumulation start date? Is this information provided in the
operating record?
o Is each tank at the TSDF used to accumulate wastes marked with the amount
and the accumulation start date? Tanks have the option of displaying the
information or having the required information in the operating record.
o Has a year expired since the start of the accumulation period?
The 1 year period is only a benchmark which shifts the burden of proof
from EPA to the facility. Up to 1 year, EPA bears the burden to show that the
facility is storing restricted waste longer than necessary. After 1 year, the
facility must substantiate that storage is necessary. This does not preempt
EPA from requiring a facility to remove its waste from storage anytime within
a year if it determines that the facility has sufficient quantity to
facilitate proper treatment, recovery or disposal.
OSWER Dir. No. 9938.2A III-179 March 1988
-------
TABLE III-6 Land Disposal Restrictions Regulatory Requirement Synopsis (cont.)
OSWER Dir. No. 9938.2A Ill-ISO March 1988
-------
CHECKLISTS
-------
Appendix IV
nspectlon Checklists
SECTION PAGE
Exhibit IV-1. General Inspection Information Form IV-1
Exhibit IV-2. General Facility Checklist IV-2
Exhibit IV-3. Land Disposal Restrictions Checklist IV-8
Exhibit IV-4. Generators Checklist IV-10
Exhibit IV-5. Transporters Checklist IV-15
Exhibit IV-6. Containers Checklist IV-18
Exhibit IV-7. Surface Impoundments Checklist IV-20
Exhibit IV-8. Waste Piles Checklist IV-24
Exhibit IV-9. Land Treatment Checklist IV-27
Exhibit IV-10. Landfills Checklist IV-33
Exhibit IV-11. Incinerators Checklist IV-37
Exhibit IV-12. Thermal Treatment Checklist IV-40
Exhibit IV-13. Ground-Water Monitoring Checklist IV-43
Exhibit IV-14. Waste Information Worksheet IV-50
OSWER Dir. No. 9938.2A March 1988
-------
EXHIBIT IV-1
GENERAL SITE INSPECTION INFORMATION FORM
A. Site Name
B. Street (or other identifier)
C. City
D. State
E. Zip Code F. County Name
G. Site Operator Information
1. Name
3. Street 4. City
2. Telephone Number
5. State 6. Zip Code
H. Site Description
I. Type of Ownership
1. Federal 2. State 3. County 4. Municipal 5. Private
_
1. Generator 2. Transporter 3. Treatment 4. Storage 5. Disposal
K. Regulatory Status
1. Interim Status 3. Part B Permit Application Submitted
2. Permitted Facility 4. Part B Permit Application in Preparation
J-» •
1. Principal Inspector Name
2. Title
3. Organization
4. Telephone No. (area code and No.)
M. Inspection Participants
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
OSWER Dir. No. 9938.2A
IV-1
March 1988
-------
EXHIBIT IV-2
GENERAL FACILITY CHECKLIST
Section A - General Facility Standards
i. Does facility have EPA Identification No.? Yes No
a. If yes, EPA I.D. No.
If no, explain.
2. Has facility received hazardous waste from a foreign source? Yes No
a. If yes, has it filed a notice with the Regional Yes No
Administrator?
Waste Analysis
3. Does facility maintain a copy of the waste analysis plan at Yes No
the facility?
a. If yes, does it include:
1. Parameters for which each waste will be analyzed? Yes No
2. Test methods used to test for these parameters? Yes No
3. Sampling method used to obtain sample? Yes No
4. Frequency with which the initial analyses will be Yes No
reviewed or repeated?
5. (For offsite facilities) waste analyses that gen- Yes No
erators have agreed to supply?
6. (For offsite facilities) procedures which are used
to inspect and analyze each movement of hazardous
waste, including:
a. Procedures to be used to determine the iden- Yes No
tity of each movement of waste.
b. Sampling method to be used to obtain repre- Yes No
sentative sample of the waste to be identi-
fied.
4. Does the facility provide adequate security through:
a. 24-hour surveillance system (e.g., television monitoring Yes No
or guards)?
OR
(continued)
OSWER Dir. No. 9938.2A iv-2 March 1968
-------
EXHIBIT IV-2 (continued)
b. 1. Artificial or natural barrier around facility Yes No
(e.g., fence or fence and cliff)?
Describe
AND
2. Means to control entry through entrances (e.g., Yes No
attendant, television monitors, locked entrance,
controlled roadway access)?
Describe
General Inspection Requirements
5. Does the owner/operator maintain a written schedule at the
facility for inspecting:
a. Monitoring equipment? Yes No
b. Safety and emergency equipment? Yes No
c. Security devices: Yes No
d. Operating and structural equipment? Yes No
e. Types of problems of equipment:
1. Malfunction Yes No
2. Operator error Yes No
3. Discharges Yes No
6. Does the owner/operator maintain an inspection log? Yes No
a. If yes, does it include:
1. Date and time of inspection? Yes No
2. Name of inspector? Yes No
3. Notation of observations? Yes No
A. Date and nature of repairs or remedial action? Yes No
b. Are there any malfunctions or other deficiencies not Yes No
corrected? (Use narrative explanation sheet.)
Personnel Training
7. Does the owner/operator maintain personnel training records Yes No
at the facility?
(continued)
OSWER Dir. No. 9938.2A IV-3 March 1988
-------
EXHIBIT IV-2 (continued)
How long are they kept?
a. If yes, do they include:
1. Job title and written job description of each Yes No
position?
2. Description of type and amount of training? Yes No
3. Records of training given to facility personnel? Yes No
Requirements for Ignitable, Reactive, or Incompatible Waste
8. Does facility handle ignitable or reactive wastes? Yes No
a. If yes, is waste separated and confined from sources of
ignition or reaction (open flames, smoking, cutting and
welding, hot surfaces, frictional heat), sparks (static,
electrical, or mechanical), spontaneous ignition (e.g.,
from heat-producing chemical reactions), and radiant
heat?
1. If yes, use narrative explanation sheet to
describe separation and confinement procedures.
2. If no, use narrative explanation sheet to
describe sources of ignition or reaction.
b. Are smoking and open flame confined to specifically Yes No
designated locations?
c. Are "No Smoking" signs posted in hazardous areas? Yes No
d. Are precautions documented (Part 264 only)? Yes No
9. Check containers
a. Are containers leaking or corroding? Yes No
b. Is there evidence of heat generation from incompatible Yes No
wastes?
Section B - Preparedness and Prevention
1. Is there evidence of fire, explosion, or contamination of the Yes No
environment?
If yes, use narrative explanation sheet to explain.
(continued)
OS'wER Dir. No. 9938.2A IV-4
March 1988
-------
EXHIBIT IV-2 (continued)
2. Is the facility equipped with:
a. Internal communication or alarm system? Yes No
1. Is it easily accessible in case of emergency? Yes No
b. Telephone or two-way radio to call emergency response Yes No
personnel?
c. Portable fire extinguishers, fire control equipment, Yes No
spill control equipment, and decontamination equipment?
d. Water of adequate volume for hoses, sprinklers, or Yes No
water spray system?
1. Describe source of water
3. Is there sufficient aisle space to allow unobstructed move- Yes No
ment of personnel and equipment?
4. Has the owner/operator made arrangements with the local Yes No
authorities to familiarize them with characteristics of the
facility? (Layout of facility, properties of hazardous
waste handled and associated hazards, places where facility
personnel would normally be working, entrances to roads
inside facility, possible evacuation routes.)
5. In the case that more than one police or fire department Yes No
might respond, is there a designated primary authority?
a. If yes, name primary authority
6. Does the owner/operator have phone numbers of and agreements Yes No
with State emergency response teams, emergency response
contractors, and equipment suppliers?
a. Are they readily available to all personnel? Yes No
7. Has the owner/operator arranged to familiarize local hos- Yes No
pitals with the properties of hazardous waste handled and
types of injuries that could result from fires, explosions,
or releases at the facility?
8. If State or local authorities decline to enter, is this Yes No
entered in the operating record?
(continued)
OStfER Dir. No. 9938.2A IV-5 March 1988
-------
EXHIBIT IV-2 (continued)
Section C - Contingency Plan and Emergency Procedures
1. Is a contingency plan maintained at the facility? Yes No
a. If yes, is it a revised SPCC Plan? Yes No
b. Does contingency plan include:
1. Arrangements with local emergency response Yes No
organizations?
2. Emergency coordinators' names, phone numbers, Yes No
and addresses?
3. List of all emergency equipment at facility and Yes No
descriptions of equipment?
4. Evacuation plan for facility personnel? Yes No
2. Is there an emergency coordinator on site or on call at Yes No
all times?
Section D - Manifest System, Recordkeeping, and Reporting
1. Does facility receive waste from offsite? Yes No
a. If yes, does the owner/operator retain copies of all Yes No
manifests?
1. Are the manifests signed and dated and returned Yes No
to the generator?
2. Is a signed copy given to the transporter? Yes No
2. Does the facility receive any waste from a rail or water Yes No
(bulk shipment) transporter?
a. If yes, is it accompanied by a shipping paper? Yes No
1. Does the owner/operator sign and date the shipping Yes No
paper and return a copy to the generator?
2. Is a signed copy given to the transporter? Yes No
3. Has the owner/operator received any shipments of waste that Yes No
were inconsistent with the manifest (manifest discrepancies)?
a. If yes, has he attempted to reconcile the discrepancy Yes No
with the generator and transporter?
1. If no, has Regional Administrator been notified? Yes _._.No
(continued)
OSWER Dir. No. 9938.2A iv-6 March 19S8
-------
EXHIBIT IV-2 (continued)
4. Does the owner/operator keep a written operating record at Yes No
the facility?
a. If yes, does it include:
1. Description and quantity of each hazardous waste Yes No
received?
2. Methods and dates of treatment, storage, and Yes No
disposal?
3. Location and quantity of each hazardous waste at Yes No
each location?
4. Cross-references to manifests/shipping papers? Yes No
5. Records and results of waste analyses? j Yes No
6. Report of incidents involving implementation of Yes No
the contingency plan?
7. Records and results of required inspections? Yes No
8. Monitoring or testing analytical data (Part 264)? Yes No
9. Closure cost estimates and, for disposal facili- Yes No
ties, post-closure cost estimates (Part 264)?
10. Notices of generators as specified in §264.12(b) Yes No
(Part 264)?
5. Does the facility submit a biennial report by March 1 every Yes No
even-numbered year?
If yes, do reports contain the following information:
1. EPA I.D. number? Yes No
2. Date and year covered by report? Yes No
3. Description/quantity of hazardous waste? Yes No
4. Treatment, storage, and disposal methods? Yes No
5. Monitoring data under §265.94(a)(2) and (b)(2) Yes No
(Part 265)?
6. Most recent closure and post-closure cost estimates? Yes No
7. For TSD generators, description of efforts to Yes No
reduce volume/toxicity of waste generated, and
actual comparisons with previous year?
8. Certification signed by owner/operator? Yes No
6. Has the facility received any waste (that does not come under Yes No
the small generator exclusion) not accompanied by a manifest?
a. If yes, has he submitted an unmanifested waste report Yes No
to the Regional Administrator?
7. Does the facility submit to the Regional Administrator Yes No
reports on releases, fires, and explosions; contamination "~
and monitoring data; and facility closure?
OSWER Dir. No. 9938.2A IV-7 March 1988
a.
-------
EXHIBIT IV-3
LAND DISPOSAL RESTRICTIONS CHECKLIST
1. Are hazardous wastes land-disposed on site? ("Land disposal" Yes No
includes placement in a landfill, surface impoundment, waste
pile, injection well, land treatment facility, salt dome for-
mation, salt bed formation, underground mine or cave, concrete
vault, or bunker intended for disposal purposes; and placement
in or on the land by means of open detonation and open burning
where residues continue to exhibit hazardous characteristics).
a. If yes, are one or more of the following circumstances
true:
1. Granted extension from effective date pursuant to Yes No
§268.5?
2. Granted exemption from a prohibition pursuant to Yes No
a petition under §268.6?
3. Disposing of soil or debris resulting from a CERCLA Yes No
response action or a RCRA corrective action, which
will not be prohibited until November 8, 1988?
4. Facility is a small quantity generator of less than Yes No
100 kg of hazardous waste per month?
2. Are restricted wastes or residuals from treatment of a re- Yes No
stricted waste diluted in any way prior to disposal?
3. Are there active surface impoundments used for treatment of Yes No
hazardous wastes?
a. If yes, does the unit's design and operation meet the Yes No
requirements set forth in §268.4?
4. Has the facility sought exemption from any prohibition under Yes No
Subpart C of §268 for the disposal of a restricted hazardous
waste?
a. If yes, has the facility's demonstration included the Yes No
required components (waste I.D., waste analysis, com-
prehensive environmental characterization of unit
site, QA/QC plan, sampling, testing, modeling)?
5. Has the facility determined whether it generates a restricted Yes No
waste through waste analysis?
a. If yes, is the facility, in fact, handling a restricted Yes No
waste(s)?
(continued)
OSWER Dir. No. 9938.2A R--8 March 1988
-------
EXHIBIT IV-3 (continued)
b. If yes, does the restricted waste require treatment? Yes No
c. If yes, has the generator notified the treatment facil- Yes No
ity in writing, and does the notification include all
required components (EPA hazardous waste number, cor-
responding treatment standard, manifest number of ship-
ment)?
6. Does the facility handle EPA Hazardous Waste Nos. F001 Yes No
through F005 (solvent wastes)?
a. If yes, do any of the following conditions apply:
1. The generator of the solvent waste is a small Yes No
quantity generator (not more than 1000 kg/month)?
2. The solvent waste is generated from a CERCLA Yes No
response corrective action?
3. The solvent waste is a solvent-water mixture, Yes No
solvent-containing sludge, or solvent-contaminated
soil (non-CERCLA or RCRA corrective action) con-
taining less than 1 percent total F001 through
F005 solvent constituents.
b. If no, have any of these restricted wastes been land- Yes No
disposed (except in an injection well) since November
8, 1986?
7. Does the facility handle EPA Hazardous Waste Nos. F020, Yes No
F021, F023, F026, F027, or F028 (dioxin-containing wastes)?
a. If yes, do any of the following conditions apply:
1. Wastes are treated to meet standards of Subpart D Yes No
of §268?
2. Wastes are disposed of at a facility that has been Yes No
granted a petition?
3. An extension has been granted? Yes No
b. If no, will these restricted wastes be land disposed Yes No
after November 8, 1988?
8. Are restricted wastes being treated? Yes No
a. If yes, have any of their associated hazardous constit- Yes No
uents exceeded the "Constituent in Waste Extract"
(CWE) levels?
OSWER Dir. No. 9938.2A IV-9 March 1988
-------
EXHIBIT IV-4
GENERATOR'S CHECKLIST
Section A - SPA Identification No.
1. Does generator have EPA I.D. No? Yes No
a. If yes, EPA I.D. No.
Section B - Manifest
1. Does generator ship waste offsite? Yes No
a. If no, do not fill out Sections B and D.
b. If yes, identify primary offsite facility(s). Use
narrative explanation sheet.
2. Does generator use manifest? Yes No
a. If no, is generator a small quantity generator (gen- Yes No
crating between 100 and 1000 kg/month)?
1. If yes, does generator indicate this when Yes No
sending waste to a TSD facility?
b. If yes, does manifest include the following information?
1. Manifest document No. Yes No
2. Generator's name, mailing address, telephone No. Yes No
3. Generator EPA I.D. No. Yes No
4. Transporter Name(s) and EPA I.D. No.(s) Yes No
5. a. Facility name, address, and EPA I.D. No. Yes No
b. Alternate facility name, address, and EPA Yes No
I.D. No.
c. Instructions to return to generator if Yes No
undeliverable
6. Waste information required by DOE - shipping name, Yes No
quantity (weight or vol.), containers (type and
number)
(continued)
OSWER Dir. N0..9938.2A IV-10 March 1968
-------
EXHIBIT IV-4 (continued)
7. Emergency information (optional) Yes No
(special handling instructions, telephone No.)
8. Is the following certification on each manifest Yes No
form?
This is to certify that the above named materials
are properly classified, described, packaged,
marked, and labeled and are in proper condition
for transportation according to the applicable
regulations of the Department of Transportation
and the EPA.
9. Does generator retain copies of manifests? Yes No
If yes, complete a through e.
a.
1. Did generator sign and date all manifests?
2. Who signed for generator?
Name Title
Yes No
b. 1. Did generator obtain handwritten signature and Yes No
date of acceptance from initial transporter?
2. Who signed and dated for transporter?
Name Title
Does generator retain one copy of manifest signed by Yes No
generator and transporter?
Do returned copies of manifest include facility Yes No
owner/operator signature and date of acceptance?
Does generator retain copies for 3 years? Yes No
Section C - Hazardous Waste Determination
1. Does generator generate solid waste(s) listed in Subpart D Yes No
(List of Hazardous Waste)?
a. If yes, list waste and quantities
(include EPA Hazardous Waste No.)
(continued)
OSVER Dir. No. 9938.2A IV-11 March 1988
-------
EXHIBIT IV-4 (continued)
Does generator generate solid waste(s) listed in Subpart C Yes
that exhibit hazardous characteristics? (corrosivity,
ignitability, reactivity, E? toxicity)
a. If yes, list wastes and quantities
(include EPA Hazardous Waste No.)
b. Does generator determine characteristics by testing or
by applying knowledge of processes?
1. If determined by testing, did generator use test Yes No
methods in Part 261, Subpart C (or equivalent)?
a. If equivalent test methods used, attach copy
of equivalent methods used.
3. Are there any other solid wastes generated by generators? Yes No
a. If yes, did generator test all wastes to determine Yes No
nonhazardous characteristics?
1. If no, list wastes and quantities deemed nonhaz-
ardous or processes from which nonhazardous waste
was produced (use additional sheet if necessary).
Section D - Pretransport Requirements
1. Does generator package waste in accordance with 49 CFR 173, Yes No
178, and 179 (DOT requirements)?
2. a. Are containers to be shipped leaking or corroding? Yes No
b. Use sheet to describe containers and condition.
c. Is there evidence of heat generation from incompatible Yes No
wastes in the containers?
3. Does generator follow DOT labeling requirements in Yes No
accordance with 49 CFR 172?
4. Does generator mark each package in accordance with 49 CFR Yes -No
172?
(continued)
OSVER Dir. No. 9938.2A IV-12 March 1988
-------
EXHIBIT IV-4 (continued)
5. Is each container of 110 gallons or less marked with the
following label?
Label saying: HAZARDOUS WASTE - Federal Law Prohibits
Improper Disposal. If found, contact the nearest policy
or public safety authority or the U.S. Environmental
Protection Agency.
Generator name(s) and address (es) _
Yes
No
Manifest document No.
6. Does generator have placards to offer to transporters?
7. Accumulation time
a. Are containers used to temporarily store waste before
transport?
1. If yes, is each container clearly dated: Also,
fill out rest of No. 7 (accum. time)
b. 1. Does generator inspect containers for leakage or
corrosion? (265.174 - Inspections)
2. If yes, with what frequency?
c. Does generator locate containers holding ignitable or
reactive waste at least 15 meters (50 feet) from the
facility's property line? (265.176 - Special Require-
ments for Ignitable or Reactive Wastes)
NOTE: If tanks are used, fill out checklist for tanks.
d. Are the containers labeled and marked in accordance
with Section D-3, -4, and -5 of this form?
NOTE: If generator accumulates waste on site, fill out check-
list for General Facilities, Subparts C and D.
e. Does generator comply with requirements for personnel
training? (Attach checklist for 265.16 - Personnel
Training.)
Yes No
Yes No
Yes
Yes
No
No
Yes
No
Yes
No
Yes
No
8.
Describe storage area. Use photos and narrative explanation sheet.
. 9938. 2A
IV- 13
March 1988
-------
EXHIBIT IV-4 (ccr.cir.ued)
Jaction £ - Recordkeeping and Records
1. Does generator keep the following reports for 3 years?
a. Manifests and signed copies from designated facilities Yes No
b. Annual reports Yes No
c. Exception reports Yes No
d. Test results Yes No
2. Where are the records kept (at facility or elsewhere)?
3. Who is in charge of keeping the records?
Name Title
Section F - Special Conditions
1. Has generator received from or transported to a foreign Yes No
source any hazardous waste?
a. If yes, has he filed a notice with the Regional Yes No
Administrator?
b. Is this waste manifested and signed by a foreign Yes No
cosignee?
c. If generator transported wastes out of the country, Yes No
has he received confirmation of delivered shipment?
OSWER Dir. No. 9938.2A IV-14 March 1988
-------
EXHIBIT IV-5
TRANSPORTERS CHECKLIST
Section A - EPA I.D. No.
1. Does transporter have an EPA I.D. No.? Yes No
a. If yes, what is EPA I.D.?
Section B - Transfer Facility Requirements
1. Does transporter store wastes on site? Yes No
a. If yes, does transporter store wastes longer than Yes No
10 days?
Section C - Manifests
1. Does transporter use manifests? Yes No
a. If yes, are manifests signed and dated? Yes No
b. Does transporter return signed copies of manifests to Yes No
generators?
c. Does transporter carry manifests with waste shipments? Yes No
d. Does transporter obtain delivery date and signature of Yes No
owner/operator at delivery?
e. Does transporter retain copies? Yes No
f. Does transporter give remaining copies to accepting Yes No
transporter or facility?
g. Is transporter a water (bulk shipment) transporter? Yes No
1. If yes, is waste delivered to receiving facility Yes No
by water?
2. Does transporter carry a shipping paper with the Yes No
waste containing all information required on the
manifest (excluding EPA I.D. numbers, generator
certification, and signatures)?
3. Does transporter obtain delivery date and hand- Yes No
written signature of owner/operator of designated
facility on manifest or shipping paper?
4. Does transporter retain copies of shipping papers Yes No
or manifests, in accordance with §263.22?
(continued)
OSWER Dir. No. 9938.2A IV-15 March 1988
-------
EXHIBIT IV-5 (continued)
h. Is transporter a rail transporter? Yes No
1. If yes, when accepting waste from a nonraii Yes No
transporter, does rail transporter sign and date
manifest acknowledging acceptance of waste?
2. Does rail transporter return a signed copy of Yes No
manifest to nonraii transporter?
3. Does rail transporter forward manifest copies to:
a. The next nonraii transporter? Yes No
b. Designated receiving facility (if reached by Yes No
rail)?
c. The last rail transporter designated to Yes No
handle the waste in the U.S.?
4. Does rail transporter retain a copy of manifest? Yes No
5. Does rail transporter ensure that a shipping paper Yes No
accompanies the hazardous waste and contains all
information required on manifest (excluding EPA
I.D., generator certification, and signatures)?
6. Does rail transporter obtain delivery date and Yes No
handwritten signature of owner/operator of desig-
nated facility or the next nonraii transporter on
manifest?
7. Does rail transporter retain a copy of the mani- Yes No
fest or signed shipping paper?
i. Does transporter transport waste outside of the U.S.? Yes No
1. If yes, does the transporter:
a. Indicate on manifests the date that shipment Yes No
left the U.S.?
b. Sign manifest and retain one copy? Yes No
c. Return a signed copy of manifest to generator? Yes No
Section D - Compliance With the Manifest
1. Does transporter deliver entire shipment of hazardous waste to:
a. Designated facility listed on manifest? Yes No
b. Alternate designated facility, if emergency prevents Yes No
delivery to designated facility?
c. Next .esignated transporter? __Yes No
d. Place outside U.S. designated by generator? Yes No
e. If no, does transporter contact generator for further Yes No
directions, and then revise manifest accordingly?
(continued)
OSvTER Dir. No. 9938.2A IV-16 March 1958
-------
EXHIBIT IV-5 (continued)
Section £ - Recordkeeping
1. Does transporter keep a copy of manifest signed by generator, Yes No
himself, and next designated transporter for 3 years?
2. Does water (bulk shipment) transporter retain copy of ship- Yes No
ping paper for each shipment delivered by water?
3. Does initial rail transporter keep a copy of manifest and/or Yes No
shipping paper?
4. Does transporter shipping waste outside of the U.S. keep Yes No
for 3 years copy indicating that waste was shipped?
OSVER Dir. No. 9938.2A IV-17 March 1988
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EXHIBIT IV-6
CONTAINERS CHECKLIST
Section A - Use and Management
1. Are containers in good condition? Yes No
Section B - Compatibility of Waste With Container
1. Is container made of a material that will not react with the Yes No
waste which it stores?
Section C - Management of Containers
1. Is container always closed while holding hazardous waste? Yes No
2. Is container handled so that it will not be opened, handled, Yes No
or stored in a manner which may rupture it or cause it to
leak?
Section D - Inspections
1. Does owner/operator inspect containers at least weekly for Yes No
leaks and deterioration?
Section E - Containment (Part 264)
1. Do container storage areas have a containment system? Yes No
Section F - Ignitable and Reactive Waste
1. Are containers holding ignitable and reactive waste located Yes No
at least 15 m (50 ft) from facility property lines?
Section G - Incompatible Waste
1. Are incompatible wastes or materials placed in the same Yes No
containers?
2. Are hazardous wastes placed in washed, clean containers when Yes No
they previously held incompatible waste?
(continued)
OSVER Cir. No. 9938.2A ;v-I£ varch 1566
-------
EXHIBIT IV-6 (continued)
3. Are incompatible hazardous wastes separated from each other Yes No
by a berm, dike, wall, or other device?
Section H - Closure (Part 264)
1. At closure, were all hazardous wastes and associated residues Yes No
removed from the containment system?
OSVER Dir. No. 9938.2A IV-19 March 1988
-------
EXHIBIT IV-7
SURFACE IMPOUNDMENTS CHECKLIST
Section A - Design Requirements
1. Does facility operate one or more surface impoundments? Yes No
a. If yes, has owner/operator installed two or more liners Yes No
and a leachate collection system for any new units, re-
placement of any existing units, or lateral expansion
of units?
b. Is owner/operator exempt from double-liner leachate Yes No
collection system requirements because Regional Admin-
istrator has determined that impoundment's design will
prevent the migration of hazardous constituents?
c. Did owner/operator notify Regional Administrator 60 Yes No
days prior to receiving waste (Part 265)?
d. If impoundment does not have a double liner, is it Yes No
exempt due to one of the following reasons?
1. Monofill contains only wastes from a foundry fur-
nace emission controls or metal casting molding
sand.
2. Monofill has at least one liner for which there is
no evidence of leaking.
3. Monofill is located, designed, and operated to
ensure that no migration of constituents into
ground or surface water occurs.
e. Does owner/operator take measures to prevent overfill- Yes No
ing; wind and wave action; rainfall; run-on; malfunc-
tions of level controllers, alarms, and other equipment;
and human error (Part 264)?
f. Is impoundment surrounded by dikes (Part 264)? Yes No
Section B - Operating Requirements
1. Does owner/operator maintain at least 60 cm (2 ft) of free- Yes No
board (Part 265)?
(continued)
OSWER Dir. No. 9938.2A IV-20 March 1968
-------
EXHIBIT IV-7
e. If not, did owner/operator demonstrate to Regional Yes No
Administrator that the above materials were nonhazard-
ous (Part 265)?
1. If no, has owner/operator closed the impoundment Yes No
and provided post-closure care (Part 265)?
3. If regulated under Part 264, has owner/operator:
a. Removed or decontaminated waste residues, contaminated Yes No
system components, subsoils, structures, and equipment,
and managed them as hazardous waste?
b. Eliminated free liquids by removing or solidifying Yes No
remaining wastes or waste residues?
c. Stabilized remaining wastes to a bearing capacity suf- Yes No
ficient to support final cover?
d. Covered the impoundment with final cover? Yes No
4. Did owner/operator leave any residuals in place at closure Yes No
(Part 264)?
5. In post-closure, does owner/operator maintain integrity of Yes No
cover and ground-water monitoring system, and prevent run-
on and runoff?
Section H - Ignitable and Reactive Wastes
1. Are ignitable or reactive wastes placed in the impoundment? Yes No
a. If no, do not complete b and c.
b. If yes, are they treated, rendered, or mixed before or Yes No
immediately after placement in the impoundment so it no
longer meets the definition of ignitable or reactive?
OR
c. Is the impoundment used solely for emergencies? Yes No
Section I - Incompatible Wastes
1. Are incompatible wastes placed in the impoundment? Yes No
OSWER Dir. No. 9938.2A IV-21 March 1988
-------
EXHIBIT IV-7 (continued)
Section F - Emergency Repairs, Contingency Plans (pare 264)
i. Does facility ha%-e a contingency plan? Yes No
a. If yes, does plan stipulate that impoundment be removed
from service under the following conditions:
1. Sudden drop in liquid level? Yes No
2. Leaking dike? Yes No
b. Does plan detail the steps to be followed when removing
impoundment from service, including:
1. Shutting off flow into impoundment? Yes No
2. Containing any surface leakage? Yes No
3. Stopping the leak? Yes No
4. Notifying Regional Administrator of problems in Yes No
writing if leaks cannot be contained?
c. If impoundment was removed from service, did owner/ Yes No
operator take the necessary precautions to rectify
problems before restoring impoundment to service?
d. If impoundment was removed from service and was not re- Yes No
stored to service, was impoundment closed in accordance
with an approved closure plan?
Section G - Closure and Post-Closure
1. Is a closure plan retained at the facility? Yes No
2. At closure, did owner/operator:
a. Remove standing liquids (Part 265)? Yes No
b. Remove waste and waste residue (Part 265)? Yes No
c. Remove liner (Part 265)? Yes No
d. Remove underlying and surrounding contaminated soil? Yes No
(continued)
OSWER Dir. No. 9938.2A IV-22 March 1986
-------
EXHIBIT IV-8 (continued)
Section D - Monitoring and Inspection (Part 264)
1. Are liners and covers inspected for damage during con- Yes No
struction?
2. Are waste piles inspected weekly for deterioration, run-on Yes No
and runoff controls, wind dispersal control, and proper
function of leachate collection system?
Section E - Ignitable or Reactive Wastes
1. Are ignitable or reactive wastes placed in the pile? Yes No
a. If yes, does the addition of the waste result in the Yes No
waste or mixture no longer meeting the definition?
(Use narrative explanation sheet to describe procedure.)
OR
b. Is the waste protected from sources of ignition or Yes No
reaction?
1. If yes, use narrative explanation sheet to describe
separation and confinement procedures.
2. If no, use narrative explanation sheet to describe
sources of ignition or reaction.
Section F - Incompatible Wastes
1. Are incompatible wastes placed together in the pile? Yes No
2. Are incompatible wastes separated from each other by a dike, Yes No
benn, or wall?
3. Is there evidence of fire, explosion, gaseous emissions, Yes _No
leaching, or other discharge? (Use narrative explanation
sheet.)
Section G - Closure and Post-Closure
1. Is a closure plan retained at the facility? Yes No
(continued)
OSVER Dir. No. 9938.2A IV-23 March 1988
-------
EXHIBIT IV-8 (continued)
2. At closure, vere all waste residues, contaminated system Yes No
components, contaminated subsoils, and contaminated struc-
tures and equipment removed or decontaminated?
3. Were all contaminated subsoils removed from the site? Yes No
a. If no, did owner/operator close the facility and per- Yes No
form closure and post-closure care in accordance with
§264.310 and 265.310?
4. Is a plan for complying with No. 2 above included in closure Yes No
plan?
5. Is a contingency plan for complying with No. 3a above in- Yes No
eluded in the plan?
6. Is a contingent post-closure plan included? Yes No
7. Are cost estimates included in closure plan? Yes No
Section H - Requirements for Wastes F020, F021. F022, F023, F026, and F027
1. Does facility place these F wastes in a waste pile? Yes No
a. If yes, does facility have an approved management plan Yes No
for these wastes?"
OStfER Dir. No. 9938.2A IV-24 March 19£8
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EXHIBIT IV-9
LAND TREATMENT CHECKLIST
Section A - Treatment Program (Part 264)
1. Does facility follow an approved land treatment program? Yes No
Section B - Treatment Demonstration (Part 264)
1. Has owner/operator demonstrated to Regional Administrator Yes No
that hazardous wastes used in the program are completely
degraded, transformed, or immobilized?
Section C - Operating Requirements
1. Is run-on diverted away from the land treatment facility? Yes No
2. Is runoff from the land treatment facility collected? Yes No
3. Are holding facilities emptied after storms? Yes No
4. Is the runoff analyzed to see if it is a hazardous waste? Yes No
5. Is facility managed to control dispersal? Yes No
6. Is unit inspected weekly (Part 264)? Yes No
Section D - Waste Analysis (Part 265)
i. If the runoff is considered hazardous, how is it handled?
(Use narrative explanation sheet.)
L. If it is not a hazardous waste, is it discharged through a Yes No
point source to surface waters?
a. If yes, list NPDES Permit No.
3. What hazardous wastes are treated at the land treatment facility?
Subpart D Listed Wastes Characteristic Wastes (EP Toxicity)
(continued)
OSWER Dir. No. 9938.2A IV-25 March 1988
-------
EXHIBIT IV-8
WASTE PILES CHECKLIST
feeder. A - Design and Operacing Requirements
1. Is the pile containing hazardous waste protected from wind? Yes No
2. Does waste pile have a liner and leachate collection system Yes No
(Part 264)?
a. If no, has facility proved to Regional Administrator Yes No
that waste pile's design characteristics will prevent
migration of hazardous constituents into ground water
(Part 264)?
3. Is run-on diverted around active portion (Part 264)? Yes No
4. Is runoff collected and controlled (Part 264)? Yes No
5. Are collection and holding facilities emptied after storms? Yes No
Section B - Waste Analysis (Part 265)
1. Is a representative sample of waste from each incoming ship- Yes No
ment analyzed before the waste is added to the pile to
determine the compatibility of the wastes?
2. Does the analysis include a visual comparison of color or Yes No
texture?
Section C - Containment (Part 265)
1. Is the leachate or runoff from the pile considered a Yes No
hazardous waste?
a. If yes, is the pile managed with the following:
1. An impermeable base compatible with the waste? Yes No
2. Run-on diversion? Yes No
3. Leachate and runoff collection? Yes No
4. Are collection and holding facilities periodically Yes No
emptied?
OR
5. Is the pile protected from precipitation and run- Yes No
on by some other means?
OSVER Dir. No. 9938.2A IV-26 March 1988
-------
EXHIBIT IV-9 (continued)
3. Has owner/operator demonstrated that no harm is done to Yes No
health or environment (Part 264)?
4. Has owner/operator demonstrated that any arsenic, lead, Yes No
mercury, or other constituents under 265.273(b) will not be
transported to crops (Part 265)?
f
5. Does the facility treat waste that contains cadmium? Yes No
a. If no, do not fill out b.
b. If yes, was the pH of the soil and waste mixture 6.5 or Yes No
greater at the time of each waste application?
1. If the pH was less than 6.5, did the waste contain Yes No
cadmium concentrations of 2 mg/kg or less?
£ setion F - Unsaturated-Zone Monitoring
1. Is an unsaturated-zone monitoring plan kept at the facility Yes No
(Part 265)?
2. Does owner/operator perform the following:
a. Soil monitoring? Yes No
b. Soil-pore water monitoring? Yes No
c. Sample depths below waste incorporation? Yes No
d. Background values (Part 264)? Yes No
e. Consistent sampling and analysis procedures? Yes No
f. Determination of significant changes? Yes No
g. Notification when change is found? Yes No
3. Does plan include the following (Part 265):
a. Depth of sampling? Yes No
b. Number of samples? Yes No
c. Frequency and timing of samples? Yes No
4. Does owner/operator analyze for hazardous waste constituents? Yes No
(continued)
OSVER Dir. No. 9938.2A IV-27 March 1988
-------
EXHIBIT IV-9 (continued)
a. For those Listed wastes, were analyses dene to deter- Yes
mine the concentrations of those constituents which
caused the waste to be listed?
1. If yes, what are these concentrations? (Use nar-
rative explanation sheet.)
b. For those characteristic wastes (EP) toxicity, what are
the concentrations of the following:
Concentration, mg/liter Waste
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Silver
Endrin
Lindane
Methoxychlor
Toxphene
2,4-D
2,4,5-TP silvex
Section E - Food-Chain Crops
1. Are food-chain crops grown? Yes No
a. If yes, what are the concentrations of the following in
the soil and vegetation:
Soil concentration, Vegetation concentration,
mg/liter mg/liter
Arsenic
Cadmium
Lead
Mercury
2. Did the facility notify Regional Administrator that he is Yes No
growing food-chain crops (Part 265)?
(continued)
OSVER Dir. No. 9938.2A IV-28 March 1988
-------
EXHIBIT IV-9 (continued)
g. Continue unsaturated-zone monitoring in compliance with Yes No
264.278?
h. Establish a vegetative cover on the portion of the Yes No
facility being closed at such time that the cover will
not substantially impede degradation, transformation,
or immobilization of hazardous constituents in the
treatment zone?
4. During post-closure care, does owner/operator:
a. Continue all operations (including pH control) necessary Yes No
to enhance degradation and transformation and sustain
immobilization of hazardous constituents in the treat-
ment zone?
b. Maintain a vegetative cover over closed portions of the Yes No
facility?
c. Maintain the run-on control system required under Yes No
§264.273(c)?
d. Maintain the runoff management system required under Yes No
§264.273(d)?
e. Control wind dispersal of hazardous waste if required Yes No
under §264.273(f)?
f. Continue to comply with any prohibitions or conditions Yes No
concerning growth of food-chain crops under §264.276?
g. Continue unsaturated-zone monitoring in compliance with Yes No
§264.278?
5. Does facility have certification that closure was performed Yes No
according to plan?
a. Was certification submitted to Regional Administrator Yes No
(Part 265)?
6. Does owner/operator continue the following during post-
closure (Part 265)?
a. Soil-pore monitoring by collecting and analyzing samples Yes No
as specified in the plan?
(continued)
OSWER Dir. No. 9938.2A IV-29 March 19S8
-------
EXHIBIT IV-9 (ccr.cinuec)
Section G - Recordkeeping
1. Are records kept at the facility of:
a. Application dates? Yes No
b. Application rates? ~Yes No
c. Quantities? Yes No
d. Waste location? Yes No
Section H - Closure and Post-Closure
1. Is a copy of the closure/post-closure plan kept at the Yes No
facility?
2. Does closure plan address the following (Part 265):
a. Control of the migration of hazardous waste and haz- Yes No
ardous waste constituents from the treated area into
the ground water?
b. Control of the release of contaminated runoff from Yes No
the facility into surface water?
c. Control of the release of airborne particulate con- Yes No
taminants caused by wind erosion?
d. Compliance with §265.276 concerning the growth of Yes No
food-chain crops?
3. Does owner/operator ensure the following during closure
(Part 264):
a. Maintenance of monitoring systems on unsaturated zone? Yes No
b. Maintenance of run-on controls? Yes No
c. Maintenance of runoff management system? Yes No
d. Wind dispersal control? Yes No
e. Attempt to maximize degradation, transformation, and Yes No
immobilization of hazardous waste constituents?
f. Continue to comply with any prohibitions or conditions Yes No
concerning growth of food-chain crops?
(continued)
OSVER Dir. No. 9938.2A IV-30 March 19E8
-------
EXHIBIT IV-10
LANDFILLS CHECKLIST
Section A - Design Requirements
1. Does landfill have two or more liners and a leachate col- Yes No
lection system between the liners?
2. Did owner/operator notify Regional Administrator 60 days Yes No
prior to receiving waste (Part 265)?
3. If landfill does not have two liners and a leachate collec- Yes No
tion system, did owner/operator adequately demonstrate to
Regional Administrator that alternate design and operation
prevents migration of hazardous constituents?
4. If no double liner exists, does landfill fall into one of
the following exemption categories:
a. Monofill only holds wastes from foundry furnace emission Yes No
controls or metal casting molding sand?
b. Monofill has at least one liner and there is no evidence Yes No
that liner is leaking?
c. Owner/operator demonstrates that monofill is located, Yes No
designed, and operated to prevent migration of hazard-
ous constituents?
5. If landfill does not have two liners and a leachate collec- Yes No
tion system, does it have at least one liner for all existing
portions (Part 264)?
a. If yes, does this liner provide for the following:
1. To prevent migration of wastes out of landfill to Yes No
subsurface soil, ground water, and surface water
(Part 264)?
2. A leachate collection and removal system immedi- Yes No
ately above the liner constructed to be chemically
resistant to the waste and strong enough not to
collapse under pressure (Part 264)?
6. If owner/operator does not comply with No. 5 above, is he Yes No
exempt after demonstrating to Regional Administrator that
alternate design and operation prevents migration of hazard-
ous constituents (Part 264)?
(continued)
OSWER Dir. No. 9938.2A IV-31 March 1988
-------
EXHIBIT IV-9 (continued)
b. Restrict access? Yes No
c. Assure that growth of food-chain crops is in compliance? Yes No
d. Control wind dispersal? Yes No
Section I - Ignitable or Reactive Wastes
1. Are ignitable or reactive wastes placed in the facility? Yes No
a. If yes, are the wastes treated, rendered, or mixed Yes No
before or after placement in the landfill so it is
no longer reactive or ignitable?
b. Describe or attach a copy of treatment.
Section J - Incompatible Wastes
1. Are incompatible wastes placed in the facility? Yes No
a. Are the incompatible wastes placed in different loca- Yes No
tions in the facility?
OSVER Dir. No. 9938.2A IV-32 March 1988
-------
EXHIBIT IV-10 (continued)
1. Maintain final cover? Yes No
2. Continue to operate leachate collection and removal Yes No
system until leachate is no longer collected?
3. Maintain ground-water monitoring? Yes No
4. Prevent run-on and runoff from eroding and damaging Yes No
cover?
5. Protect and maintain surveyed bench marks? Yes No
Section F - Ignitable and Reactive Waste
1. Are ignitable or reactive wastes placed in the landfill? Yes No
a. If yes, is waste treated, rendered, or mixed before or Yes No
immediately after placement so that it is no longer
ignitable or reactive?
2. Are ignitable wastes in containers placed in landfill? Yes No
a. If yes, attach a narrative describing how these wastes
are handled to prevent ignition or reaction?
Section G - Incompatible Wastes
I. Does owner/operator place incompatible wastes in landfill? Yes No
Section H - Bulk and Containerized Liquids
1. Does landfill receive any bulk or containerized liquid Yes No
hazardous waste?
a. If yes, have they been added to landfill since May 8, Yes No
1985?
2. Does landfill receive containers of free liquids? Yes No
a. If yes, is at least one of the following conditions met:
1. Have free-standing liquids been removed by Yes No
decanting or other methods; or have they been
mixed with absorbent or solidified?
2. Are containers ampules? Yes No
3. Is container designed to hold free liquids? Yes No
4. Is container a lab pack? Yes No
(continued)
OSWER Dir. No. 9938.2A IV-33 March 1988
-------
EXHIBIT IV-10 (continued)
Section B - Operating Requirements
1. Are run-on controls preventing flow onto the active portion Yes No
of the landfill?
2. Is runoff collected and controlled? Yes No
3. Are collection and holding facilities emptied after storms? Yes No
4. Is the landfill managed so that wind dispersal is controlled? Yes No
Section C - Monitoring and Inspection (Part 264)
1. Are liners inspected for defects during and after construe- Yes No
tion?
2. Are landfills inspected weekly and after storms for defects? __Yes No
Section D - Surveying and Recordkeeping
1. Does owner/operator retain records at the facility? Yes No
a. If yes, are the following maintained:
1. On map, exact location and dimensions, including Yes No
depths, of each cell?
2. Contents of each cell and approximate location of Yes No
each hazardous waste type within the cell?
Section E - Closure and Post-Closure
1. Is a closure plan kept on site? Yes No
a. If yes, does cover provide for the following:
1. Minimizing migration of liquids? Yes No
2. Minimum maintenance? Yes No
3. Promote drainage; minimize erosion? Yes No
4. Accommodate settling and subsidence? Yes No
5. Less permeable than bottom liner or natural Yes No
subsoils?
b. After final closure, does owner/operator provide for the
following:
(continued)
OSVER Dir. No. 9938.2A IV-34 March 1988
-------
EXHIBIT IV-11
INCINERATORS CHECKLIST
Section A - Waste Analysis (Part 265 only)
1. Does owner/operator analyze all wastes he has not previously Yes No
burned to enable him to establish steady-state operating
conditions?
a. If yes, does analysis include:
1. Determination of heating value? Yes No
2. Determination of halogen and sulfur content? Yes No
3. Concentrations of lead and mercury? Yes No
b. If lead and mercury are not included, has owner/operator Yes No
proven this fact to Regional Administrator?
2. Does owner/operator perform a waste feed analysis in the Yes No
Part B application?
3. Are waste analyses performed throughout normal operations? Yes No
Section B - Principal Organic Hazardous Constituents (POHC's) (Part 264)
1. Does owner/operator use POHC's in accordance with facility's Yes No
permit specifications?
Section C - Performance Standards (Part 264)
1. Does incinerator burn at a destruction and removal efficiency Yes No
(ORE) of at least 99.9999 percent for each POHC?
2. Do stack emissions of more than 1.8 kg/h of HC1 exceed both Yes No
1.8 kg/h and 1 percent HC1 in the stack?
3. Does incinerator emit particulates greater than 180 mg/dry Yes No
standard cubic meter?
Section D - Permits
1. Are wastes burned although no permit is issued (Part 264)? Yes No
(continued)
OSWER Dir. No. 9938.2A IV-35 March 1988
-------
EXHIBIT IV-10 (continued)
3. Have containers holding liquids that are not hazardous wastes Yes N'o
been placed in the landfill since November 8, 1985?
a. If yes, is one of the following conditions met:
1. Was it the only reasonable alternative to place it Yes No
in a landfill or unlined impoundment?
2. Did placement not present a risk to contaminating Yes No
any underground source of drinking .water?
Section I - Container Requirements
1. Are containers placed in the landfill? Yes No
a. If yes, are they either:
1. 90 percent full? Yes No
2. Crushed, shredded, or similarly reduced in volume? Yes No
Section J - Overpacked Drums
1. Are small containers of hazardous waste placed in landfill? Yes No
a. If yes, are the following requirements met?
1. Waste packaged in non-leaking container and tightly Yes No
sealed?
b. Containers not overpacked according to DOT regulations? Yes No
c. Absorbent material does not react with waste? Yes No
d. Incompatible wastes not placed outside the same con- Yes No
tainer?
e. Reactive waste treated or rendered nonactive before Yes No
packaging?
Section K - F020, F021. F022. F023. F026, and F027 Wastes (Part 264 only)
1. Are these wastes placed in landfill? Yes No
a. If yes, did owner/operator receive permission from Yes No
Regional Administrator to do so?
b. Is documentation of "a" above on file at facility? Yes No
OSWER Dir. No. 9938.2A IV-36 March 1968
-------
EXHIBIT IV-11
INCINERATORS CHECKLIST
Section A - Waste Analysis (Part 265 only)
1. Does owner/operator analyze all wastes he has not previously Yes No
burned to enable him to establish steady-state operating
conditions?
a. If yes, does analysis include:
1. Determination of heating value? Yes No
2. Determination of halogen and sulfur content? Yes No
3. Concentrations of lead and mercury? Yes No
b. If lead and mercury are not included, has owner/operator Yes No
proven this fact to Regional Administrator?
2. Does owner/operator perform a waste feed analysis in the Yes No
Part B application?
3. Are waste analyses performed throughout normal operations? Yes No
Section B - Principal Organic Hazardous Constituents (POHC's) (Part 264)
1. Does owner/operator use POHC's in accordance with facility's Yes No
permit specifications?
Section C - Performance Standards (Part 264)
1. Does incinerator burn at a destruction and removal efficiency Yes No
(ORE) of at least 99.9999 percent for each POHC?
2. Do stack emissions of more than 1.8 kg/h of HC1 exceed both Yes No
.1.8 kg/h and 1 percent HC1 in the stack?
3. Does incinerator emit particulates greater than 180 mg/dry Yes No
standard cubic meter?
Section D - Permits
1. Are wastes burned although no permit is issued (Part 264)? Yes No
(continued)
OSWER Dir. No. 9938.2A IV-37 March 1988
-------
EXHIBIT IV-11 (continued)
a. If yes, are wastes burned in a trial burn (Part 264) ? Yes No
CR
b. Does owner/operator have an exemption due to 264.340 Yes No
(Part 264)
c. Does owner/operator burn hazardous waste during startup Yes No
or shutdown if not allowed to do so in permit (Part 264)?
d. Is waste feed cut off when operating requirements are Yes No
not met (Part 264)?
Section E - Operating Requirements
1. Does incinerator operate per permit requirements (Part 264)? Yes No
2. Does owner/operator feed hazardous waste into incinerator Yes No
when it is not at steady state (Part 265)?
Section F - Monitoring and Inspections
1. Does owner/operator conduct, at a minimum, the following:
a. Existing instruments relating to combustion or emission Yes No
control every 15 minutes (Part 265)?
b. Is complete incinerator and associated equipment Yes No
inspected daily for leaks, spills, and emissions, and
are all emergency shutdown controls and system alarms
checked (Part 265)?
c. Are combustion temperature, waste feed rate, and combus- Yes No
tion gas velocity all checked continuously (Part 264)?
d. Is CO monitored continuously (Part 264)? Yes No
e. Are waste and exhaust emissions sampled and analyzed Yes No
(Part 264)?
f. Is incinerator usually checked daily for leaks and Yes No
spills (Part 264)?
(continued)
OSWER Dir. No. 9938.2A IV-38 March 1988
-------
EXHIBIT IV-11 (continued)
g. Are emergency feed cutoff and alarms inspected weekly Yes No
(Part 264)?
h. Are monitoring and inspection data recorded and placed Yes No
in operating log (Part 264)?
Section G - Closure
1. Is a closure plan kept on site? Yes No
2. At closure, has owner/operator removed all hazardous waste Yes No
residues from incinerator?
Section H - Interim Status (Part 265)
1. Does owner/operator burn F020, F021, F022, F023, F026, and/or Yes No
F027 wastes?
a. If yes, does owner/operator possess certification from Yes No
Assistant Administrator for Solid Waste and Emergency
Response to do so?
OSVER Dir. No. 9938.2A iv-39 March 1988
-------
EXHIBIT IV-12
THERMAL TREATMENT CHECKLIST
(Part 265 only)
NOTE: Applies to thermal treatment of hazardous waste in devices othe:
than incinerators.
Section A - Operating Requirements
1. Is the process a noncontinuous (batch) process? Yes No
a. If no, is the process operating at steady-state condi- Yes No
tions (including temperature) before adding hazardous
wa s t e ?
b. Is a waste analysis documented in the operating record
that includes:
1. Heating value? Yes No
2. Halogen content? Yes No
3. Sulfur content? Yes No
4. Concentration of lead? Yes No
5. Concentration of mercury? Yes No
NOTE: 4 and 5 not required if facility has written documented data that
show the elements are not present.
2. Does the owner/operator monitor the following when thermally
treating hazardous wastes:
a. At least every 15 minutes, existing instruments which
relate to the temperature and emission control:
1. Waste feed? Yes No
2. Auxiliary fuel feed? Yes No
3. Treatment process temperature? Yes No
4. Relevant process flow? Yes No
5. Relevant level controls? Yes No
b. Stack plume (emissions) at least hourly:
1. Color (normal)? Yes No
2. Opacity? Yes No
(continued)
OSWER Dir. No. 9938.2A IY-40 March 1988
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EXHIBIT IV- 12 (continued)
c. Thermal treatment process equipment at least daily:
1. Pumps, valves, conveyors, pipes, etc., for leaks, _ Yes _ No
spills, and fugitive emissions?
2. Emergency shutdown controls? _ Yes No
3. System alarms Yes No
d. Construction materials of the treatment process or _ Yes _ No
equipment at least weekly to detect corrosion or leaking
of fixtures or seams?
e. Construction materials of the area immediately surround- _ Yes No
ing discharge confinement structures at least weekly?
Section B - Closure
1. Is a closure plan maintained at the facility? _ Yes _ No
Section C - Open Burning
1. Is there evidence of any open burning of hazardous waste? Yes No
(Use narrative explanation sheet.)
2. Is open burning or detonation of waste explosives conducted? _ Yes _ No
a. If yes, is the detonation performed in accordance with
the following table?
Pounds of waste explosives Minimum distance from open burning
_ or propellants _ detonation to the property or others
0-100 204 m (670 ft)
101-1,000 380 m (1250 ft)
1,001-10,000 530 m (1730 ft)
10,001-30,000 690 m (2260 ft)
Section D - Particulate Hazardous Waste
1. Does owner /operator burn F020, F021, F022, F023, F026, _ Yes _ No
and/or F027 wastes?
a. If yes, does owner /operator have documented permission _ Yes _ No
from Assistant Administrator for Solid Waste and
Emergency Response to do so?
9938. 2A iv-41 March 1988
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EXHIBIT IV-12 (continued)
section £ - Closure
Does the facility maintain a closure plan? Yes No
Section F - Ignitable or Reactive Waste
1. Are ignitable or reactive wastes placed in the treatment Yes No
process?
a. If yes, is the waste treated, rendered, or mixed before Yes No
or immediately after being placed in the treatment
process so it no longer meets the definition of ig-
nitable or reactive?
Describe or attach a copy of the treatment.
Section G - Incompatible Wastes
1. Are incompatible wastes placed in the same treatment process Yes No
or equipment?
2. Are hazardous wastes placed in washed equipment if equipment Yes No
previously held incompatible waste?
OSVER Dir. No. 9938.2A IV-t>2
March 1988
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EXHIBIT IV-13
GROUND-WATER MONITORING CHECKLIST
Section A - Monitoring System
1. Does the facility have a ground-water monitoring system in Yes No
operation?
a. If yes, does the system consist of:
1. One upgradient monitoring well (Part 265)? Yes No
2. Three downgradient monitoring wells (Part 265)? Yes No
b. Are monitoring wells cased so that the integrity of the Yes No
boreholes is maintained (Part 265)?
c. Is a compliance monitoring system installed whenever Yes No
hazardous waste constituents are detected at the
compliance point (Part 264)?
d. Is a corrective-action program initiated whenever the Yes No
ground-water protection standard is exceeded (Part 264)?
e. Is a detection monitoring program instituted in all Yes No
other cases (Part 264)?
2. Does facility have a monitoring and response program (Part Yes No
264)?
a. If yes, is a compliance monitoring system instituted Yes No
whenever hazardous constituents are detected at the
compliance point (Part 264)?
b. Whenever the ground-water protection standard is ex- Yes No
ceeded, does facility institute a corrective-action
program (Part 264)?
c. In all other cases, does facility institute a detection Yes No
monitoring program (Part 264)?
Section B - Sampling and Analysis (Part 265 only)
1. Does the facility obtain and analyze samples from the Yes No
ground-water monitoring system?
(continued)
OSVER Dir. No. 9938.2A IV-43 March 1988
-------
EXHIBIT IV-13 (continued)
2. Has facility developed and followed a ground-water sampling Yes Xc
and analysis plan?
a. If yes, does this plan include procedures and techniques
for:
i. Sample collection? Yes No
2. Sample preservation? Yes No
3. Analytical procedures? Yes No
4. Chain-of-custody control? Yes No
b. Does the facility determine the concentration or value
of the following parameters in ground-water samples?
1. Parameters characterizing the suitability of the Yes No
ground water as a drinking water supply, as
specified in §265, Appendix 3?
2. Parameters establishing ground-water quality (chlo- Yes No
ride, iron, manganese, phenols, sodium, sulfate)?
3. Parameters used as indicators of ground-water con- Yes No
tamination (pH, specific conductance, total organic
carbon, total organic halogen)?
c. Has the owner/operator established initial background Yes No
concentrations or values of all parameters specified
above at least on a quarterly basis?
d. Has owner/operator obtained at least four replicate Yes No
measurements for each sample, and has he determined
the initial background arithmetic mean and variance?
e. After the first year, does owner/operator sample and Yes No
analyze with the following frequencies:
1. Samples collected to establish background Yes No
quality (from above)?
2. Samples collected to indicate contamination (from Yes No
above)?
3. Elevation of ground-water surface at each moni- Yes No
toring well at each sampling event?
Section C - Preparation, Evaluation, and Response (Part 265 only)
1. Did owner/operator prepare an outline of a ground-water Yes No
quality assessment program?
(continued)
OSVER Dir. No. 9938.2A IY-44 March 1988
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EXHIBIT IV-13 (continued)
a. If yes, did program determine the following:
1. Whether hazardous waste or hazardous waste con- Yes No
stituents have entered the ground water?
2. Rate and extent of hazardous waste or hazardous Yes No
waste constituent migration?
3. Concentrations of hazardous waste or hazardous Yes No
waste constituents in ground water?
b. For each well, has owner/operator calculated the Yes No
arithmetic mean and variance, based on four replicate
measurements for each sample, and compared the results
with initial background mean?
c. Has owner/operator submitted information documenting Yes No
any significant increase in comparisons for upgradient
wells (or decrease in pH)?
d. If the comparisons for downgradient wells show a sig- Yes No
nificant increase (or pH decrease), has the owner/opera-
tor obtained additional ground-water samples from those
downgradient wells in which a significant decrease was
detected? (Samples must be split in two, and analyses
must be obtained of all additional samples to determine
whether the significant difference was a result of lab
error?
1. If analyses (described above) were performed, and Yes No
confirmed the significant increase (or pH de-
crease) , did owner/operator notify Regional
Administrator within 7 days?
2. If analyses confirmed significant increase (or pH Yes No
decrease), did owner/operator submit to the Re-
gional Administrator within 14 days after notifi-
cation (discussed above) a certified ground-water
quality assessment program?
a. If yes, does plan include the following:
1. Number, location, and depth of wells? Yes No
2. Sampling and analytical methods for Yes No
those hazardous wastes and hazardous
waste constituents at the facility?
3. Evaluation procedures, including any Yes No
use of previously gathered ground-water
quality information?
4. Schedule of implementation? Yes No
(continued)
OSWER Dir. No. 9938.2A IV-45 March 1988
-------
EXHIBIT IV-13 (continued)
Did cvner/operator implement che ground-water
quality-assessment program and, at a minimum, did
he determine the following:
a. Rate and extent of migration of the hazardous
waste constituents in the ground water?
b. Concentrations of the hazardous waste in the
ground water?
Did owner/operator submit a report to Regional
Administrator containing the requests of the
assessment outlined in No. 3 above within 15 days?
Did owner/operator notify Regional Administrator
of reinstatement of indicator evaluation program
upon finding that no hazardous waste or hazardous
waste constituents had entered the ground water?
If owner/operator determined that hazardous waste
or hazardous waste constituents entered the ground
water, did he either continue to make the determi-
nations listed in No. 3 above on a quarterly basis
until final closure or ground-water quality-assess-
ment plan was implemented prior to post-closure
care, or cease to make determinations required in
No. 3 above if ground-water quality-assessment plan
was implemented during post-closure?
If any ground-water quality-assessment program is
implemented to satisfy No. 3 above prior to final
closure, has owner/operator completed program and
reported to Regional Administrator, as outlined in
No. 4 above?
If owner/operator does not monitor at least annu-
ally to satisfy No. 3 above, does owner/operator
evaluate data on ground-water elevation obtained
under No. 2e in Section B above to determine
whether the requirements for locating monitoring
wells are satisfied?
a. If evaluation shows that the requirements for
monitoring wells are not satisfied, has
owner/operator modified the number, location,
or depth of the monitoring wells to bring the
system into compliance?
No
_Yes No
Yes No
_Yes No
Yes No
Yes
No
Yes No
Yes
No
Yes
No
(continued)
CSVER Dir. No. 9938.2A
March 1988
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EXHIBIT IV-13 (continued)
Section D - Recordkeeping and Reporting (Part 265 only)
1. Unless owner/operator is monitoring to satisfy the require-
ments of §265.93(d)(4), does owner/operator:
a. Keep records of the analyses required in §265.92(c) and Yes No
(d), ground-water surface elevations required in
265.93(b) throughout the active life of the facility
and throughout post-closure?
b. Report the following information to the Regional Ad-
ministrator:
1. Within 15 days of analysis for each quarterly Yes No
sampling event, does owner/operator submit re-
sults of background concentrations?
2. Does owner/operator inform Regional Administrator Yes No
about any parameters that exceed maximum contami-
nant levels listed in Appendix III?
3. (Annually) does owner/operator report concentra- Yes No
tions or values of parameters listed in
§265.92(b)(3) for each well, including required
evaluations for these parameters under §265.93(b)?
a. Does owner/operator also identify differences Yes No
from initial background concentrations found
in the upgradient wells no later than March 1
following each calendar year?
2. Does owner/operator submit results of the ground-water sur- Yes No
face elevations under §265.93(f), along with a description
of the response, if needed?
3. If ground water is monitored to satisfy requirements of
§265.93(d)(4), did owner/operator do the following:
a. Keep records of analyses and evaluations specified in Yes No
the plan throughout active life and post-closure?
b. (Annually, until final closure) submit to the Regional Yes No
Administrator a report containing the results of the
ground-water quality assessment program, including the
calculated rate of migration of hazardous waste or
hazardous waste constituents by March 1?
(continued)
OSWER Dir. No. 9938.2A IV-47 March 1988
-------
EXHIBIT IV-13 (continued)
Section E - General Requirements (Part 264 only)
1. Does facility comply with the following requirements?
a. Are sufficient wells installed at appropriate locations Yes No
and depths?
b. Have sampling and analysis techniques been consistent? Yes No
c. Have ground-water elevation data been recorded? Yes No
d. Have background concentrations been determined? Yes No
2. If ground water is monitored to satisfy requirements of
§265.93(d)(4), owner/operator must:
a. Keep records of the analyses and evaluations specified Yes No
in the plan throughout the facility's active life, and,
for disposal facilities, throughout post-closure.
b. Report the following ground-water monitoring information:
1. During the first year when initial background Yes No
concentrations are being determined, did owner/op-
erator submit values within 15 days after complet-
ing analysis?
2. If yes, did owner/operator also submit an identi- Yes No
fication of any parameters whose concentrations
exceed maximum levels in Appendix III?
3. (Annually) did owner/operator report concentrations Yes No
or values of the parameters listed in §265.92(b)(2)
for each well, along with required evaluations for
these parameters under §265.93(b)?
4. Did owner/operator also separately identify any Yes No
significant differences from initial background
concentrations for upgradient wells?
5. Did owner/operator report on the results of ground- Yes No
water surface elevations (and a description of the
results if necessary) by March 1 of the following
year?
Section F - Detection Monitoring Program (Part 264 only)
1. Has owner/operator established detection monitoring system Yes No
to provide reliable indications for detection releases?
(continued)
OSVER Dir. No. 9938.2A r;-a8 March 1988
-------
EXHIBIT IV-13 (continued)
a. If yes, are the following components included in the
system:
1. Background values? Yes No
2. Determination of ground-water flow rate? Yes No
3. Determination of ground-water compliance point Yes No
semiannually?
A. Determination of statistically significant increas- Yes No
es over background concentrations?
5. Notification to Regional Administrator if there Yes No
was a statistically significant increase?
Section G - Compliance Monitoring Program (Part 264 only)
1. Does facility operate a compliance monitoring program? Yes No
a. Does facility determine concentrations of hazardous Yes No
constituents at least quarterly?
b. Does facility determine ground-water flow rate and Yes No
direction in uppermost aquifer annually?
c. Does facility analyze samples for Appendix VIII Yes No
constituents annually?
d. Does facility make statistically significant increases Yes No
over background values?
e. If there is an increase, does facility notify Regional Yes No
Administrator and submit to establish a corrective-
action program?
Section K - Corrective-Action Program (Part 264 only)
1. Does facility follow a corrective-action program that meets Yes No
the facility's permit requirements?
OSVER Dir. No. 9938.2A IV-49 v
±v ^* March 1988
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WASTE INFORMATION WORKSHEET
(To be filled out for each facility waste)
WASTE NAME:
PROCESS GENERATING THE WASTE:
HOW HAS FACILITY CLASSIFIED THE WASTE ?
HAZARDOUS (if so, list waste code) NON-HAZARDOUS
HOW HAS FACILITY MADE THIS DETERMINATION ?
TESTING PROCESS KNOWLEDGE
ARE ANY TEST RESULTS AVAILABLE ?
YES (if so, look at) NO
WASTE GENERATION RATE:
DISPOSAL PROCEDURE:
CURRENT_
PAST
HAVE MANIFESTS BEEN USED FOR OFF-SITE SHIPMENT ?
YES (if so, look at) NO
IS WASTE SUBJECT TO LAND DISPOSAL RESTRICTIONS UNDER 40 CFG 268 ?
IS WASTE SUBJECT TO EXCLUSIONS UNDER 40 CFR 261.4 ?
OSWER Dir. No. 9938.2A IV-50 March 1988
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HEALTH AND SAFETY
-------
Appendix V
Health and
Safety Considerations
The health and safety of inspection personnel is an important aspect of
the overall inspection process that must be seriously considered prior to
their entering a facility. The Occupational Safety and Health Administration
(OSHA) standards for hazardous materials (Subpart H of 29 CFR Part 1910) were
amended in December 1986 by the addition of a new §1910.120, which contains
protection requirements for workers involved in hazardous waste operations.
This interim final rule, mandated by the Superfund Amendments and
Reauthorization Act (SARA) of 1986, regulates employee safety and health at
hazardous waste operations and during emergency response actions. The
inspector must be thoroughly familiar with the OSHA health and safety
regulations to ensure compliance with those requirements that are applicable
to the inspection process.
Another source of information regarding health and safety requirements
with which the inspector should be familiar is U.S. EPA Order No. 1440.2,
titled "Health and Safety Requirements for Employees Engaged in Field
Activities". This Order establishes policy, responsibilities, and mandatory
requirements for occupational health and safety training and for occupational
medical monitoring of EPA employees engaged in field activities. The
information and guidelines presented in the Order are applicable to all EPA
organizational units having employees engaged in field activities; therefore,
the RCRA inspector should be familiar with its contents.
All hazardous waste management facilities pose some degree of hazard to
personnel present on site, and this hazard increases in direct proportion to
the decrease in the amount and quality of information available to these
personnel on facility operations and practices. Therefore, it is extremely
important that the inspector understands the facility's processes and
hazardous waste management practices prior to entering the facility so that he
or she is aware of all the potential health and safety issues and follows the
appropriate procedures during the inspection. In addition to reviewing
Federal, State, and/or local files and interviewing regulatory personnel who
are familiar with the facility, the inspector should also consult the Regional
Safety Officer or equivalent State official, regarding potential hazards
before undertaking the inspection. Even though thoroughly familiar with
available information regarding a facility, the inspector still may not have
all the information needed to make sound health and safety judgments;
OSWER Dir. No. 9938.2A V-l March 1988
-------
therefore, common sense and experience must enter into determinations and
decisions. The inspector should not assume that the owner/operator knows all
of the safety concerns that may apply to the facility, and should not take
statements made by the owner/operator concerning the safety of an activity or
location at the facility at face value.
The RCRA inspector should have a working knowledge of the following
health- and safety-related areas and issues:
o Potential exposure routes
o 'Hazard assessment
o Long-term risk
o Levels of protection
o Safety equipment (use and maintenance)
o Personal protective equipment (use and maintenance)
o Decontamination and disposal of protective clothing
o Emergency treatment.
Table V-l presents a partial listing of guidance documents that are
available on health and safety issues related to hazardous waste management.
The inspector is referred to these documents for detailed information on the
areas and issues identified above. In addition to this list, Appendix VI
contains names and descriptions of chemical information sources, which will
also be of use to the inspector.
OSWER Dir. No. 9938.2A V-2 March 1988
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TABLE V-l. LIST OF HEALTH AND SAFETY GUIDANCE DOCUMENTS
"Appendix M, Site Safety Plan Guidance: Draft." OSWER 9375.1-2A-C. U.S.
Environmental Protection Agency. December 30, 1986. Provides information on
health and safety to supplement Regional Office safety procedures.
"Chemical Engineering Preparedness Program, Interim Guidance," U.S. Environ-
mental Protection Agency. Program Directive No. 9223.0-01A. OERR, Catalog
of Program Directives. December 1986. Establishes Criteria for identifying
acutely toxic chemicals.
Chemical Manufacturers Association, 1825 Connecticut Avenue, N.W., Wash-
ington, D.C. 20009. The CMA has many publications that give complete in-
formation on health and fire hazards, handling, storage, labeling, packaging,
and transportation. A list of publications is available.
"Dangerous Properties of Industrial Materials," Newton Irving Sax, Reinhold
Publishing Corporation, New York, 1963, Third Edition. Contains information
covering more than 12,000 hazardous materials. Areas of hazard covered
include radiation hazards, industrial fire protection, storage and handling
of hazardous materials, respiratory protection, and personal hygiene.
"Environmental Monitoring Series: Hazardous Materials Spill Monitoring
Safety Handbook and Chemical Hazard Guide Part A." EPAx8602-0151. U.S.
Environmental Protection Agency. 1979. Presents information on hazards from
spills of chemical compounds, exposure, prevention, protection, and first-aid
measures to be followed by response personnel.
"Fire Protection Guide on Hazardous Materials," National Fire Protection
Association, 60 Batterymarch Street, Boston, Massachusetts 02110. This
recent publication is a complete volume on the fire, explosion, and health
characteristics of many chemicals and materials. It combines five previous
NFPA texts (49, 491M, 325A, 325M, and 704M).
"Guidance on Remedial Investigations Under CERCLA," U.S. Environmental Pro-
tection Agency, HWERL, OERR, OWPE. May 1985. Provides guidance on conduct-
ing remedial investigations at uncontrolled hazardous waste sites; includes
detailed discussion of health and safety issues and procedures.
"Hazardous Material Handling Training Manual," NUS Corporation, Waste Manage-
ment Services Group. February 1987. Guidance manual used for health and
safety training of RCRA and CERCLA field personnel.
"Hazardous Waste Site Investigation Training." EPA-8512-0003. U.S. Environ-
mental Protection Agency. 1981. Covers a 5-day training course and includes
appendices on toxicology and safety and health policy.
OSWER Dir. No. 9938.2A V-3 March 1988
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TABLE V-l. (CONTINUED)
"Hazardous Waste Sites and Hazardous Substance Emergencies: Worker Bulle-
tin," EPAx8610-0023. U.S. Department of Health and Human Services. 1982.
Provides preliminary guidance to protect health of hazardous waste workers;
joint project of EPA, N10SH, OSHA, and U.S. Coast Guard.
Health effects assessment documents (available for a large number of chemical
compounds). U.S. Environmental Protection Agency, Office of Research and
Development, Environmental Criteria and Assessment Office. 1984.
"NEIC Safety Manual," U.S. Environmental Protection Agency, Office of En-
forcement, National Enforcement Investigation Center, EPA-330/9-74-002-B,
Denver, Colorado, February 1977. Provides general guidelines on safety for
NEIC personnel; consistent with OSHA requirements.
"Occupational Safety and Health for the Federal Employee," U.S. Department of
Labor, Occupational Safety and Health Administration, January 1, 1979. A
booklet outlining Federal Government policy concerning occupational safety
and health protection provided for Government employees.
"Occupational Safety and Health Guidance Manual for Hazardous Waste Site
Activities." EPAx8603-0213. NIOSH. 1985. Provides guidance on hazards,
training, medical programs, protective equipment, decontamination, air moni-
toring, container handling, and site emergencies.
"Occupational Safety and Health Technical Assistance and Enforcement Guide-
lines for Superfund," U.S. Environmental Protection Agency. Program Direc-
tive No. 9285.3-01. OERR. Catalog of Program Directives. December 1986.
Provides direction for OSHA and other field staff who may be called upon to
provide technical assistance or conduct enforcement activities at hazardous
waste sites.
"Protecting Health and Safety at Hazardous Waste Sites: An Overview."
EPAx8603-0208. U.S. Environmental Protection Agency. 1985. Summaries for
health protection; details training, medical monitoring, handling waste
containers, and wearing personal protective equipment.
"Quality Assurance/Field Operations Methods Manual," U.S. Environmental
Protection Agency. Program Directive No. 9355.0-14. OERR. Catalog of
Program Directives. December 1986. Provides Remedial Project Managers
(RPM's), quality assurance officers, and States with a reference for field
procedures.
"Standard Operating Safety Guide Manual," U.S. Environmental Protection
Agency. Program Directive No. 9285.1-01B. OERR. Catalog of Program
Directives. December 1986. Provides guidance on health and safety to com-
plement professional judgment and experience and to supplement existing
regional safety criteria.
OSWER Dir. No. 9938.2A V-4 March 1988
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