EPA 305-X-04-001

 July 2004

 

NPDES Compliance

Inspection Manual
Office of Enforcement EPA 305-X-04-001

and Compliance Assurance July 2004

(2223A) 
NPDES Compliance 

Inspection Manual

July 2004 

(Appendix J - updated April 2006) 

(Appendix H - updated August 2006)

U.S. Environmental Protection Agency 

Office of Compliance 

Office of Enforcement and Compliance Assurance 

1200 Pennsylvania Avenue, N.W.
This page intentionally left blank. 
FOREWORD 

The National Pollutant Discharge Elimination System (NPDES) Compliance Inspection Manual 

has been developed to support personnel that conduct NPDES inspections of wastewater 

treatment plants, storm water industrial and construction sites, pretreatment facilities, biosolids 

handling and treatment facilities, Concentrated Animal Feeding Operations (CAFOs), municipal 

wastewater collection systems (combined and separate from storm water) as well as pollution 

prevention and multimedia concerns. These procedures are fundamental to the NPDES 

compliance program and provide inspectors with a method for conducting inspections. 

The manual presents standard procedures for inspections. In addition to the manual EPA 

expects its inspectors to have completed training to develop a good working knowledge of the 

subject related problems, regulations, control technologies, and Best Management Practices. 

EPA Order 3500.1, Training and Development for Compliance Inspectors/Field Investigators, 

establishes the Basic Health and Safety and Program-Specific Curricula for EPA compliance 

inspectors before they lead or conduct inspections independently. The manual will serve as a 

reference for the experienced inspector. 

Regional and State personnel are encouraged to provide U.S. Environmental Protection Agency 

(EPA) Headquarters with changes or information that would improve the manual. Comments, 

information, and suggestions should be addressed to: 

Clean Water Team


Compliance Assessment and Media Programs Division (2223A)


Office of Enforcement and Compliance Assurance


U.S. Environmental Protection Agency


1200 Pennsylvania Avenue, NW


Washington, DC 20460


The information contained in this manual is comprehensive and designed to address a wide 

range of activities. Since each inspection may not involve all activities, the inspector should 

refer to those parts applicable to the particular inspection. 

i 
Manual Organization 

The manual is organized into two parts. The first part, covering basic inspection components, 

consists of seven chapters. The second part includes specific information on different types of 

inspections. 

Basic Inspection Components 

•	 Chapter One, "Introduction," describes the NPDES program and provides general 

information relating to legal authority and inspector responsibilities. 

•	 Chapter Two, "Inspection Procedures," discusses general procedures common to all 

NPDES inspections, including pre-inspection preparation, entry, opening conference, 

documentation, closing conference, and the inspection report. 

•	 Chapters Three through Seven provide the specific technical information necessary to 

conduct the full range of NPDES compliance inspection activities. Each chapter describes 

procedures for the major technical activities involved in compliance inspections: 

- Chapter Three, Documentation/Recordkeeping and Reporting


- Chapter Four, Facility Site Review


- Chapter Five, Sampling


- Chapter Six, Flow Measurement


- Chapter Seven, Laboratory Procedures and Quality Assurance


Specific Information 

• Chapter Eight, Toxicity 

• Chapter Nine, Pretreatment 

• Chapter Ten, Sewage Sludge 

• Chapter Eleven, Storm Water 

• Chapter Twelve, Combined Sewer Overflows 

• Chapter Thirteen, Sanitary Sewer Overflows 

• Chapter Fourteen, Pollution Prevention 

• Chapter Fifteen, Multi Media Concerns 

• Chapter Sixteen, Concentrated Animal Feeding Operations 

Within each chapter, tables illustrate the topics discussed in the text. These are located at the 

end of the chapter subsection in which they are referenced. Additional information and figures 

are also included in the appendices to the manual. As appropriate, references and checklists 

are provided at the end of the chapter. The checklists presented in this manual are intended as 

guidance. They can be used as presented or modified to address the needs of the inspection 

authority. (More detailed checklists/guidance for any individual inspection type may have also 

been developed by EPA or State agencies and are presented in the guidance materials specific 

to that type of inspection.) 

It should be noted that the text is written from the perspective of the Federal Clean Water Act 

requirements. State NPDES inspectors using this manual may find that State rules and 

procedures on such topics as notice to the permittees vary to some degree from the material 

found in this manual. 

ii 
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iii

ACKNOWLEDGMENTS 

We would like to thank the considerable efforts and cooperation of the persons who reviewed 

this document and provided comments. 

This manual was revised under the direction of Peter Bahor, who chaired the workgroup. 

Extensive reviews were conducted by EPA Headquarters and Regional Offices. These reviews 

provided valuable comments. A special thanks to the following work group participants for their 

assistance in updating this manual: 

Headquarters - Office of Compliance 

Walter Brodtman, Environmental Engineer, Compliance Assistance and Sector Programs


Division (CASPD), 


Sharie Centilla, Environmental Protection Specialist, CASPD, 


Elson Lim, Environmental Engineer, Compliance Assessment and Media Programs Division


(CAMPD), OC


Phyllis Flaherty, Chief, Compliance Monitoring and Water Programs Branch, CAMPD


Virginia Lathrop, Environmental Scientist, CM&WP Branch, CAMPD


lliana Tamacas, Environmental Scientist, CM&WP Branch, CAMPD


Julie Tankersley, Environmental Protection Specialist, CM&WP Branch, CAMPD


Headquarters - Office of Regulatory Enforcement, Water Enforcement Division 

Kevin Bell, Environmental Scientist


Lauren Kabler, Attorney Advisor


Sushila Nanda, Attorney Advisor


Roger Gorke, Environmental Protection Specialist, (on detail)


Headquarters - Office of Wastewater Managerment 

Robert Bastian, Senior Environmental Scientist


Wendy Bell, Environmental Engineer,


Tim Dwyer, Environmental Engineeer, 


Robin Kime, Environmental Protection Specialist, 


Laura Phillips, Biologist, Water Permits, Division, 


Jan Pickrel, Pretreatment Team Leader, 


Alan Rubin Ph.D., Senior Scientist


John M. Walker Ph.D., Senior Physical Scientist,


Headquarters - Office of Science and Technology 

Marion Kelly, Environmental Protection Specialist 

Region III - Office of Compliance and Enforcement, Water Protection Division 

Jon Hundertmark, Environmental Engineer, 

Region IV 

Mike Bowden, Environmental Engineer, Enforcement and Investigations Branch, Region


Athens, GA


Ron Phelps, Region IV; Environmental Scientist, Enf. And Investigations Branch,


Science and Ecosystems Support Division


iv 
Region VI -Compliance Assurance and Enforcement Division 

Ken Aubuchon, Environmental Engineer


James H. Eng, Environmental Scientist


Juan Ibarra, Environmental Scientist


Phillip Jennings, Whole Effluent Toxicity Coordinator


Region IX 

Steve Fuller, Water Inspector


Debra L. Denton Ph.D, Environmental Scientist


Region X 

Jim Corpuz, Environmental Protection Specialist, NPDES Compliance Officer, Office of Water 

Andy Hess, Environmental Scientist, Office of Env. Assessment, Investigations and Engineering 

Unit 

Office of Research and Development, Duluth, MN 

Teresa Norberg-King, Research Aquatic Biologist


National Enforcement Investigations Center (NEIC)


Doreen Au, Chemical Engineer


Linda TeKrony, Environmental Engineer


Daren Vanlerberghe, Environmental Engineer


Jacquelyn Vega, Environmental Engineer


v 
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vi

DISCLAIMER 

The purpose of this guidance is to provide inspectors with an in-depth knowledge of the 

National Pollutant Discharge Elimination System (NPDES) inspection process. Specifically this 

manual provides information and references on the components necessary to complete the 

various types of NPDES inspections. Many of the chapters also include checklists. It is 

important that an inspector not rely solely on the checklist, but use it as one of the tools when 

conducting an inspection and evaluating compliance. Finally, the mention of trade names, 

commercial products, or organizations does not imply endorsement by the U.S. Government. 

vii 
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viii

Table of Contents 

TABLE OF CONTENTS


Contents Page 

FOREWORD .............................................................. i


Manual Organization ......................................................... ii


ACKNOWLEDGMENTS ..................................................... iv


DISCLAIMER ............................................................ . vii


1. INTRODUCTION 

A. Purpose and Objectives ........................................ . 1-1


B. Legal Authority for NPDES Inspections .............................. 1-5


C.	 Responsibilities of the EPA NPDES Inspector ......................... 1-7


D. References .................................................. 1-15


2. INSPECTION PROCEDURES 

A. Pre-Inspection Preparation ....................................... 2-1


B. Offsite Surveillance ............................................ 2-11


C.	 Entry ....................................................... 2-13


D. Opening Conference ........................................... 2-17


E. Documentation ............................................... 2-21


F. Closing Conference ............................................ 2-33


G. Inspection Report ............................................. 2-35


3. DOCUMENTATION/RECORDKEEPING AND REPORTING 

A. Inspection Authority and Objectives ................................ 3-1


B. Evaluation Procedures .......................................... 3-3


C. Verification, Recordkeeping, and Reporting Evaluation Checklist ......... 3-11


D. Digitized Video Clip - Records & Reports .......... (CD-Rom Insert in binder)


4. FACILITY SITE REVIEW 

A. Objectives .................................................... 4-1


B. Physical Inspection of the Facility .................................. 4-3


C. Operation and Maintenance Evaluation ............................. 4-17


D. References and Facility Site Review Checklist ....................... 4-27


5. SAMPLING 

A. Evaluation of Permittee Sampling Program and Compliance Sampling ...... 5-1


B. Sampling Procedures and Techniques .............................. 5-3


C. References and Permittee Sampling Inspection Checklist ............... 5-25


D. Digitized Video Clip - Sampling .................. (CD-Rom Insert in binder)


ix 
Table of Contents 

6. FLOW MEASUREMENT 

A.
 Evaluation of Permittee's Flow Measurement ......................... 6-1


B. Flow Measurement Compliance ................................... 6-5


C. References and Flow Measurement Inspection Checklist ............... 6-14


D. Digitized Video Clip – Parshall Flume ............. (CD-Rom Insert in binder)


7. LABORATORY PROCEDURES AND QUALITY ASSURANCE 

A. Objectives and Requirements ..................................... 7-1


B. Sample Handling Procedures ..................................... 7-3


C. Laboratory Analyses Techniques Evaluation .......................... 7-5


D. Quality Assurance and Quality Control .............................. 7-9


E. References and Laboratory Quality Assurance Checklist ............... 7-15


8. TOXICITY 

A. Objectives .................................................... 8-1


B. Requirements of WET Testing .................................... 8-3


C.	 Analysis of Results ............................................ 8-15


D. References .................................................. 8-19


9. PRETREATMENT 

A. Review of the General Pretreatment Regulations ...................... 9-1


B. Pretreatment Compliance Inspections (PCIs) and Audits ............... 9-17


C. References .................................................. 9-23


10. SEWAGE SLUDGE (Biosolids) 

A. Review of the Sewage Sludge (Biosolids) Regulations ................. 10-1


B. Sludge Inspection Procedures ................................... 10-12


C. References and Checklist ...................................... 10-36


11. STORM WATER 

A. Background and History ........................................ 11-1


B. Storm Water Discharges Associated with Industrial Activity (Not Including 


Construction) ................................................. 11-7


C. Storm Water Discharges Associated with Construction Activity .......... 11-20


D. Storm Water Discharges From Municipal Separate Storm Sewer


Systems ................................................... 11-30


E. References ................................................. 11-39


12. COMBINED SEWER OVERFLOWS 

A. Background and History of the CSO Policy .......................... 12-1


B. CSO Inspection Procedures ..................................... 12-5


C.
 References and Checklist ...................................... 12-15 

13. SANITARY SEWER OVERFLOWS 

x 
Table of Contents 

A. Overview of SSOs ............................................. 13-1


B. SSO Inspection Procedures ..................................... 13-5


C. References ................................................. 13-11


14. POLLUTION PREVENTION 

A. Overview of Pollution Prevention .................................. 14-1


B. Pollution Prevention Opportunity Assessment Procedures


for Industrial Facilities .......................................... 14-7


C. Pollution Prevention Assessment Procedures For Municipal 

Wastewater Treatment Plants ................................... 14-15


D. References and Checklist ...................................... 14-19


15. MULTI MEDIA CONCERNS 

A. Introduction .................................................. 15-1


B. Overview of the Multi Media Approach to Inspections .................. 15-3


C. Multi Media Concerns at NPDES Facilities and the Multi Media 

Screening Program ............................................ 15-5


D. NPDES Inspectors and Multi Media Inspections ...................... 15-9


E. References and Worksheet ..................................... 15-13


16. CONCENTRATED ANIMAL FEEDING OPERATIONS 

A. Objectives ................................................... 16-1


B. CAFO Regulation Overview ...................................... 16-3


C. CAFO Inspection Overview ..................................... 16-27


D. Multimedia Concerns .......................................... 16-40


E. References ................................................. 16-43


17. APPEARING AS A WITNESS 

A. Introduction .................................................. 17-1


B. Pre-Testimony Matters ........................................ . 17-1


C. Giving Testimony .............................................. 17-3


D. Special Considerations ........................................ . 17-6


18. GLOSSARY OF TERMS ............................................... 18-1


xi 
Table of Contents 

APPENDICES 

A.	 EPA Order 3500.1, Training and Development for Compliance Inspectors/Field


Investigators - see website: 


“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


B.	 EPA Order 1440.2, Health and Safety Requirements for Employees Engaged in


Field Activities - see website: 


“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


C. Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors


“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


D. EPA’s Memorandum on Practices to Follow and Avoid When Requesting


Information – “http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


E. Sample Section 308 Letter


F. Final Fact Sheet: The Do’s and Don’ts of Using U.S. EPA Credentials


“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


G. EPA’s Memorandum on Entry Procedures


“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


H. Digital Camera Guidance for EPA

Civil Inspections and Investigations: 


“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


I. EPA's Memorandum on Deficiency Notice Guidance


J. NPDES Compliance Inspection Report Form 3560-3


K. Sample Discharge Monitoring Report Form


L. Approved Methods for the Analysis of Sewage Sludge (40 CFR Part 503)


M. Example Chain-of-Custody Form


N. Updated Fact Sheet: Department of Transportation Hazardous Materials Training


see website: “http://intranet.epa.gov/oeca/oc/campd/inspector/index.html”


O. Supplemental Flow Measurement Information 


Stormwater Appendices P - X 

P. NPDES Industrial Storm Water Investigation and Case Development Worksheet


(Industrial)


Q. Industrial Source Control BMP Questions


R. NPDES Industrial Storm Water Investigation and Case Development Worksheet


(Construction)


S. Construction Source Control BMP Questions


T. Notice of Intent (NOI) Form


U. Rain Zones of the United States


V. Typical "C" Coefficients


W. Notice of Termination (NOT) Form


X. No Exposure Certification Form


Y. Media-Specific Inspection Components Excerpted (and updated) from EPA’s


Multi Media Investigation Manual 

Z. National Multi Media Screening Inspection Worksheet


AA. Bio-Security Guidance


BB. NPDES CAFO Permit NMP Nine Minimum Standards Review Checklist 


CC. Integrated Compliance Information System (ICIS) Screen Shots


C-ROM in Binder Cover: NPDES Compliance Inspection Manual with three digitized 

videos: Records & Reports, Sampling, and Parshall Flume 

xii 
LIST OF TABLES


Chapter/Table Page 

1. INTRODUCTION 

1-1. NPDES-Related Statutes and Regulations ............................ 1-6


1-2. Inspector's Responsibilities ....................................... 1-9


2. INSPECTION PROCEDURES 

2-1. List of Field Sampling Equipment ................................... 2-8


4. FACILITY SITE REVIEW 

4-1. Operation and Maintenance Function Evaluation Questions ............. 4-18


5. SAMPLING 

5-1. Volume of Sample Required for Determination of the Various 

Constituents of Industrial Wastewater ............................ 5-5


5-2. Compositing Methods ............................................ 5-8


5-3. Required Containers, Preservation Techniques, and Holding Times ....... 5-11


5-4. Quality Control Procedures for Field Analysis and Equipment ............ 5-20


8. TOXICITY 

8-1. Recommended Sampling Strategies for Continuous and Intermittent


Discharges for Flow-Through, Static Renewal, and


Static Toxicity Tests .......................................... 8-7


9. PRETREATMENT 

9-1. Summary of the General Pretreatment Regulations .................... 9-10


9-2. Categorical Pretreatment Standards ............................... 9-15


10. SEWAGE SLUDGE 

10-1. Records Relevant for Sludge Operations ........................... 10-20


10-2. Operating Records for Specific Unit Processes ...................... 10-21


10-3. Sludge Sampling Points ........................................ 10-23


10-4. Recordkeeping Requirements for Class A Pathogen Reduction


Alternatives ................................................. 10-27


10-5. Recordkeeping Requirements for Class B Pathogen Reduction


Alternatives ................................................. 10-29


10-6. Recordkeeping Requirements for Vector Attraction Reduction 


Sludge Processing Options ..................................... 10-30


10-7. Sludge Handling Process Evaluation .............................. 10-31


10-8. Pollutants Monitored for Land Application, Surface Disposal, 


xiii 
List of Tables 

and Incineration .............................................. 10-35


11. STORM WATER 

11-1. Summary of Storm Water Permitting Regulations .................... . 11-3


11-2. NPDES Storm Water Permit Application and Issuance Deadlines ......... 11-4


11-3. Summary of Federal Permit Requirements Under the NPDES Storm


Water Program ................................................ 11-5


11-4. Important SIC Codes for Storm Water Discharges .................... 11-15


12. COMBINED SEWER OVERFLOWS 

12-1. Nine Minimum CSO Controls ..................................... 12-3


12-2. Elements of the Long-Term CSO Control Plan ........................ 12-3


12-3. CSO Records ................................................ 12-10


12-4. CSO Interview Questions ....................................... 12-12


13. SANITARY SEWER OVERFLOWS 

13-1. Documents to Review ........................................ . 13-10


14. POLLUTION PREVENTION 

14-1.	 Useful Facility Information to Conduct a Pollution Prevention


Opportunity Assessment ....................................... 14-13


16. CONCENTRATED ANIMAL FEEDING OPERATIONS 

16-1. Example Factors for Case-by-Case Designation ...................... 16-6


16-2. Thresholds for Cattle (Other than mature dairy cows) .................. 16-7


16-3. Thresholds for Mature Dairy Cows ................................. 16-8


16-4. Thresholds for Swine (55 pounds or more) .......................... 16-8


16-5. Thresholds for Swine (Less than 55 pounds) ......................... 16-9


16-6. Thresholds for Horses .......................................... 16-9


16-7. Thresholds for Sheep or Lambs .................................. 16-10


16-8. Thresholds for Turkey ........................................ . 16-10


16-9. Thresholds for Chickens (Operations with a liquid manure handling system) 16-11


16-10. Thresholds for Laying Hens (Operations with other than a liquid manure 


handling system) ............................................ 16-11


16-11. Thresholds for Chickens Other Than Laying Hens (Operations with other than 


a liquid manure handling system) ................................ 16-12


16-12. Thresholds for Ducks (Operations with a liquid manure handling system) . 16-12


16-13. Thresholds for Ducks (Operations with other than a liquid manure handling 


system) ................................................... 16-13


16-14. Elements of an NPDES Permit .................................. 16-14


16-15. Effluent Limitations Summary ................................... 16-17


16-16. NPDES CAFO Permit Minimum Practices ......................... 16-22


16-17. NPDES Large CAFO Permit Record-Keeping Requirements ........... 16-24


xiv 
LIST OF FIGURES


Chapter/Figure Page 

4.	 FACILITY SITE REVIEW


4-1. General Waste Water Treatment Plant Flow Diagram .................... . 4-32


9.	 PRETREATMENT


9-1. Approval Authority vs. Control Authority ................................ 9-4


10. SEWAGE SLUDGE 

10-1. Sludge Quality Requirements for Land Application Uses ................ 10-8


10-2. Land Applied Sludge Requirements Based on Level of 


Treatment Achieved ............................................ 10-9


10-2. Sludge Quality Requirements for Surface Disposal ................... 10-10


11. STORM WATER 

11-1. Industrial Categories Associated With Industrial Activity ................ 11-17


11-2. Site-Specific Industrial Storm Water BMPs .......................... 11-19


11-3. Site-Specific Construction Storm Water BMPs ....................... 11-28


14. POLLUTION PREVENTION 

14-1. Waste Management Hierarchy .................................... 14-5


14-2. Benefits of Pollution Prevention ................................... 14-6


14-3. Pollution Prevention Opportunity Assessment ................... . . . . 14-12


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xvi

LIST OF ABBREVIATIONS


Abbreviation Full Phrase 

AFO Animal Feeding Operation


APHA American Public Health Association


API American Petroleum Institute


APWA American Public Works Association


ASTM American Society for Testing and Materials


AWWA American Water Works Association


AU Animal Unit


BAT Best Available Technology Economically Achievable


BCT Best Conventional Pollutant Control Technology


BMP Best Management Practice


BMR Baseline Monitoring Report


BOD Biochemical Oxygen Demand


BPJ Best Professional Judgement


BPT Best Practicable Control Technology Currently Available


CAA Clean Air Act


CAFO Concentrated Animal Feeding Operation


CBI Compliance Biomonitoring Inspection


CBI Confidential Business Information


CEI Compliance Evaluation Inspection


CEM Continuous Emission Monitoring


CERCLA Comprehensive Environmental Response, Compensation, and Liability Act


CERI Center for Environmental Research Information


CFR Code of Federal Regulations 

CFSA Conservation Farm Service Agency


CGP Construction General Permit


ChV Chronic Value


CIP Capital Improvement Project


CIU Categorical Industrial Users


CMOM Capacity, Management, Operation, and Maintenance


CNMP Comprehensive Nutrient Management Plan


COD Chemical Oxygen Demand


COM Continuous Opacity Monitoring


CPLR Cumulative Pollutant Loading Rate


CRC Cyclic Redundancy Check


CSI Compliance Sampling Inspection


CSO Combined Sewer Overflow


CSS Combined Sewer System


CWA Clean Water Act


CWAP Clean Water Action Plan


CWF Combined Wastestream Formula


CZARA Coastal Zone Act Reauthorization Amendment


DI Diagnostic Inspection


DMR Discharge Monitoring Report


DO Dissolved Oxygen


DOI Department of Interior


DOT Department of Transportation


DSS Domestic Sewage Study


DWO Dry Weather Overflow


xvii 
List of Abbreviations 

EC50 Concentration that causes an effect in 50% of the test organisms


EMS Emergency Management System


EMSL Environmental Monitoring Systems Laboratory


EPA Environmental Protection Agency


EPCRA Emergency Planning and Community Right to Know Act


EQIP Environmental Quality Incentive Program


ERP Enforcement Response Plan


FIFRA Federal Insecticide, Fungicide, and Rodenticide Act


FINDS Facility Index System


FOIA Freedom of Information Act


FR Federal Register 

FY Fiscal Year


GC Gas Chromatography


GC/MS Gas Chromatography/Mass Spectroscopy


GIS Geographic Information System


GPS Global Positioning System


HPLC High Performance Liquid Chromatography


I&I Inflow/Infiltration


IC25 Inhibition Concentration


ICDS Inspection Conclusion Data Sheets


ICIS Integrated Compliance Information System


ICP Inductively Coupled Plasma


IATA International Air Transportation Association


IU Industrial User


LC Lethal Concentration


LC Liquid Chromatography


LC50 Concentration at which 50% of the test organisms die in a specified time period


LD50 Dose at which 50% of the test organisms die in a specific time period


LDR Land Disposal Restrictions


LOEC Lowest-Observed-Effect-Concentration


LSI Legal Support Inspection


LTCP Long-Term Control Plan


LVE Low Volume Exemption


MCL Maximum Contaminant Level


MEP Maximum Extent Practicable


MGD Million Gallons per Day


MIT Mechanical Integrity Testing


MLSS Mixed Liquor Suspended Solids


MPN Most Probable Number


MS4 Municipal Separate Storm Sewer System


MSGP Multi-Sector General Permit


MSSCC Maryland State Soil Conservation Committee


MSWLF Municipal Solid Waste Landfill


MWCOG Metropolitan Washington Council of Governments


MWPP Municipal Water Pollution Prevention


N/A Not Applicable


NAAQS National Ambient Air Quality Standards


NEIC National Enforcement Investigation Center


NESHAPS National Emission Standards for Hazardous Air Pollutants


NHPA National Historic Preservation Act


NIOSH National Institute for Occupational Safety and Health


xviii 
List of Abbreviations 

NIST National Institute of Standards and Technology


NITS National Institute of Technology and Standardization


NOAA National Oceanic and Atmospheric Administration


NOC Notice of Commencement


NOEC No Observable Effect Concentration


NOI Notice of Intent


NOT Notice of Termination


NPDES National Pollutant Discharge Elimination System


NPS Nonpoint Source


NRCS Natural Resources Conservation Service


NRDC Natural Resources Defense Council


NSPS New Source Performance Standards


NURP National Urban Runoff Program


O&M Operations and Maintenance


OECA Office of Enforcement and Compliance Assurance


OSHA Occupational Safety and Health Administration


PAI Performance Audit Inspection


PC Pollutant Concentration


PCB Polychlorinated Biphenyl


PCI Pretreatment Compliance Inspection


PCS Permit Compliance System


PFRP Processes to Further Reduce Pathogens


PIES Pollution Information Exchange System


PIRT Pretreatment Implementation Review Task Force


PL Public Law


PMN Premanufacture Notification


POTW Publicly Owned Treatment Works


PPE Personal Protective Equipment


PPETS Pretreatment Permits and Enforcement Tracking System


PPIC Pollution Prevention Information Clearinghouse


PQL Practical Quantification Limit


PRRS Porcine Reproductive and Respiratory Syndrome


PSD Prevention of Significant Deterioration


PSRP Processes to Significantly Reduce Pathogens


QA Quality Assurance


QC Quality Control


QNCR Quarterly Noncompliance Report


R&D Research and Development


RBC Rotating Biological Contactor


RCRA Resource Conservation and Recovery Act


RI Reconnaissance Inspection


RMP Risk Management Plan


xix 
List of Abbreviations 

RNC Reportable Noncompliance


SARA Superfund Amendments and Reauthorization Act


SCADA Supervisory Control and Data Acquisition


SCP Slug Control Plan


SDWA Safe Drinking Water Act


SFL Sheet Flow


SHPO State Historic Preservation Officer


SIC Standard Industrial Classification


SIP State Implementation Plan


SIU Significant Industrial User


SMCRA Surface Mining Control and Reclamation Act


SNC Significant Noncompliance


SNUR Significant New Use Rule


SOUR Specific Oxygen Uptake Rate


SPCC Spill Prevention Control and Countermeasure Plan


SS Suspended Solids


SSO Sanitary Sewer Overflow


SU Standard Unit


SW-846 Standard Methods for Evaluating Solid Waste Physical/Chemical Methods


SWPPP Storm Water Pollution Prevention Plan


TCLP Toxicity Characteristic Leaching Procedure


TDDP Treatment, Destruction, and Disposal Facility


THPO Tribal Historic Preservation Officer


TIE Toxicity Identification Evaluation


TKN Total Kjeldahl Nitrogen


TMDL Total Maximum Daily Load


TME Test Marketing Exemption


TOC Total Organic Carbon


TRC Total Residual Chlorine


TRE Toxicity Reduction Evaluation


TS Total Solids


TSCA Toxic Substances Control Act


TSDF Treatment, Storage, and Disposal Facility


TSS Total Suspended Solids


TU Toxicity Unit


Tua Acute Toxic Unit


Tuc Chronic Toxic Unit


TVS Total Volatile Solids


UA Urbanized Area


UAA Use Attainability Analysis


UIC Underground Inspection Control


USC United States Code


USDA United States Department of Agriculture


USDI United States Department of Interior


USDW Underground Source of Drinking Water


USEPA United States Environmental Protection Agency


USGS United States Geological Survey


xx 
List of Abbreviations 

UST Underground Storage Tank


VEO Visible Emission Observation


VOC Volatile Organic Compound


WEF Water Environment Federation


WENDB Water Enforcement Data Base


WET Whole Effluent Toxicity


WLA Wastesload Allocation


WPCF Water Pollution Control Federation


WQA Water Quality Act


WQBEL Water Quality-Based Effluent Limit


WQS Water Quality Standards


WRATT Waste Reduction Assessment and Technology Transfer


WWTP Wastewater Treatment Plant


XSI Toxics Sampling Inspection


ZID Zone of Dilution


xxi 
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xxii

1. INTRODUCTION 

Contents Page 

A. Purpose and Objectives ................................................ 1-1 

Inspection Types ................................................. 1-1 

B. Legal Authority for NPDES Inspections ..................................... 1-5 

Inspection Authority ............................................... 1-5 

State Program Authority ............................................ 1-5 

C. 
 Responsibilities of the EPA NPDES Inspector ................................ 1-7 

Indian Country Inspections .......................................... 1-7 

Legal Responsibilities .............................................. 1-7 

Procedural Responsibilities ........................................ . 1-8 

Training Responsibilities ........................................... 1-10 

Safety Responsibilities ............................................ 1-11 

Professional Responsibilities ....................................... 1-11 

Quality Assurance Responsibilities ................................... 1-13 

D. References ......................................................... 1-15 

List of Tables 

1-1. NPDES-Related Statutes and Regulations .................................. 1-6 

1-2. Inspector’s Responsibilities .............................................. 1-9 

Associated Appendices 

A.
 EPA Order 3500.1, Training and Development for Individuals who lead Compliance 

Inspections/Field Investigations 

B. 
 EPA Order 1440.2, Health and Safety Requirements for Employees Engaged in Field 

Activities 

C. Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

Each of the above documents can be found at 

“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html” 

1-i 
Chapter One Contents 

This page intentionally left blank. 

1-ii 
1. A. Purpose and Objectives 

Three objectives should be met during a routine compliance inspection. According to this 

section, the inspection should be performed in a manner designed to: 

–
 Determine compliance status with regulations, permit conditions, and other program 

requirements 

– Verify the accuracy of information submitted by permittees 

– Verify the adequacy of sampling and monitoring conducted by the permittee. 

Other purposes of compliance inspections include: 

– Gathering evidence to support enforcement actions 

– Obtaining information that supports the permitting process 

– Assessing compliance with orders or consent decrees. 

Inspection Types 

This manual provides guidance applicable to each type of inspection a National Pollutant 

Discharge Elimination System (NPDES) inspector may be required to conduct at a NPDES 

permitted facility or an unpermitted facility with discharges. The different types of inspections 

are described below. 

Compliance Evaluation Inspection (CEI) 

The CEI is a nonsampling inspection designed to verify permittee compliance with applicable 

permit self-monitoring requirements, effluent limits, and compliance schedules. Inspectors 

must review records, make visual observations and evaluate treatment facilities, laboratories, 

effluents and receiving waters. During the CEI, the inspector must examine both chemical and 

biological self-monitoring, which form the basis for all other inspection types except the 

Reconnaissance Inspection. 

Compliance Sampling Inspection (CSI) 

During the CSI, NPDES permitted or unpermitted facilities, inspectors must take representative 

samples. Inspectors then verify the accuracy of the permittee's self-monitoring program and 

reports through chemical and bacteriological analysis; determine compliance with discharge 

limitations; determine the quantity and quality of effluents; develop permits; and provide 

evidence for enforcement proceedings where appropriate. In addition, the CSI includes the 

same objectives and tasks as a CEI. 

Performance Audit Inspection (PAI) 

The inspector conducts a PAI to evaluate the permittee's self-monitoring program. As with a 

CEI, the PAI verifies the permittee's reported data and compliance through a records check. 

However, the PAI provides a more resource-intensive review of the permittee's self-monitoring 

program and evaluates the permittee's procedures for sample collection, flow measurement, 

chain-of-custody, laboratory analyses, data compilation, reporting, and other areas related to 

1-1	
Chapter One Introduction 

the self-monitoring program. In a CEI, the inspector makes a cursory visual observation of the 

treatment facility, laboratory, effluents, and receiving waters. In a PAI, the inspector observes 

the permittee performing the self-monitoring process from sample collection and flow 

measurement through laboratory analyses, data workup, and reporting. The PAI does not 

include the collection of samples by the inspector. However, the inspector may require the 

permittee to analyze performance samples for laboratory evaluation purposes. 

Compliance Biomonitoring Inspection (CBI) 

This inspection includes the same objectives and tasks as a CSI. A CBI reviews a permittee's 

toxicity bioassay techniques and records maintenance to evaluate compliance with the 

biomonitoring terms of the NPDES permit and to determine whether the permittee's effluent is 

toxic. The CBI also includes the collection of effluent samples by the inspector to conduct 

acute and chronic toxicity testing to evaluate the biological effect of a permittee's effluent 

discharge(s) on test organisms. 

Toxics Sampling Inspection (XSI) 

The XSI has the same objectives as a conventional CSI. However, it places increased 

emphasis on toxic substances regulated by the NPDES permit. The XSI covers priority 

pollutants other than heavy metals, phenols, and cyanide, which are typically included in a CSI 

(if regulated by the NPDES permit). An XSI uses more resources than a CSI because 

sophisticated techniques are required to sample and analyze toxic pollutants. An XSI may also 

evaluate raw materials, process operations, and treatment facilities to identify toxic substances 

requiring controls. 

Diagnostic Inspection (DI) 

The DI primarily focuses on Publicly Owned Treatment Works (POTWs) that have not achieved 

permit compliance. POTWs that are having difficulty diagnosing their problems are targeted. 

The purposes of the DI are to identify the causes of noncompliance, suggest immediate 

remedies that will help the POTW achieve compliance, and support current or future 

enforcement action. Once the cause of noncompliance is defined, an administrative order is 

usually issued that requires the permittee to conduct a detailed analysis and develop a 

composite correction plan. 

Reconnaissance Inspection (RI) 

The RI is used to obtain a preliminary overview of a permittee's compliance program. The 

inspector performs a brief visual inspection of the permittee's treatment facility, effluents, and 

receiving waters. The RI uses the inspector's experience and judgement to summarize quickly 

any potential compliance problems. The objective of the RI is to expand inspection coverage 

without increasing inspection resources. The RI is the briefest and least resource intensive of 

all NPDES inspections. 

Pretreatment Compliance Inspection (PCI) 

1-2	
Chapter One Introduction 

The PCI evaluates the POTW's implementation of its approved pretreatment program. It 

includes a review of the POTW's records on monitoring, inspections, and enforcement activities 

for its industrial users (IUs). The PCI may be supplemented with IU inspections. An IU 

inspection is an inspection of any significant IU that discharges to the POTW. The inspection 

can include sampling or not, depending on the reason for the inspection. If feasible, inspectors 

should conduct the PCI concurrently with another NPDES inspection of the POTW. Additional 

guidance is available in EPA’s Guidance for Conducting a Pretreatment Compliance Inspection 

(September 1991). 

It should be noted that a related type of review procedure, the pretreatment audit, is also 

performed by Approval Authorities. The pretreatment audit is not treated in depth in this 

manual because it is not regarded as a true NPDES compliance inspection. The pretreatment 

audit is defined and discussed in Section 1.2, page 1-1, of EPA’s guidance manual 

Pretreatment Compliance Inspection and Audit Manual for Approval Authorities (July 1986) and 

the Control Authority Pretreatment Audit Checklist and Instructions (May 1992). 

Follow-up Inspection 

The follow-up inspection is a resource intensive inspection conducted when an enforcement 

problem is identified as a result of a routine inspection or a complaint. For a follow-up 

inspection, the appropriate resources are assembled to deal effectively with a specific 

enforcement problem. 

Sewage Sludge Inspection 

The objectives of a sewage sludge inspection are to determine compliance with Federal 503 

sludge regulations for any facility engaged in a regulated sludge or disposal practice and to 

evaluate the permittee’s compliance with sludge monitoring, recordkeeping and reporting, 

treatment operations, and sampling and laboratory quality assurance. The PCI, CEI, and PAI 

are the most likely vehicles for evaluating compliance with sludge requirements. 

Storm Water Inspection 

Storm water inspections are designed to ensure that regulated facilities have a NPDES permit 

for storm water discharge and a Storm Water Pollution Prevention Plan (SWPPP) and are 

following the specifications in each. During the inspection, the inspector reviews the permit and 

the SWPPP and determines whether the SWPPP meets the requirements set forth in the 

permit. The inspector also reviews records, such as self-inspection reports, to verify that the 

facility is complying with its permit and the SWPPP and walks the site to verify that the SWPPP 

is accurate and BMPs are in place and functioning properly. 

Combined Sewer Overflow (CSO) Inspection 

During a CSO inspection, the inspector evaluates compliance with CSO provisions present in 

the NPDES permit, an enforcement order, a consent decree, or another enforceable document. 

The inspector verifies that the permittee is preventing CSOs during dry weather, implementing 

the nine minimum CSO controls, adhering to a schedule for development, submission, and 

implementation of a Long-Term CSO Control Plan, eliminating or relocating overflows from 

sensitive areas, adhering to effluent limitations, and implementing a monitoring program. 

Sanitary Sewer Overflow (SSO) Inspection 

1-3	
Chapter One Introduction 

During an SSO inspection, the inspector evaluates compliance with SSO provisions present in 

the NPDES permit, an enforcement order, a consent decree, or another enforceable document. 

The inspector collects information to verify that the permittee is complying with the NPDES 

standard permit conditions (duty to mitigate and proper operation and maintenance) and the 

required notification procedures. The inspector also determines whether there have been any 

unpermitted discharges, or discharges from a location other than the discharge point specified 

in the permit, to waters of the United States. 

Concentrated Animal Feeding Operation (CAFO) Inspection 

The objective of this inspection is to evaluate a CAFO’s compliance with permit requirements, 

permit conditions, applicable regulations, and other requirements. The three types of CAFO 

inspections are the Status Determination Inspection, the Permit Compliance Inspection, and the 

Settlement Agreement Inspection. The type of information that the inspector gathers depends 

on the type of CAFO inspection being conducted. 

Summary 

The inspector should plan all activities and coordinate with the appropriate compliance 

personnel in their office before the inspection. The type of inspection may serve as a basis for 

deciding what activities will be conducted onsite and for determining what additional information 

is to be gathered or verified during the inspection. Compliance personnel should choose the 

type of inspection to be conducted based on the compliance status of the facility, the 

information needed from the facility, and the type of facility involved. Note that some types of 

NPDES inspections may encompass several elements of the primary inspection types (e.g., a 

storm water inspection may encompass elements from both a CSI and a PAI). 

1-4	
1. B.	 Legal Authority for NPDES 

Inspections 

The Federal Water Pollution Control Act of 1972, as amended by the Clean Water Act (CWA or 

the Act) of 1977 and the Water Quality Act of 1987, gives EPA the authority to regulate the 

discharge of pollutants to waters of the United States. The Act provides broadly defined 

authority to establish the NPDES Permit Program, define pollution control technologies, 

establish effluent limitations, obtain information through reporting and compliance inspections, 

and take enforcement actions (both civil and criminal) when violations of the Act occur. Table 

1-1 provides a listing of applicable NPDES statute and regulations. 

Inspection Authority 

Under Section 402 of the Act, point source dischargers of pollutants (e.g., municipal wastewater 

treatment plants, industries, animal feedlots, aquatic animal production facilities, and mining 

operations) facilities must apply and receive a permit that set specific limits and operating 

conditions to be met by the permittee. Section 308 authorizes inspections and monitoring to 

determine whether the facility is meeting the NPDES permit conditions. This section provides 

for two types of monitoring: 

• Self-monitoring, where the facility must monitor itself 

•
 Monitoring by EPA or the State, a process whereby the agency evaluates the selfmonitoring and/or conducts its own monitoring. 

According to the CWA, EPA may conduct an inspection, including storm water, sludge, 

combined sewer overflows, sanitary sewer overflows, concentrated animal feeding operations, 

or pretreatment, wherever there is an existing NPDES permit or where a discharge exists or is 

likely to exist and no permit has been issued. 

State Program Authority 

Much of the compliance with the NPDES program is monitored by the State. Sections 308 and 

402 of the Act allow for the delegation of Federal program authority to States to conduct 

NPDES permit compliance monitoring, permit issuance, and permit enforcement; but EPA does 

not relinquish its control authority even when a program has been authorized to the State. EPA 

Regional Administrators and some State water pollution control agencies have signed formal 

cooperative agreements that ensure timely, accurate monitoring of compliance with permit 

conditions. States may implement requirements and regulations that are more stringent than 

those under the CWA. 

1-5	
Chapter One Introduction 

Table 1-1


NPDES-Related Statutes and Regulations


Top ic Reference

Inspec tion Autho rity	

Self-Monitoring and Recordkeeping Authority	

Confidential Information	

Emergency Authority	

Employee Protection	

Perm its	

EPA Permitting Procedures	

Tech nical Req uirem ents	

Best Management Practices (BMP) 

Spill Prevention Control and 

Countermea sure (SPCC ) Plan W aivers 

Effluent Guidelines 

Pretreatment Standards 

Biosolids 

1

 Clean Water Act 

CWA 1 40 CFR2 

§308 122.41(i), 123.26 

§308 122.41(h), (j), and (l), 122.48 

§308(b) 2.201, 2.2 15, 2.302 , 122.7 

§504 123.27 

§507 ____ 

§402 122, 123.25 

§402 124 

§§301, 304, 307 129, 133, 136 

§304(e) 125 

§311 112 

§301 125, 230 

§304 405-471 

§§307, 402(m ) 122.21, 403, and 405-471 

§405 60, 61, 123, 258, 501, and 

503 

2

 Code of Federal Regulations, Revised as of July 1, 2002 

1-6	
1. C. 	 Responsibilities of the EPA 

NPDES Inspector 

The primary role of a NPDES inspector is to gather information that can be used to determine 

the reliability of the permittee's self-monitoring data and evaluate compliance with permit 

conditions, applicable regulations, and other requirements. The NPDES inspector also plays an 

important role in case development and support. To fulfill these roles, inspectors are required 

to know and use policies and procedures for effective inspection and evidence collection; 

accepted safety practices; and quality assurance standards. 

Indian Country Inspections 

Each regional inspector should understand and apply the EPA Policy for the Administration of 

Environmental Programs on Indian Reservations (Indian Policy - November 8, 1984) 

www.epa.gov/indian/1984.htm and their region’s policies and procedures when conducting 

inspections in Indian country. If the facility is in Indian country, the inspector should research 

this. If a facility is owned or managed by a tribal government or owned and managed by a 

private party, EPA generally will notify tribal governments in advance of visiting a reservation 

and EPA will inform the tribal government of the results each inspection. If advance notice is 

not possible due to circumstances beyond the control of the EPA inspector or if the visit 

involves an unannounced inspection, the tribal government should be contacted as soon as 

possible. EPA should address out-of-compliance facilities that are located in Indian country 

(and/or owned or managed by a tribal government) in a manner consistent with the Indian 

Policy, the Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy, (January 

17, 2001), The enforcement guidance is located at 

www.epa.gov/compliance/planning/tribal/index.html. Regions should also be familiar with the 

American Indian Environmental Office's website www.epa.gov/indian. EPA Indian program 

contacts are located at www.epa.gov/indian/miss.htm. They can help identify facilities in Indian 

country. Please be aware that while it is often very difficult to identify these facilities, EPA 

should still follow the applicable guidance vis-a-vis working with tribes. 

Legal Responsibilities 

Inspectors must conduct all inspection activities within the legal framework established by the 

Act, including: 

– Presenting proper credentials 

– Properly handling confidential business information. 

Inspectors also must be familiar with the conditions of the specific permit, CWA, and 

regulations. 

1-7	
Chapter One Introduction 

Procedural Responsibilities 

Inspectors must be familiar with general inspection procedures and evidence collection 

techniques to ensure adequate inspections and to avoid endangering potential legal 

proceedings on procedural grounds. 

Inspection Procedures 

Inspectors should observe standard procedures for conducting each inspection element. 

The elements of the inspection process listed in Table 1-2 are common to most NPDES 

compliance inspections. They are grouped by the major inspection activities: 

– Pre-Inspection Preparation 

– Entry 

– Opening Conference 

– Facility Inspection 

– Closing Conference 

– Inspection Report. 

1-8	
Chapter One Introduction 

Table 1-2


Inspector's Responsibilities


Pre-Inspection Preparation. 

– Establish purpose and scope of inspection. 

–
 Review background information and EPA/State records, including permit and 

permittee compliance file. 

– Develop plan for inspection. 

– Prepare documents and equipment, including appropriate safety equipment. 

– Coordinate schedule with laboratory if samples are to be collected. 

– Coordinate schedule with other appropriate regulatory authorities. 

–
 Contact party responsible for sample transportation, for packing/shipping 

requirements. 

– Ensure state/tribe is notified of pending inspection. 

Entry. Establish legal entry to facility. 

– Identify self and present official credentials to the responsible official. 

– If denied of entry call supervisor /ORC. 

Opening Conference. Orient facility officials to inspection plan. 

– Discuss inspection objectives and scope. 

– Establish working relationship with facility officials. 

Facility Inspection. Document compliance/noncompliance with permit conditions; collect 

evidence including photographs. 

– Conduct visual inspection of facility. 

– Review facility records. 

– Inspect monitoring location, equipment, and operations. 

– Collect samples, if appropriate. 

– Review laboratory records for QA/QC. 

–
 Review laboratory procedures to verify analytical methodology and use of approved 

methods. 

– Document inspection activities. 

1-9	
Chapter One Introduction 

Closing Conference. Conclude inspection. 

– Collect additional or missing information. 

– Clarify questions with facility officials. 

– Prepare necessary receipts. 

– Review inspection findings and inform officials of follow-up procedures. 

– Issue deficiency notice, if appropriate. 

Inspection Report. Organize inspection findings in a report with field notes, file, 

photographs, and other relevant information. 

– Complete NPDES Compliance Inspection Report Form 3560. 

– Prepare narrative report, checklists, and documentary information as appropriate. 

– Sign and date the report 

Evidence Collection 

Inspectors must be familiar with general evidence-gathering techniques. Because the 

Government's case in a civil, criminal, or administrative enforcement action depends on the 

evidence gathered, inspectors must keep detailed records of each inspection. These notes and 

documentation will be used for preparing the inspection report, determining the appropriate 

enforcement response, and giving testimony in an enforcement case. 

In particular, inspectors must know how to: 

–
 Substantiate facts with items of evidence, including samples, photographs, document 

copies, statements from witnesses, and personal observations. 

– Evaluate what evidence should be collected (routine inspections). 

– Follow chain-of-custody procedures 

– Collect and preserve evidence consistent with Chapter 5 – Sampling. 

– Write clear, objective, and informative inspection reports 

Inspection procedures are discussed in detail in Chapter Two of this manual. 

Training Responsibilities 

EPA Order 3500.1 establishes consistent EPA-wide training and development programs for 

employees leading environmental compliance inspections/field investigations to ensure that 

they have working knowledge of regulatory requirements, inspection methodology, and health 

and safety measures. Those who lead environmental compliance inspections/field 

investigations must be properly trained to perform these functions in a legally and technically 

sound manner. This Order applies to all Environmental Protection Agency (EPA) personnel 

who lead or oversee compliance inspections/field investigations on a full or part-time basis 

under any of EPA’s statutes, and supervisors of compliance inspectors/field investigators. 

Training required by the Order consists of three parts: Occupational Health and Safety 

1-10	
Chapter One Introduction 

Curriculum, Basic Inspector Curriculum, and Program-Specific Curriculum. (See Appendix A) 

Safety Responsibilities 

The inspection of wastewater and other environmental pollution control facilities always poses a 

certain degree of health and safety risk. To avoid unnecessary risks, the inspector should be 

familiar with all safety obligations and practices. The safety equipment and procedures 

required for an inspector will be based on either standard safety procedures or the facility 

response to the 308 (inspection notification) Letter. Inspectors should do the following: 

– Use safety equipment in accordance with available guidance and labeling instructions. 

– Maintain safety equipment in good condition and proper working order. 

–
 Dress appropriately for the particular activity and wear appropriate protective clothing. 

For example, appropriate protective gloves should be worn during sample collection to 

protect the inspector and to prevent the potential for sample contamination. Disposable 

gloves are preferred to assure that no cross contamination occurs between sampling 

points. 

–
 Use any safety equipment customary in the establishment being inspected (e.g., hard 

hat or safety glasses). 

–
 Never enter confined spaces unless properly trained, equipped, and permitted (if 

applicable). 

For any safety-related questions not covered in this manual, the inspector should comply with	

the facility’s current approved safety requirements for greater detail if one is available. An	

inspector should look at Appendix B which contains the website: 	

“http://intranet.epa.gov/oeca/oc/campd/inspector/index.html” to locate EPA's Order 1440.2,	

Health and Safety Requirements for Employees Engaged in Field Activities. Also, Appendix C	

contains a fact sheet on safety and health requirements for EPA inspectors.	

Professional Responsibilities 

Inspectors are expected to perform their duties with the highest degree of professionalism. 

Procedures and requirements ensuring ethical actions have been established through many 

years of Government inspection experience. The procedures and standards of conduct listed 

below have evolved for the protection of the individual and EPA, as well as industry. 

–
 All inspections are to be conducted within the framework of the United States 

Constitution and with due regard for individual rights regardless of race, sex, religion, or 

national origin. 

–
 EPA inspectors are to conduct themselves at all times in accordance with the 

regulations prescribing employee responsibilities and conduct. 

– The facts of an inspection are to be noted and reported completely, accurately, and 

1-11	
Chapter One Introduction 

objectively. 

–
 In the course of an inspection, any act or failure to act motivated by reason of private 

gain is illegal. Actions that could be construed as such should be scrupulously avoided. 

–
 A continuing effort should be made to improve professional knowledge and technical 

skill in the inspection field. 

Professional Attitude 

The inspector is a representative of EPA and is often the initial or only contact between EPA 

and the permittees. In dealing with facility representatives and employees, inspectors must be 

professional, tactful, courteous, and diplomatic. A firm but responsive attitude will encourage 

cooperation and initiate good working relations. Inspectors should always speak respectfully of 

any product, manufacturer, or person. 

Attire 

Inspectors should dress appropriately, including wearing protective clothing or equipment for 

the activity in which they are engaged. 

Gifts, Favors, Luncheons 

Inspectors may not accept favors, benefits, or job offers under circumstances that might be 

construed as influencing the performance of governmental duties. It is prudent to avoid even 

the appearance of compromising federal ethics statutes and regulations. If offered a bribe, the 

inspector must not accept money or goods. Since this act may violate federal laws, regulations 

and may also violate criminal statute, report the incident in detail as soon as possible to a 

supervisor and the Deputy Ethics Officials (DEO). A list of the DEOs is at 

intranet.epa.gov/ogc/ethics.htm - first left radio-button. If it appears that a federal criminal 

statute was violated, report this right away to the EPA’s Office of the Inspector General. (OIG 

information is at www.epa.gov/oigeatrth/whoswho.htm ) 

The EPA website on ethics at intranet.epa.gov/ogc/ethics.htm contains extensive information on 

conflicts of interest, gifts and luncheons. It is recommended that each inspector go to the 

Resource Library section and review information in the Conflict of Interest (especially the 2002 

Ethics Conference Materials), Gifts and Travel sections. 

Note also that it is prudent for EPA inspectors to decline business luncheons while on EPA 

business. The inspector must pay his/her own fees for meals. When in doubt about a possible 

issue, contact a Deputy Ethics Official to clarify what can and cannot be accepted and report 

any possible infraction of the ethics statutes and rules. (See page 20, U.S. EPA Guidance on 

Ethics and Conflict of Interest, February 1984, and 5 CFR 2635, Standards of Ethical Conduct 

for Employees of the Executive Branch, January 1, 2001.) 

Requests for Information 

EPA has an "open-door" policy on releasing information to the public. This policy is to make 

information concerning EPA and its work freely and equally available to all interested 

1-12	
Chapter One Introduction 

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 about a suspected violation, 

evidence of possible misconduct, or confidential business information. The disclosure of 

information is discussed further in Chapter Two, Disclosure of Official Information. 

Quality Assurance Responsibilities 

The inspector must assume primary responsibility for ensuring the quality and accuracy of the 

compliance inspection and the integrity of samples collected. While other organizational 

elements play an important role in quality assurance, it is the inspector who must ensure that all 

data introduced into an inspection file are complete, accurate, and representative of existing 

conditions. To help the inspector meet this responsibility, Regional Offices have established 

quality assurance plans that identify individual responsibilities and document detailed 

procedures. 

The objective of a quality assurance plan is to establish standards that will guarantee that 

inspection and analytical data meet the requirements of all users. Many elements of quality 

assurance plans are incorporated directly into the basic inspection procedures and may not be 

specifically identified as quality assurance techniques. 

The inspector must be aware that following established inspection procedures are critical to the 

inspection program. These procedures have been developed to reflect the following quality 

assurance elements: 

– Valid data collection 

– Approved standard methods 

– Control of service, equipment, and supplies 

– Standard data handling and reporting. 

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1-14	
1. D. References 

References 

U.S. Environmental Protection Agency. July 1986. Pretreatment Compliance Inspection and 

Audit Manual for Approval Authorities. EPA 833/B-86-100 

U.S. Environmental Protection Agency. September 1991. Guidance for Conducting a 

Pretreatment Compliance Inspection. EPA 300/R-92-009 

U.S. Environmental Protection Agency. May 1992. Control Authority Pretreatment Audit 

Checklist and Instructions. 

http://cfpub1.epa.gov/npdes/docs.cfm?program_id=3&view=allprog&sort=name 

U.S. Environmental Protection Agency. February 1999. Introduction to the National 

Pretreatment Program. EPA 833-B-98-002 

U.S. Environmental Protection Agency. June 25,2003. Role of the EPA Inspector in Providing 

Compliance Assistance During Inspections. 

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1-16	
2. INSPECTION PROCEDURES 

Contents Page 

A. Pre-Inspection Preparation ............................................ 2-1


Review of Facility Background Information .......................... 2-1


Sources of Facility Background Information .......................... 2-4


Development of an Inspection Plan ................................ 2-5


Notification of the Facility ........................................ 2-6


State Notification of Federal Inspection ............................. 2-6


Preparation of Equipment and Supplies ............................. 2-6


B. Offsite Surveillance ................................................. 2-10


Considerations .............................................. 2-11


C. 	 Entry ............................................................ 2-12


Entry Procedures ............................................. 2-12


Problems With Entry or Consent ................................. 2-13


Warrants ................................................... 2-15


D. Opening Conference ................................................ 2-16


Considerations ............................................... 2-16


E. Documentation .................................................... 2-20


Inspector's Field Notebook ...................................... 2-20


Samples .................................................... 2-21


Statements .................................................. 2-21


Photographs ................................................ 2-22


Videotapes .................................................. 2-24


Drawings and Maps ........................................... 2-24


Printed Matter ............................................... 2-24


Mechanical Recordings ........................................ 2-25


Copies of Records ............................................ 2-25


General Considerations ........................................ 2-26


Confidential Information ........................................ 2-27


F. Closing Conference ................................................. 2-32


Precautions and Guidelines ..................................... 2-32


Deficiency Notice ............................................. 2-32


G. Inspection Report .................................................. 2-34


Objective of the NPDES Inspection Report ......................... 2-34


Effectively Communicate and Document an Alleged Violation in the


Inspection Report ....................................... 2-34


Elements of a Report .......................................... 2-36


The Permit Compliance System (PCS)/Integrated Compliance Information

Chapter Two Contents 

System (ICIS) .......................................... 2-38 

List of Tables 

2-1 List of Field Sampling Equipment ....................................... 2-8 

Associated Appendices 

D. EPA’s Memorandum on Practices to Follow and Avoid When Requesting Information


E. Sample Section 308 Letter


F. Final Fact Sheet: The Do’s and Don’ts of using U.S. EPA Credentials


G. EPA’s Memorandum on Entry Procedures


H. EPA’s Policy on the Use of Digital Cameras for Inspections - after policy is finalize it will


be posted on the Inspector Websitehttp://intranet.epa.gov/oeca/oc/campd/inspector/index.html 

I. EPA's Memorandum on Deficiency Notice Guidance 

J. NPDES Compliance Inspection Report Form 3560-3 

Related Website 

U.S. EPA’s Office of Compliance Inspector Website: 

http://intranet.epa.gov/oeca/oc/campd/inspector/index.html 
2. A. Pre-Inspection Preparation 

Pre-planning is necessary to ensure that the inspection is focused properly and is conducted 

smoothly and efficiently. It involves: 

• Review of facility background information 

• Development of an inspection plan 

• Notification of the facility, if applicable 

• Notification to the State of Federal inspection 

• Preparation of Equipment 

Review of Facility Background Information 

Collection and analysis of available background information on the candidate facility are 

essential to the effective planning and overall success of a compliance inspection. Materials 

from available files, company web sites, and other information sources will enable inspectors to 

familiarize themselves with facility operations; conduct a timely inspection; minimize 

inconvenience to the facility by not requesting data previously provided; conduct a thorough and 

efficient inspection; clarify technical and legal issues before entry; and develop a sound and 

factual inspection report. The types of information that may be available for review are listed 

below. The inspector must determine the amount of background information necessary for the 

inspection and in collecting this information, should focus on the characteristics unique to the 

permittee: design, historical practices, legal requirements, etc. 

General Facility Information 

•	 Maps showing facility location, plumbing including wastewater discharge pipes, sampling 

points, overflow and bypass points, and geographic features 

• Plant layout and process flow diagram 

• Names, titles, and telephone numbers of responsible facility officials 

• Any special entry requirements 

• Any safety requirements 

• Description of processing operations and wastewater discharges 

• Production levels—past, present, and future 

• Hydrological data 

• Geology/hydro-geology of the area 

• Changes in facility conditions since previous inspection/permit application 

• Available aerial photographs. 

2-1

Chapter Two Inspection Procedures 

Requirements, Regulations, and Limitations 

•	 Copies of existing permits, regulations, requirements, and restrictions placed on 

permittee discharges 

• Monitoring and reporting requirements and available monitoring stations 

• Special exemptions and waivers, if any 

• Receiving stream water quality standards 

• Information concerning sludge, air, solid, and hazardous waste treatment and disposal. 

Facility Compliance and Enforcement History 

• Previous inspection reports 

• Correspondence among facility, local, State, and Federal agencies 

• Complaints and reports, follow-up studies, findings, and remedial action 

•	 Documentation on past compliance violations, exceedences, status of requested 

regulatory corrective action, if any 

• Enforcement actions such as compliance schedules and consent orders 

• Status of current and pending litigation against facility 

• Self-monitoring data and reports 

•	 Previous Environmental Protection Agency (EPA), State, or consultant studies and 

reports 

• Previous deficiency notices issued to facility 

• Laboratory capabilities and analytical methods used by the facility 

• Name(s) of contract laboratories, if applicable 

• Previous Discharge Monitoring Report (DMR)—Quality Assurance (QA) files and reports 

• Permit Compliance System (PCS) information 

•	 Reports from special studies (e.g., stream monitoring, internal audits) or compliance 

schedules. 

Pollution Control and Treatment Systems 

•	 Description and design data for pollution control system and process operation, if 

available 

2-2

Chapter Two Inspection Procedures 

• Sources and characterization of discharge 

• Type and amount of wastes discharged 

• Spill prevention contingency plans, if available 

• Available routes for bypasses or diversions, and spill containment facilities 

• Pollution control units, treatment methods, and monitoring systems. 

Pretreatment Information 

•	 Information concerning compliance schedule to install technologies (industrial facilities) 

or develop a pretreatment program (Publicly Owned Treatment Works [POTWs]) 

•	 Pretreatment reports as required by the National Pollutant Discharge Elimination System 

(NPDES) permit and the General Pretreatment Regulations, regional, State, or local 

requirements 

•	 The POTW's enforcement response plan and sewer use ordinance, including local 

discharge limits 

• Information concerning industrial discharges to POTWs, such as: 

- Industrial monitoring and reporting requirements 


- POTW monitoring and inspection program 


- Waste contribution to the POTW


- Compliance status of industry with pretreatment requirements 


- POTW enforcement initiatives.


Chapter Nine of this manual discusses pretreatment program requirements in greater detail. 

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Chapter Two Inspection Procedures 

Sources of Facility Background Information 

Previous Inspections 

Previous inspection reports can provide general facility information, as well as problems or 

concerns noted in previous inspections. Inspectors who have visited the facility for NPDES, 

pretreatment, or other regulatory programs may also provide information on the facility. 

Laws and Regulations 

The Clean Water Act (CWA) and related NPDES regulations establish procedures, controls, 

and other requirements applicable to a facility. In addition, State’s may have additional 

regulations, and sometimes even local ordinances, are applicable to the same facility. Refer to 

Table 1-2 for a list of applicable NPDES-related Federal statutes and regulations. 

Permits and Permit Applications 

Permits provide information on the limitations, requirements, and restrictions applicable to 

discharges; compliance schedules; and monitoring, analytical, and reporting requirements. 

Permit applications provide technical information on facility size, layout, and location of pollutant 

sources; treatment and control practices; contingency plans and emergency procedures; and 

pollutant characterization—types, amounts, applicability of effluent guidelines, and points/ 

locations of discharge. Permit applications for air, solid, and hazardous waste treatment and 

disposal permits may provide additional information to the inspector that is not available 

elsewhere. 

Regional and State Files and Personnel 

Files or Regional and State personnel often can provide correspondence; facility self-monitoring 

data; inspection reports, Quarterly Noncompliance Reports (QNCRs), and DMR QA reports; 

and permits and permit applications applicable to individual facilities. They can provide 

compliance, enforcement, and litigation history; special exemptions and waivers applied for and 

granted or denied; citizen complaints and action taken; process operational problems/solutions; 

pollution problems/solutions; laboratory capabilities or inabilities; and other proposed or 

historical remedial actions. This information can provide design and operation data, 

recommendations for process controls, identification of pollutant sources, treatment/control 

systems improvement, and remedial measures. 

Technical Reports, Documents, and References 

These information sources provide generic information on waste loads and characterization, 

industrial process operations, and pertinent specific data on available treatment/control 

techniques, such as their advantages or disadvantages and limits of application and pollutant 

removal efficiencies. Such sources include Development Documents for Effluent Standards 

and Guidelines. 

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Chapter Two Inspection Procedures 

Company Data Sources 

Many companies maintain individual web sites that contain valuable information regarding the 

company’s financial status, significant purchases and sales, new business ventures, etc. 

Other Statutory Requirements 

Facility files maintained by EPA and the State pursuant to other statutes (e.g., Toxic 

Substances Control Act [TSCA]; Resource Conservation and Recovery Act [RCRA]; 

Comprehensive Environmental Response, Compensation and Liability Act [CERCLA]; Federal 

Insecticide, Fungicide and Rodenticide Act [FIFRA]; Clean Air Act [CAA]) may also contain 

information useful to the NPDES inspection. 

Development of an Inspection Plan 

Plans are helpful tools for organizing and conducting compliance inspections. A plan is 

recommended to effectively conduct a compliance inspection. After reviewing the available 

background information, the inspector prepares a comprehensive plan to define inspection 

objectives, tasks and procedures, resources required to fulfill the objectives, inspection 

schedule, and when findings and conclusions on the work will be reported. At least the 

following items need to be considered: 

• Objectives 

- What is the purpose of the inspection? 

- What is to be accomplished? 

• Tasks 

- What tasks are to be conducted? 

- What information must be collected? 

- What records will be reviewed? 

• Procedures 

- What procedures are to be used? 


- Will the inspection require special procedures?


• Resources 

- What personnel will be required? 

- What equipment will be required? 

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Chapter Two Inspection Procedures 

• Schedule 

- What will be the time requirements and order of inspection activities? 

- What will be the milestones? 

• Coordination 

- What coordination with laboratories or other regulatory agencies will be required? 

An outline of tentative inspection objectives, meetings to be held, and records that will be 

reviewed can be prepared and presented to the facility officials during the opening conference. 

Notification of the Facility 

With regard to the EPA-administered NPDES program, the permittee is sometimes notified by a 

Section 308 Letter or "308 Letter" that the facility is scheduled for an inspection. (Appendix E is 

an example of a typical 308 Letter.) The signature authority for a 308 Letter may be delegated 

to a section chief. The 308 Letter advises the permittee that an inspection is imminent and 

usually requests information regarding onsite safety regulations to avoid problems concerning 

safety equipment at the time of inspection. This information may include such items as names, 

addresses, and updated process information. The 308 Letter may specify the exact date of 

inspection, if coordination with the permittee is required. The 308 Letter also is used to inform 

the permittee of the right to assert a claim of confidentiality. EPA conducts both announced 

and unannounced inspections. Depending upon the specific circumstances the permittee may 

or may not be notified prior to the inspection in writing or by telephone. Each region uses 

different criteria to determine whether to announce inspections. 

State Notification of Federal Inspection 

The inspector must be certain that the appropriate State regulatory agency is notified in a timely 

manner of inspections to be conducted in its jurisdiction. The State should be notified of all 

Federal inspections unless disclosing inspection information would jeopardize an unannounced 

inspection. This responsibility may vary depending on the region. 

Preparation of Equipment and Supplies 

If sampling is to be performed, part of the pre-inspection process may involve preparing 

sampling equipment and the development of a Quality Assurance Project Plan (QAPP). The 

type of equipment may vary according to the facility inspected and the type of inspection. Table 

2-1 includes a list of field sampling equipment that may be needed. All equipment must be 

checked, calibrated, and tested before use. The inspector also must ensure that all materials 

necessary to complete an inspection are taken to the inspection site. The inspector or 

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Chapter Two Inspection Procedures 

designated person is responsible for maintaining the equipment properly, in accordance with 

operating instructions. 

Safety equipment and procedures required for a facility will be based on the response to the 

308 Letter or standard safety procedures. Safety requirements must be met, not only for safety 

reasons, but to ensure that the inspector is not denied entry to the facility or parts of it. See 

Table 2-1 for list of protective clothing and safety equipment. 

Photocopies of appropriate checklists to be used during the inspection should be obtained 

during the pre-inspection preparation. 

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Table 2-1


List of Field Sampling Equipment


Field Equipment 

Documents and Recordkeeping Tools Protective Clothing1 

• Credentials 

• File 

• Checklists 

• Log book 

• Shipping labels 

• Analysis request forms 

• Waterproof pen 

• Calculator 

� QAPP & Sampling plan 

Sampling Materials 

• Automatic samplers 

• Tubing 

• Sample containers, including extras 

• Batteries/extension cords 

• Sample bottle labels/sample seals 

• Plastic security tape 

• Chain-of-custody forms 

• Dissolved oxygen meters 

• pH meter 

• TRC meter 

• pH buffer 

• Deionized water 

• Chart paper 

• Thermometer 

• Coolers/ice 

• Preservatives 

Sample Transportation Materials 

• Bubble pack material 

• Filament tape 

• Airbill/bill of lading 

Flow Measurement Devices 

•	 Measurement devices (e.g., flumes, 

weirs, portable ultrasound or bubble 

systems) 

• Flow discharge tables 

• Level 

• Ruler 

•	 Stopwatch or watch with second 

hand 

• Hard hat 

• Hearing protection 

• Safety shoes 

• Gloves 

• Coveralls 

• Reflective safety vest 

• Safety glasses/goggles 

• Rainwear 

Safety Equipment1 

• First-aid kit 

•	 Meters (oxygen content, explosivity, 

and toxic gas) 

• Safety harness and retrieval system 

• Ventilation equipment 

• Respirator 

• Filter cartridges 

• Self-contained breathing apparatus (if 

appropriate) 

Tools 

• Multi-tooled jack knife (Swiss Army type) 

• Electrical and duct tape 

• Tape measure 

• Hand-held range finder and level 

• Camera/film, digital camera, video camera 

• Flashlight 

• Screwdriver 

• Adjustable wrench and vise grips 

•	 Bucket (plastic or stainless steel, as 

appropriate) 

• Nylon cord 

• GPS 

• Laptop computer 

• Cell phone 

1

 List of Protective Clothing and Safety Equipment is not limited to only Sampling Inspections. 

2-8

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2. B. Offsite Surveillance 

Considerations 

Often many potential concerns can be identified prior to entering the facility, such as illegal 

discharges, stressed vegetation, spills, smoke, or illegal dumping. Offsite surveillance also 

provides an opportunity for the inspector to determine the direction North, which can be used to 

reference photos, locations, violations, etc., and allows the inspector to determine the layout of 

the facility and make judgements about how to prioritize the inspection. 

Specific questions the inspector should answer when conducting offsite surveillance include: 

1. Is the offsite surveillance conducted from a public right-of-way? 

2. Where is the direction North? 

- A brief sketch of the layout and orientation (as viewed from the public right-ofway) should be noted. 

3. 	 What are some obvious concerns visible from public right-of-way (e.g., 

containers, loading areas, tanks, obvious discharges, improper disposal)? 

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2. C. Entry 

Entry Procedures 

Authority 

The authority for entry into a wastewater facility is found in section 308(a)(4)(B) of the CWA 

which states: 

the Administrator or his authorized representative . . . upon presentation of his 

credentials (i) shall have a right of entry to, upon, or through any premises in 

which an effluent source is located or in which any records are required to be 

maintained . . . and (ii) may at reasonable times have access to and copy any 

records, inspect any monitoring equipment or method . . . and sample any 

effluents which the owner or operator of such source is required to sample. . . . 

In addition, NPDES permits contain inspection authority provisions. 

Arrival 

Arrival at the facility and the facility inspection should occur during normal working hours. The 

facility owner or agent in charge should be located as soon as the inspector arrives on the 

premises. Prior to entering a facility, inspectors should observe it as thoroughly as possible 

from public grounds. 

Credentials 

When the proper facility officials have been located, the inspector must introduce himself or 

herself as an EPA inspector and present the proper EPA credentials. These credentials 

indicate that the holder is a lawful representative of the regulatory agency and is authorized to 

perform NPDES inspections. The credentials must be presented whether or not identification is 

requested. 

If the facility officials question the inspector’s credentials after the credentials have been 

reviewed, the officials may telephone the appropriate State or EPA Regional Office for 

verification of the inspector's identification. Credentials should never leave the sight of the 

inspector or be photo-copied. For more detailed information on the use of EPA Credentials, 

please refer to the fact sheet “The Do’s and Don’ts of Using EPA Credentials”(Appendix F). 

Consent 

Consent to inspect the premises must be given by the owner or operator at the time of the 

inspection. As long as the inspector is allowed to enter, entry is considered voluntary and 

consensual, unless the inspector is expressly told to leave the premises. Expressed consent is 

not necessary; absence of an expressed denial constitutes consent. 

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Chapter Two Inspection Procedures 

Reluctance to Give Consent 

The receptiveness of facility officials toward inspectors is likely to vary among facilities. Most 

inspections will proceed without difficulty. In other cases, officials may be reluctant to give entry 

consent because of misunderstood responsibilities, inconvenience to a firm's schedule, or other 

reasons that may be overcome by diplomacy and discussion. If consent to enter is denied, the 

inspector should follow denial of entry procedures (see p.2-13). 

Whenever there is a difficulty in gaining consent to enter, inspectors should tactfully probe the 

reasons and work with officials to overcome the problems. Care should be taken, however, to 

avoid threats of any kind, inflammatory discussions, or deepening of misunderstandings. If the 

situation is beyond the authority or ability of the inspector to manage, the inspector’s supervisor/ 

Office of Regional Counsel should be contacted for guidance. 

Claims of Confidentiality 

The inspector should explain the permittee's right to claim material as confidential and that the 

inspector may examine areas related to effluent production or storage even if the permittee has 

asserted claims of confidentiality. Confidential information is discussed in greater detail later in 

this chapter. 

Waivers, Releases, and Sign-In Logs 

When the facility provides a blank sign-in sheet, log, or visitor register, it is acceptable for 

inspectors to sign it. However, EPA employees must not sign any type of "waiver" or "visitor 

release" that would relieve the facility of responsibility for injury or that would limit the rights of 

EPA to use data obtained from the facility. The inspector may cross-out and initial any wording 

that is unacceptable due to its restrictive nature. 

If such a waiver or release is presented, the inspectors should politely explain that they cannot 

sign and request a blank sign-in sheet. If the inspectors are refused entry because they do not 

sign the release, they should leave and immediately report all pertinent facts to the appropriate 

supervisor and/or legal staff. All events surrounding the refused entry should be fully 

documented. Problems should be discussed cordially and professionally. 

Problems With Entry or Consent 

Because a facility may consider an inspection to be an adversarial proceeding, the legal 

authority, techniques, and competency of inspectors may be challenged. Facility officials also 

may display antagonism toward EPA personnel. In all cases, inspectors must cordially explain 

the authorities and the protocols followed. If explanations are not satisfactory or disagreements 

cannot be resolved, the inspectors should leave and obtain further direction from his EPA 

supervisor or legal staff. Professionalism and politeness must prevail at all times. Appendix G 

contains EPA's Memorandum on Entry Procedures – “Conduct Inspections After the Barlow’s 

Decision.” 

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Chapter Two Inspection Procedures 

Entry Procedures 

EPA developed the following inspection procedures as a result of the 1978 U.S. Supreme Court 

decision in Marshall v. Barlow's, Inc. 

•	 Ensure that all credentials and notices are presented properly to the facility owner or 

agent in charge. 

•	 If entry is not granted, ask why. Ask the reason for the denial to see if obstacles (such 

as misunderstandings) can be cleared. If resolution is beyond the authority of the 

inspector, he or she may suggest that the officials seek advice from their attorneys to 

clarify EPA's inspection authority under Section 308 of the CWA. 

•	 If entry is still denied, the inspector should withdraw from the premises and contact his 

or her supervisor or Regional Counsel. The supervisor will confer with attorneys to 

discuss the desirability of obtaining an administrative warrant. 

•	 All observations pertaining to the denial are to be carefully noted in the field notebook 

and inspection report. Include such information as the facility name and exact address, 

name and title of person(s) approached, name and title of the person(s) who refused 

entry, date and time of denial, detailed reasons for denial, facility appearance, and any 

reasonable suspicions of regulatory violations. All such information will be important 

should a warrant be sought. 

Important Considerations 

Under no circumstances should the inspector discuss potential penalties or do anything that 

may be construed as coercive or threatening. 

Inspectors should use discretion and avoid potentially threatening or inflammatory situations. If 

a threatening confrontation occurs, the inspector should document it and then report it 

immediately to the supervisor or staff attorney. If feasible, statements from witnesses should 

be obtained and included in the documentation. 

Withdrawal of Consent During Inspection 

If the facility representative asks the inspector to leave the premises after the inspection has 

begun, the inspector should leave as quickly as possible following the procedures discussed 

previously for denial of entry. All activities and evidence obtained before the withdrawal of 

consent are valid. The inspector should ensure that all personal and government equipment is 

removed from the facility. 

Denial of Access to Some Areas of the Facility 

If, during the course of the inspection, access to some parts of the facility is denied, the 

inspector should make a notation of the circumstances surrounding the denial of access and of 

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Chapter Two Inspection Procedures 

the portion of the inspection that could not be completed. He or she then should proceed with 

the rest of the inspection. After leaving the facility, the inspector should contact his or her 

supervisor or staff attorney at the Regional Office to determine whether a warrant should be 

obtained to complete the inspection. 

Warrants 

The inspector may be instructed by EPA attorneys, under certain circumstances, to conduct an 

inspection under search warrant. A warrant is a judicial authorization for appropriate persons to 

enter specifically described locations to inspect specific functions. A pre-inspection warrant 

possibly could be obtained where there is reason to believe that entry will be denied when the 

inspector arrives at the facility or when the inspector anticipates violations that could be hidden 

during the time required to obtain a search warrant. This would be done only in unusual 

circumstances. 

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2. D. Opening Conference 

Once credentials have been presented and legal entry has been established, the inspector can 

proceed to outline inspection plans with facility officials. At the opening conference, the 

inspector provides names of the inspectors, the purpose of the inspection, authorities under 

which the inspection is being conducted, and procedures to be followed. EPA encourages 

cooperation between the inspectors and the facility officials in order to facilitate assignments 

and ensure the success of the inspection. 

Considerations 

Inspection Objectives 

An outline of inspection objectives will inform facility officials of the purpose and scope of the 

inspection and may help avoid misunderstandings. 

Order of Inspection 

A discussion of the order in which the inspection will be conducted will help eliminate wasted 

time by allowing officials time to make records available and start up intermittent operations. 

Meeting Schedules 

A schedule of meetings with key personnel will allow facility officials adequate time to spend 

with the inspector. 

List of Records 

A list of facility records that will need to be reviewed as part of the inspection should be 

provided to facility officials. (i.e., permit, discharge monitoring report, chain-of-custody form, 

sampling data, operation and maintenance records, training records, lab data sheets, and other 

records can be requested depending on the inspections type being performed.) This will allow 

the officials adequate time to gather the records and make them available for the inspector. 

Accompaniment 

It is important that a facility official accompany the inspector during the inspection not only to 

answer questions and describe the plant and its principal operating characteristics, but also for 

safety and liability considerations. Discussion of such needs with facility officials will provide 

them the opportunity to allocate personnel for this purpose. It is also advisable that the 

inspector talk to the personnel actually responsible for performing sample collection and 

analysis to gather specific information on these procedures. 

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Chapter Two Inspection Procedures 

Permit Verification 

The inspector should verify pertinent information included in the permit, such as facility name 

and address, receiving waters, and discharge points. The inspector should also validate (or 

obtain) accurate outfall locational data (i.e., the precise latitude and longitude of each outfall). 

Safety Requirements 

Inspector should be prepared with the appropriate safety equipment which may include hard 

hat, safety shoes, safety glasses, etc.) The inspector should reaffirm which Occupational 

Safety and Health Administration (OSHA) and facility safety regulations will be involved in the 

inspection and should determine whether his safety equipment is adequate. 

Closing Conference 

A post-inspection meeting should be scheduled with appropriate officials to provide a final 

opportunity to gather information, answer questions, present findings and deficiencies, and 

complete administrative duties. 

New Requirements 

The inspector should discuss and answer questions pertaining to any new rules and regulations 

that might affect the facility. If the inspector is aware of proposed rules that might affect the 

facility, he or she may wish to encourage facility officials to obtain a copy. 

Split Samples 

Facility officials should be informed during the opening conference of their right to receive a 

split or duplicate of any physical sample collected for laboratory analysis if sufficient sample 

volume is collected. Officials should indicate at this point their desire to receive split and 

duplicate samples so that arrangements can be made to secure the samples during inspection. 

Duplicate samples will be collected at all sites suspected of potential violations and offered to 

the permittee. 

Photography 

Photography is an essential tool used to assist the inspector in preparing a thorough and 

accurate inspection report, to present evidence in enforcement proceedings, and to document 

conditions found at a site. The Federal Water Pollution Control Act (FWPCA) gives the 

inspector the authority to collect and copy records including photographic images during an 

inspection. During special circumstances such as Confidential Business Information (CBI) 

claims, the inspector may take the photographs, but he/she must handle the photographs 

following all CBI procedures. If there are other circumstances such as national security issues, 

the inspector should try to collect the evidence needed without taking photographs. The 

inspector must inform the site representative that he or she will be taking photographs as a 

routine part of their inspection. 

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Chapter Two Inspection Procedures 

If the facility representative expresses reservations about allowing the inspector to take 

photographs, these concerns should be discussed to seek a mutually acceptable solution. This 

can be as simple as agreeing to avoid photographing sensitive items which are irrelevant to the 

inspection, and/or allowing the representative to look through the camera’s viewfinder prior to 

taking the photograph. With digital and video photography it is possible to immediately show 

the representative your image with the option to delete it if deemed unacceptable. As a general 

rule, it is considered a denial of entry when a facility imposes any photographic restrictions 

which limit the inspector from properly performing the inspection. 

Under no circumstances should the inspector discuss potential penalties or do anything that 

may be construed as coercive or threatening. If the inspector is unable to reach an acceptable 

solution, then he or she should withdraw from the premises and immediately contact his or her 

supervisor for assistance. 

If entry is denied, it is legal for the inspector to photograph areas of the facility exposed to 

public view. 

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2-19

2. E. Documentation 

Providing documentary support of discrepancies discovered in an inspection is an inspector's 

basic responsibility. Documentation serves to "freeze" the actual conditions existing at the time 

of inspection so that evidence can be examined objectively by compliance personnel. 

Documentation is a general term referring to all printed information and mechanical media 

produced, copied, or taken by an inspector to provide evidence of suspected violations. Forms 

of documentation include the field notebook, statements, photographs, videotapes, drawings, 

maps, printed matter, mechanical recordings, and copies of records. 

Inspector's Field Notebook 

The core of all documentation relating to an inspection is the field notebook, which provides 

accurate and inclusive documentation of all inspection activities. A bound notebook should be 

used, and entries should be made in permanent ink. The notebook will form the basis for 

written reports and should contain only facts and pertinent observations. 

Note the date and time of arrivals and departures each day. Language should be objective, 

factual, and free of personal feelings or terminology that might prove inappropriate. Cross out 

and initial any errors in the notebook. The field notebook should never leave the inspector's 

possession during the inspection. Do not allow a facility to copy the field notebook. Notebooks 

become an important part of the evidence package and are admissible in court. The field 

notebook is a part of government records and is not to be considered the inspector's personal 

record. Hold notebooks indefinitely pending disposition instructions. There have been 

instances, although not frequent, where an inspector needed to look back at their field note 

some 10 to 20 years later for related enforcement work. 

Inspection Notes 

An inspector may need to testify in an enforcement proceeding. Therefore, it is imperative that 

each inspector keep detailed records of inspections, investigations, samples collected, and 

related inspection functions. Types of information that should be entered into the field notebook 

include the following: 

Observations 

Record all conditions, practices, and other observations that will be useful in preparing the 

inspection report or that will validate evidence. Note weather conditions such as rain/snowfall 

events prior to and during the inspection. These data will assist the inspector in determining 

whether inflow/infiltration (I&I) is a problem with the facility. 

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Chapter Two Inspection Procedures 

Documents and Photographs 

Photographs taken during an inspection are used to supplement the testimony of the inspector 

as a witness during a court proceeding. The photographs are not intended to refute testimony 

but rather to aid the witness in recalling actual conditions onsite. All documents taken or 

prepared by the inspector such as the completed checklists for the inspection report should be 

noted and related to specific inspection activities. The inspector should adequately document 

each photograph so that its content can be properly identified with the site, date, and who took 

the photograph. This can be recorded in the inspector’s field notebook or a separate photo log. 

Some cameras have a photo specific data which allow this information to be permanently 

imprinted on the photograph. Video cameras and some digital cameras allow this information 

to be voice recorded with the photograph. All the statements in this section, regarding digital 

camera use, should be checked with the EPA’s Policy on the Use of Digital Cameras for 

Inspections (Appendix H). 

Unusual Conditions and Problems 

Note describe in detail unusual conditions and problems. 

General Information 

List names and titles of facility personnel and the activities they perform should be listed along 

with statements they have made and other general information. Record weather conditions. 

Information about a facility's recordkeeping procedures may also be useful in later inspections. 

Samples 

For the analysis of a sample to be admissible as evidence, a logical and documented 

connection must be shown between samples taken and analytical results reported. This 

connection is shown by using a chain-of-custody form that identifies and accompanies a sample 

between the time it is collected and the time it is analyzed. Sampling techniques and 

procedures are discussed in Chapter Five, "Sampling." 

Statements 

Inspectors may attempt to obtain a formal statement from a person who has personal, firsthand 

knowledge of facts pertinent to a potential violation. Request the person making the statement 

to sign and date the statement or a certification that the document reflects an accurate 

summary of what they said. 

The principal objective of obtaining a statement is to record in writing, clearly and concisely, 

relevant factual information. 

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Chapter Two Inspection Procedures 

Procedures and Considerations 

•	 Determine the need for a statement. Will it provide useful information? Is the person 

making the statement qualified to do so by personal knowledge? 

•	 Ascertain all the facts. Make sure all information is factual and firsthand. Record 

statements that are relevant and that the person can verify in court. Avoid taking 

statements that cannot be personally verified. 

• In preparing a statement, use simple narrative style; avoid stilted language. 

- Narrate the facts in the words of the person making the statement. 

- Use the first-person singular ("I am manager of . . ."). 

- Present the facts in chronological order (unless the situation calls for another 

arrangement). 

• Positively identify the person making the statement (name, address, position). 

• Show why the person is qualified to make the statement. 

• Present the pertinent facts. 

•	 Have the person read the statement and make any necessary corrections before 

signing. If necessary, read the statement to the person in the presence of a witness. 

- All mistakes that are corrected must be initialed by the person making the statement. 

•	 Ask the person making the statement to write a brief concluding paragraph indicating 

that he or she read and understood the statement. This safeguard will counter a later 

claim that the person did not know what he or she was signing. 

• Have the person making the statement sign it. 

•	 If he or she refuses to sign the statement, elicit an acknowledgment that it is true and 

correct. Ask for a statement in his or her own hand ("I have read this statement and it is 

true, but I am not signing it because . . ."). Failing that, declare at the bottom of the 

statement that the facts were recorded as revealed and that the person read the 

statement and avowed it to be true. Attempt to have any witness to the statement sign 

the statement including the witness' name and address. 

• Provide a copy of the statement to the signer if requested. 

Photographs 

The documentary value of photographs ranks high as admissible evidence. Clear photographs 

of relevant subjects provide an objective record of conditions at the time of inspection. If 

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Chapter Two Inspection Procedures 

possible, keep "sensitive" operations out of the photographed background. Photographs 

showing confidential operations or information must be handled as confidential information. 

When a situation dictates the use of photographs, the inspector should obtain the permittee's 

approval before taking them. The inspector should be tactful in handling any concerns or 

objections a permittee may have about the use of a camera. In some cases, the inspector may 

explain to the permittee's representative that wastestreams, receiving waters, and wastewater 

treatment facilities are public information, not trade secrets. In the event the permittee's 

representative still refuses to allow photographs, and the inspector believes the photographs 

will have a substantial impact on future enforcement proceedings, the inspector supervisor or 

Regional attorneys should be consulted for further instructions. 

The primary objective of inspection photography is to create an image which accurately 

documents their observations and can be used to testify that the image is a “true and accurate 

representation of what he or she saw on that date.” To accomplish this goal, the inspector 

needs to be familiar with their camera so that the image not only is captured but is properly 

exposed and in-focus. 

There are myriad choices of cameras and image recording media to pick from. The highest 

quality photographs are typically from 35mm single-lens reflex cameras, but most non bottomof-the-line point-and-shoot range finder type cameras produce acceptable images. Disposable 

film cameras and instant print (e.g., Polaroid) may give poorer quality images but may be used 

photo is representative of what the inspector saw. Color film is the standard type of film used, 

but there may be situations where slide film is preferred. Good quality prints can also be made 

from slide film. 

Digital cameras offer the advantage of immediate viewing of the image to assure proper 

composition and exposure. As mentioned above, they can also be shown to the facility 

representative to mitigate their photographic concerns. Digital photography presents unique 

issues which are addressed in the EPA’s Policy on the Use of Digital Cameras for inspections 

(See Appendix H). 

Equipment 

A single-lens reflex camera will take high-quality photographs, enable the inspector to use a


variety of film speeds, and allow the use of appropriate lenses. Fully automatic 35-mm and


pocket cameras can also be used for routine inspections to record the conditions of the facility


during the inspection.


All photographs should be made with color print film because additional equipment, such as a


projector and screen, is not needed to review them. Also, the negatives from color print film are


easily duplicated and the prints can be enlarged and distributed as needed.


A digital camera may be used in conjunction with or instead of a single-lens reflex camera. 


Digital images require no processing or printing. Digital photographers have the advantage of


reviewing images immediately and verifying the results, and if the digital images are not


satisfactory, new images may be taken without the substantial delay entailed in processing and


printing of traditional photographic images. 


When final the digital camera policy will be located at the US EPA’s Office of Compliance


Inspector web site: http://intranet.epa.gov/oeca/oc/campd/inspector/index.html


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Chapter Two Inspection Procedures 

Scale, Location, and Direction Depending on the situation, there are normally three types of 

photographs which can be taken: 1) the establishing shot, 2) the subject, and 3) the detail shot. 

The “establishing shot” or wide angle shot is a photograph taken from a distance which shows 

the subject in relation to permanent landmarks that can be used for reference in establishing 

the location of the subject. The “subject” shot emphasizes a specific object or event. The 

“detail” shot or close-up is typically a particular area of interest within the subject, such as a 

nameplate or leaky valve. It may be helpful to include an object of known size for scale 

reference such as a notebook or pen. 

Safety 

In areas where there is a danger of explosion, flash photographs should not be taken. If there 

is a danger of electrical shock, photographs should be taken from a distance known to be safe. 

Videotapes 

For some inspections, video cameras can be more effective in documenting your findings. 

Video cameras not only can document motion relative to a violation, but record sound, have 

extreme zoom capabilities, and can operate in very low light conditions. When recording 

sound, inspectors must be aware that all comments are recorded. 

Drawings and Maps 

Schematic drawings, maps, charts, and other graphic records can be useful in supporting 

violation documentation. They can provide graphic clarification of site location relative to the 

overall facility, relative height and size of objects, and other information which, in combination 

with samples, photographs, and other documentation, can produce an accurate, complete 

evidence package. 

Drawings and maps should be simple and free of extraneous details. Include basic 

measurements and compass points to provide a scale for interpretation. Identify drawings and 

maps by source, inspector's initials, and date. 

Printed Matter 

Brochures, literature, labels, and other printed matter may provide important information 

regarding a facility's conditions and operations. 

Collect these materials as documentation if, they are relevant. Identify all printed matter with 

date, inspector's initials, and origin. 

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Chapter Two Inspection Procedures 

Mechanical Recordings 

Properly date and sign printouts of electronic records so they can be entered as evidence. 

Charts, graphs, and other hard copy documents produced from computer output should be 

treated as documentation and handled accordingly. 

Copies of Records 

The inspector may store records in a variety of information retrieval systems, including written 

or printed materials, computer or electronic systems, or visual systems such as microfilm and 

microfiche. 

Obtaining Copies of Necessary Records 

When copies of records are necessary for an inspection report consider, storage and retrieval 

methods. 

Written or printed records generally can be photocopied onsite. Portable photocopy machines 

may be available to inspectors through the Regional Office. When necessary, inspectors 

should get authorized in advance via procurement request, travel authorization, or phone call to 

the appropriate EPA authority. Each inspector should find who is their approval official. 

Authorization will allow the inspector to pay a facility a "reasonable" price for use of copying 

equipment. If the facility does not have a photocopier and a portable photocopier is not 

available, a photocopy machine is usually accessible at a nearby site (e.g., post office, 

convenience store). However, inspectors must obtain permission from the permittee prior to 

taking records offsite for copying. 

- At a minimum, all copies made for or by the inspector should be initialed and dated 

for identification purposes. (See identification details below.) 

- When photocopying is impossible or impractical, closeup photographs or videotape 

or hand copying may be taken to provide suitable copies. 

•	 Computer or electronic records may require the generation of hard copies for inspection 

purposes. Arrangements should be made during the opening conference, if possible, 

for these copies. 

- Photographs of computer screens may provide adequate copies of records if other 

means do not exist. 

•	 Visual systems (microfilm, microfiche) may have photocopying capacity built into the 

viewing machine, which can be used to generate copies. Photographs of the viewing 

screen may provide adequate copies if hard copies cannot be generated. 

Identification Procedures Immediate and adequate identification of records reviewed is 

essential to ensure the identification of records throughout the EPA custody process and their 

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Chapter Two Inspection Procedures 

admissibility in court. When inspectors are called to testify, they must be able to identify each 

particular document and state its source and the reason for its collection if asked. 

The inspector should initial, date, number, and enter the facility's name on each record, and log 

these items into the field notebook. 

Initialing/Dating 

Each inspector should develop a unique system for initialing (or coding) and dating records and 

copies of records so that he or she can easily verify their validity. This can be done by initialing 

each document in a similar position, or by another method, at the time of collection. All record 

identification notations should be made on the back of the document. The inspector must be 

able to identify positively that he or she so marked the document. 

Numbering 

As necessary to keep proper track each document or set of documents substantiating a 

suspected violation(s) should be assigned an identifying number unique to that document. The 

number should be recorded on each document and in the field notebook. 

Logging 

Documents obtained during the inspection should be entered in the field notebook by a logging 

or coding system. The system should include the identifying number, date, and other relevant 

information: 

•	 The reason for copying the material (i.e., the nature of the suspected violation or 

discrepancy) 

• The source of the record (i.e., type of file, individual who supplied record) 

• The manner of collection (i.e., photocopy, other arrangements). 

General Considerations 

• Return originals to the proper person or to their correct location. 

• Group related records together. 

•	 Handle Confidential business records according to the special confidential provisions 

discussed below. 

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Chapter Two Inspection Procedures 

Routine Records 

The inspector may find it convenient to make copies of records, such as laboratory analysis 

sheets and data summaries, to refresh his or her memory when preparing the inspection report. 

It is not always necessary to follow the formal identification and logging requirements when 

such records are obtained for general information purposes or to aid in the preparation of 

routine inspection reports. 

Confidential Information 

Confidentiality 

When conducting compliance inspections, an inspector may have to deal with claims of 

confidentiality as authorized under Section 308 of the CWA and as defined under 40 CFR Part 

2. This section of the statute is designed to protect confidential business information from 

unauthorized disclosure. Confidential business information includes information considered to 

be trade secrets (including chemical identity, processes, or formulation) that could damage a 

company’s competitive position if they became publically known. 

Any business being inspected has the right to claim all or any part of the information 

gathered during that inspection, other than effluent data, as confidential. See CWA section 

308(b); 40 C.F.R. § 2.302(e). In fact, as a mater of policy, EPA notifies the business of its right 

to assert a claim of confidentiality at the time of 308 letter Frequently, the 308 letter is used for 

this notification. After the business has responded to the 308 letter and, in that response, has 

asserted whatever claims of business confidentiality for eligible information it intends to make, 

EPA generally will be aware of any potential confidentiality problems. 

The affected business may assert a claim of confidentiality at any time, according to 40 

CFR 2.203(c). The business can make such a claim at the time of the inspection or at any time 

subsequent to the inspection. This claim must be in writing and signed by a responsible 

company official. While the business is entitled to make a claim of confidentiality on all 

information which an inspector requests or has access to while onsite (other than effluent data), 

claims of confidentiality are subject to review by the EPA’s Office of General Counsel or Office 

of Regional Counsel and the business may be asked to substantiate its claims. See 40 C.F.R. 

§ 2.204(e). If a claim of confidentiality for certain information is received by EPA after the 

information itself is received by EPA, EPA will make such efforts as are administratively 

practicable to associate the late claim with copies of the previously submitted information in 

EPA’s files. See 40 C.F.R. § 2.203(c). However, EPA cannot assure that such efforts will be 

effective, in light of the possibility of prior disclosure or widespread prior dissemination of the 

information. 

When a business makes the confidentiality claim, the Regional office normally will not 

determine the validity of that claim under 40 CFR Part 2 until there is a request for the 

information from a third party or if EPA believes that the information should be included in the 

public record in connection with a proceeding. The exact procedures for making and handling 

CBI determinations are contained in 40 CFR Part 2. Until such a time as that determination is 

made, the information shall be treated as confidential information. 

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Chapter Two Inspection Procedures 

In some cases, entry to a facility may be denied based on the claim by a permittee that 

there is confidential information at the facility. In such cases, the inspector should recite the 

relevant subsections of 308 so they are clearly understood by all parties involved. The 

inspector should then explain the provisions of 40 CFR Part 2 concerning confidentiality. For 

example, the inspector could suggest that the protected material or process be segregated 

from other disclosable information or processes. The inspector should also have in his/her 

possession a copy of both the 308 letter which was sent to the business and the business’ 

response. If the facility representative still refuses entry, the inspector should not contest the 

issue but should treat the matter in the same manner as any denial of entry and immediately 

notify the appropriate EPA enforcement office for instructions. 

Types of Information Excluded from Confidential Treatment 

In order to understand claims of confidentiality, an inspector should know the types of 

information considered confidential. These types of information are defined in 40 CFR Part 2. 

The regulations specifically exclude certain types of information from confidential treatment. In 

particular, this "public information" includes the NPDES permit application and all "effluent data" 

as defined in 40 CFR 2.302(a)(2)(i). According to this definition, effluent data include all 

information necessary to determine the identity, amount, frequency, concentration, 

temperature, and other characteristics (to the extent related to water quality) of: 

•	 Any pollutant which has been discharged by the source (or any pollutant resulting from 

any discharge from the source) or any combination of the foregoing 

•	 The pollutant which, under an applicable standard or limitation, the source was 

authorized to discharge (including, to the extent necessary for such purpose, a 

description of the manner or rate of operation of the source). 

Effluent data may also include a general description of the location and/or nature of the 

source to the extent necessary to distinguish it from other sources (e.g., a description of the 

device, installation, or operation constituting the source). For additional clarification about 

confidentiality, EPA Regional policy on the issue should be consulted. 

Secrecy Agreements and Nondisclosure 

Inspectors, whether EPA, the State, or EPA contractors conducting NPDES compliance 

inspections, shall not sign any pledge of secrecy or confidentiality agreements or any 

agreement which would limit the Agency*s ability to disclose information received while 

inspecting a facility. Section 308 does not specify that a secrecy agreement must be executed 

as a condition of entry. Unauthorized disclosure of confidential information by EPA or State 

employees and authorized contractors is prohibited by law [33 U.S.C. 1318(b)]. In addition, all 

contractor inspectors must sign a statement that they will be personally bound by 40 CFR Part 

2 and not disclose trade secrets. 

It is not appropriate for the compliance inspector to determine whether a permittee’s 

claim of confidentiality is justified. Once such a claim is made, the information must not be 

disclosed and must be kept confidential until a determination is made by the appropriate EPA 

legal office. EPA employees who violate these requirements may be subject to dismissal, 

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Chapter Two Inspection Procedures 

suspension, or fines. Criminal action may be taken against EPA employees and authorized 

contractors who disclose confidential business information. 

Trade Secrets and Confidential Business Information Section 308(b)(2) of the CWA in 

Title 40, Code of Federal Regulations, Part 2 (40 CFR Part 2) protects and defines trade 

secrets and confidential business information from public disclosure. 

Section 308(a)(4) of the CWA states that an inspector may sample an effluent, request 

information, have access to the location of the effluent, and inspect any monitoring equipment. 

The information that is collected is available to the public. If a permittee does not want 

inspection information to be available to the public, he or she must request that EPA consider 

the information confidential. Confidential information includes trade secrets, such as chemical 

identity, processes, or formulae. The permittee must show that the information, if made 

available, would divulge trade secrets. The information then may be classified confidential, but 

still may be disclosed to authorized representatives of EPA. 

Therefore, a business is entitled to a claim of confidentiality for all information that an inspector 

requests or has access to; however, a business may not refuse to release information 

requested by the inspector under the authority of Section 308 of the Act on the grounds that the 

information is considered confidential or a trade secret. The claim of confidentiality relates only 

to the public availability of such data and cannot be used to deny facility access to inspectors 

performing duties under Section 308 of the Act. A claim of confidentiality may be made at the 

time of the inspection or at any time subsequent to the inspection. Claims must be made in 

writing and signed by a responsible company official. Information claimed as confidential can 

be later reviewed to determine whether the claim is valid. 

Handling Confidential Business Information 

Routine security measures will help ensure that reasonable precautions are taken to prevent 

unauthorized persons from viewing confidential information. When practical circumstances 

prohibit the inspector from following the procedures exactly, he or she should take steps to 

protect the information. He or she should mark all confidential information received as such 

and placed in a locked filing cabinet or a safe immediately after the inspection is completed. 

Maintain a chain-of-custody record for all confidential information. Since confidential 

information requires special handling procedures, it may be useful to keep it in a separate 

notebook in a secure/locked location. By doing this, only the confidential material, and not the 

entire notebook of inspection findings, would have to be kept in a locked filing cabinet. 

While Traveling. The inspector may be on the road for several days while conducting 

inspections. The inspector is responsible for ensuring that the information collected is 

handled securely. 

•	 Documents and field notes are considered secure if they are in the physical 

possession of the inspector and are not visible to others while in use. 

•	 Keep inspection documents which contain sensitive information in a locked 

briefcase. If it is impractical to carry the briefcase store the briefcase in a locked 

area, such as the trunk of a motor vehicle. 

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Chapter Two Inspection Procedures 

•	 Place physical samples in locked containers and store in a locked portion of a 

motor vehicle. The chain-of-custody procedures provide further protection for 

ensuring the integrity of the sample. 

In the Office. Indicate who is authorized to have access, only personnel authorized by 

the Regional Administrator, Division Director, or Branch Chief. An access log should be 

maintained for all transactions. Do not copy information marked "trade secret" and/or 

"confidential" unless there is written authority from the Regional Administrator, Division 

Director, or Branch Chief. Requests for access to confidential information by any 

member of the public, or by an employee of a Federal, State, or local agency, must be 

handled according to the procedures contained in the Freedom of Information Act 

regulations (40 CFR Part 2). All such requests should be referred to the responsible 

Regional organizational unit. 

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2. F. Closing Conference 

To achieve the most effective results from compliance inspections, the inspector should 

communicate results promptly to the facility management and/or operating personnel. The 

inspector should limit the discussion to preliminary findings of inspection. If appropriate, the 

inspector may compare findings with the permittee's NPDES permit requirements, consent 

decrees, administrative orders, and other enforcement actions. 

Facility officials are usually anxious to discuss the findings of an inspection before the 

inspector(s) leave. Inspectors should hold a closing meeting or conference for the presentation 

and discussion of preliminary inspection findings. The closing conference provides an 

opportunity to describe deficiencies found and identify areas of concern (e.g., unpermitted 

discharge, parts of a SWPPP missing; inspections not being done; silt fence not installed; 

discharge to a storm drain, etc...). During this meeting or conference, inspectors can answer 

final questions, prepare necessary receipts, provide information about the NPDES program, 

and request the compilation of data that were not available at the time of the inspection. It also 

presents an opportunity to deliver compliance assistance materials and/or information in 

accordance with the National Policy on the Role of the EPA Inspector in Providing Compliance 

Assistance During Inspections, June, 2003. Inspectors should be prepared to discuss follow-up 

procedures, such as how results of the inspection will be used and what further 

communications the region, state, tribe, or locality may have with the facility. Inspectors should 

conduct closing conferences in accordance with any applicable guidelines or SOPs established 

by the EPA Regional Administrator, State Commissioner, Tribal Official or Local Director. 

Precautions and Guidelines 

Although a discussion of the inspection results is important, certain precautions are essential: 

•	 The inspector should follow the guidelines described in the National Policy on the Role 

of the EPA Inspector in Providing Compliance Assistance During Inspections, June, 

2003. 

These guidelines are subject to standard operating procedures developed by the 

Administrator/delegated party or State Director regarding permittee contacts in the 

Region/State. 

Deficiency Notice 

The inspector may issue a Deficiency Notice that specifies existing or potential problems in a 

permittee's self-monitoring program. Issuing a Deficiency Notice onsite or after the site 

inspection provides a swift and simple method for improving the quality of data from NPDES 

self-monitoring activities. An example Deficiency Notice and EPA's Memorandum on Deficiency 

Notice Guidance are provided in Appendix I. Notices allow the inspector to formally assign 

responsibility to the permittee and to track each step of the compliance/enforcement process. 

The Deficiency Notice also helps the permittee to comply with the self-monitoring requirements 

of the permit. 

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Chapter Two Inspection Procedures 

This tool should be used in conjunction with any type of NPDES compliance inspection during 

which the inspector identifies problems with the permittee's self-monitoring activities. It is to be 

used by the inspector only to alert permittees to deficiencies in their self-monitoring activities. 

The enforcement office of the regulatory authority, not the inspector, handles effluent violations. 

Inspectors can issue the Deficiency Notice to a permittee immediately following a compliance 

inspection, or after the site visit is completed, if they discover any permit deficiencies in the 

following seven categories that the Notice addresses: 

• Monitoring location 

• Flow measurement 

• Sample collection/holding time 

• Sample preservation 

• Test procedures, Section 304(h), 40 CFR Part 136 

• Recordkeeping 

• Other self-monitoring deficiencies. 

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2. G. Inspection Report 

The adequacy of compliance follow-up to correct problems or deficiencies noted during the 

inspection greatly depends on the report prepared by the inspector. The sections of this 

chapter detail procedures for collecting and substantiating the information used to prepare this 

report. Once collected, however, the inspector should organize and arrange the material so 

that compliance personnel can make maximum use of the evidence or inspection information. 

The information presented in this section provides general guidelines for organizing evidence 

and preparing an inspection report. 

Objective of the NPDES Inspection Report 

The objective of a NPDES inspection report is to organize and coordinate all inspection 

information and evidence into a comprehensive, usable document. To meet this objective, 

information in an inspection report must be presented in a clear, well-organized manner. The 

information should be objective and factual; the report must not speculate on the ultimate result 

of the inspection findings. Of particular importance are the following: 

•	 Include only accurate information in the report. It should be factual and based on sound 

inspection practices. Observations should be the verifiable result of firsthand 

knowledge. Compliance personnel must be able to depend on the accuracy of all 

information. 

•	 Information in an inspection report should be relevant to the subject of the report. 

Irrelevant facts and data will clutter a report and may reduce its clarity and usefulness. 

Avoid personal comments and opinions. 

•	 Substantiated suspected violation(s) be by as much factual, relevant information as is 

feasible to gather. Organize all information pertinent to the subject into a complete 

package. Reference documentary support (e.g., photographs, statements, sample 

documentation) accompanying the report should be referenced clearly so that anyone 

reading the report will get a complete, clear overview of the situation. The more 

comprehensive the evidence is, the better and easier to determine compliance or 

noncompliance. 

Effectively Communicate and Document an Alleged Violation in the Inspection Report 

This is especially critical when the findings and observations support that a potential violation 

occurred. The following includes procedures and examples of how to effectively communicate 

potential violations. 

1. 	 First, state the requirement in the actual language of the statute, permit, or regulation and 

then describe and present the evidence that shows how the facility failed to meet the 

requirement. Each potential violation should be made obvious to the reader by thoroughly 

and clearly describing all documents, photographs, statements, and other evidence in the 

inspection report. This should include the inspector’s own observations. For example: 

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Chapter Two Inspection Procedures 

I. 	 Failure to Meet Missouri State Operating Permit (MSOP) Conditions - The 

Missouri MSOP, MO0023456, issued to the City of Pollutionville, at Section C. 

Special Conditions, Subsection 6. General Criteria, contains the following 

requirement: “a) Waters shall be free from substances in sufficient amounts to 

cause formation of putrescent, unsightly or harmful bottom deposits or prevent 

full maintenance of beneficial uses.” On January 5, 2002, at the WWTP’s outfall 

32 (see map - attachments 3), I observed the receiving water body, Greenfoot 

Stream, to have approximately 4-5 inches of sludge deposit on the bottom 9 (see 

photos #10-14, approximation of depth made with 12" ruler) as well as significant 

blood worm populations (photos #15-16, estimate of blood worm population 

based on counting the number of blood worms per square foot of water surface 

to a depth of about one foot). Greenfoot Stream is on the Missouri 303(d) list for 

nutrient content. Mr. Smith, the plant operator, signed a statement that the plant 

had been losing solids to the stream for four months due to an increased organic 

load from Acme Meat Packing Co. (see attachment 5).... 

II. 	 NOV #4 - Failure to Close Hazardous Waste Satellite Accumulation 

Container - While in the aerosol fill area (see map - attachment 3), I observed 

one full 55-gallon satellite accumulation container that was open (photo 1). I 

verified that the drum was full by looking inside of it. Mr. Helpful, the Aerosol 

Can Fill Operator, said that he used the container to collect spent line flushing 

solvent. He said the solvent consisted of Mecos laquer thinner and that the 

thinner was used to wash the paint out of the fill equipment (MSDS - attachment 

9). I asked Mr. Helpful if he considered the spent laquer thinner a hazardous 

waste. He said yes, that he managed it as F003/F005 hazardous waste. 

Containers holding hazardous waste are required to be closed per 40 CFR 

262.34(a)(1(I) ref. 40 CFR 265.173(a). 

2. 	 Use a separate, indented paragraph to highlight each violation along with an obvious font 

change. As in the above example, each violation was in bold face type and italicized. 

Other formats may be used as long as each violation is made clearly obvious to the reader. 

3. 	 The inspector should write the report as soon as possible after returning from the field. As 

noted earlier, excessive delays or reports not written “near-in-time” to the inspection can 

seriously compromise EPA’s ability to conduct timely enforcement. 

Each inspector should use the following techniques to ensure a well-documented inspection 

report: 

1. Write the report as soon as possible upon return from the field. 

2. 	 Write the report in the first person and in a “compare and contrast” style, i.e., each 

violation identified should be stated in a manner where the facts are presented and then 

compared, against the statute, permit or regulatory requirement. 

3. Use simple, direct language, and short sentences. 

4. Identify, by name and relationship to the facility, who said what and when. 

5.	 Clearly identify all potential violations observed during the inspection or evaluated prior to 

the report write-up. 

6.	 Reference the applicable statute, permit, or regulation for each potential violation 

identified. If the inspection is conducted in a state that is authorized to implement the 

regulation, then the applicable state law or regulation should be co-referenced. 

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Chapter Two Inspection Procedures 

7.	 Provide a complete and detailed description of all materials gathered to support the alleged 

violation, e.g., all photographs, maps, diagrams, etc. 

8. Identify, number, and reference all attachments in the text of the field report. 

9.	 Use consistent word choice, e.g., if a particular device is called a “Waste-o-matic,” use the 

term “Waste-o-Matic” throughout the report to describe that particular device. 

10.	 Do not use negative inferences. For example, avoid saying “...the only drums found 

were...,” which is not first person and implies that no other drums were at the facility. 

Simply state what was observed, e.g., “During the inspection, I observed five drums which 

were...” 

11.	 Do not use vague and ambiguous terms or statements. For example, avoid using words 

like indicated, implied, suggested, several, many, some, or it was determined. 

12.	 Do not use absolute terms like all, always, or every, unless the findings and observations 

have been fully verified and documented (be as precise and accurate as possible. 

13.	 Do not repeat or use information obtained from previous inspection reports that was not 

verified during the inspection. 

14.	 Describe all actions (including time frames) that the facility said they would complete as a 

result of the inspection. 

Elements of a Report 

Although specific information requirements for an inspection report will vary, most reports will 

contain the same basic elements: 

• NPDES Compliance Inspection Report Form 

• Supplementary narrative information 

• Copies of completed checklists 

• Documentary support 

• Inspection Conclusion Data Sheet 

NPDES Compliance Inspection Report Form 

The inspector is responsible for reporting all compliance inspection activities by completing the 

current NPDES Compliance Inspection Report Form 3560-3 as soon as possible after the 

inspection. A copy of the form is included as Appendix J. The EPA should forward the 

inspection report form (Form 3560-3) to the regulatory authority no later than 30 days after 

completion of the inspection. Copies should be sent to the permittee in a timely manner 

(generally within 30 days of inspection date) except when formal enforcement procedures are 

underway. In this instance, the case attorney will direct any disclosure of data. 

Supplementary Narrative Information 

Supplementary narrative information could be a memorandum in the case of routine inspections 

or a narrative report when major violations are detected. When a narrative report is necessary 

to fully describe a compliance inspection, the contents of the report should focus on supporting 

or explaining the information provided in the Compliance Inspection Report Form. 

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Chapter Two Inspection Procedures 

The narrative report should be a concise, factual summary of observations and activities, 

organized logically and legibly, and supported by specific references to accompanying 

documentary support. 

A work plan will simplify preparation and will help ensure that information is organized in a 

usable form. Basic steps in writing the narrative report include the following: 

Reviewing the Information 

The first step in preparing the narrative is to collect all information gathered during the 

inspection. Review the inspector's field notebook in detail. Review all evidence for relevance 

and completeness. A telephone call or, in unusual circumstances, a follow-up visit may be 

needed to obtain additional or supplementary information. Record any phone call relating to the 

inspection in the inspector’s log book with date and time. 

Organizing the Material 

Organize the information according to need, present it logically and comprehensively. Organize 

the narrative so that it is easily understood. 

Referencing Accompanying Material 

Reference all documentary support accompanying a narrative report clearly so that the reader 

will be able to easily locate the items. The "Documentation" section in this chapter provides 

details on document identification. The inspector should check all documentary support for 

clarity before writing the report. 

Writing the Narrative Report. 

Once all the material is collected the reviewing, organizing, and referencing, the narrative can 

be written. The purpose of the narrative is to factually record the procedures used in, and 

findings resulting from, the evidence-gathering process. The inspector should refer to routine 

procedures and practices used during the inspection, but should detail facts relating to potential 

violations and discrepancies. The field notebook is a guide for preparing the narrative report. 

If the inspector has followed the steps presented in this manual, the report will develop logically 

from the organizational framework of the inspection. In preparing the narrative, the inspector 

should make simplicity paramount. 

• Write simply; avoid stilted language. 

•	 Use the active, not passive, voice: (e.g., "He said that . . ." rather than "It was said 

that..."). 

• Keep paragraphs brief and to the point. 

• Avoid repetition. 

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Chapter Two Inspection Procedures 

• Proofread the narrative carefully. 

Copies of Completed Checklists 

Refer to comprehensive checklists in the technical chapters of this manual and in the 

appendices. When appropriate use these checklists to collect information during the 

inspection, the Region may modify these to specific concerns. Include copies of all completed 

checklists in the inspection report. 

Documentary Support 

Include all documentation produced or collected by the inspector to provide evidence of 

suspected violations in the inspection report. The "Documentation" section in this chapter 

provides details on obtaining and organizing this material. 

The Permit Compliance System (PCS)/Integrated Compliance Information System (ICIS) 

The inspection office should ensure that all data listed in Section A of the NPDES Compliance 

Inspection Report Form 3560-3 are entered into the PCS, which is used for national tracking of 

NPDES permit information. EPA does not credit the inspection until it is coded/entered into 

PCS. Therefore, timely completion of reports and data entry into PCS is essential to effectively 

follow up a compliance inspection. Make every effort to ensure that data are entered no later 

than 30 days after the inspection is completed. 

Inspection Conclusion Data Sheet (ICDS) 

In FY 2002, EPA began collecting information on EPA NPDES compliance inspection outcomes 

using a manual ICDS form. Regional inspectors completed these forms and sent to 

Headquarters. The information on the forms was then entered into a national ICDS database. 

In FY 2003, Office of Enforcement and Compliance Assurance (OECA) launched the Integrated 

Compliance Information System (ICIS) Phase I to electronically capture compliance and 

enforcement information, including ICDS data. ICIS Phase I includes data fields for entering 

both general inspection information (for example, facility name, address, SIC code, media) and 

ICDS information (for example, deficiencies, actions taken, and compliance assistance 

provided). Appendix BB contains the Compliance Monitoring Screens required and directions 

to follow to enter both types of information. Regions must decide whether EPA inspectors or 

central data entry personnel will be responsible for entering the data into ICIS. If EPA 

inspectors enter the data, no manual ICDS form will be needed since the information to fill out 

the form should be included in the inspector's notes. If central data entry personnel enter the 

data, EPA inspectors will have to complete the manual ICDS form and forward it to their firstline supervisor for review prior to data entry into ICIS. 

Integrated Compliance Information System (ICIS) 

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Chapter Two Inspection Procedures 

The Integrated Compliance Information System (ICIS) supports the information needs of the 

National Enforcement and Compliance program as well as the unique needs of the NPDES 

program. ICIS will integrate data that is currently located in more than a dozen separate data 

systems. The web-based system will eventually enable individuals from states, communities, 

facilities, and EPA to access integrated enforcement and compliance data from any desktop 

connected to the Internet. EPA's ability to target the most critical environmental problems will 

improve as the system integrates data from all media. 

ICIS features include: 

� Desktop access


� Internet access


� Integrated data


� Real time entry and retrieval of data


� Powerful reporting capabilities


� User friendly.


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3.	 DOCUMENTATION/ 

RECORDKEEPING AND 

REPORTING 

Contents Page 

A. Inspection Authority and Objectives ........................................ 3-1


Authority and Objectives ............................................ 3-1


B. Evaluation Procedures .................................................. 3-3


Verification, Recordkeeping, and Reporting Evaluation Procedures ........... 3-3


Compliance Schedule Status Review .................................. 3-5


POTW Pretreatment Requirements Review ............................. 3-7


In-depth Investigations ............................................. 3-8


C. Verification, Recordkeeping, and Reporting Evaluation Checklist ................ 3-11


D. Digitized Video Clip - Records & Reports ................. (CD-Rom Insert in binder) 

Associated Appendices 

K. Sample Discharge Monitoring Report Form 

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3-ii 
3. A.	 Inspection Authority and 

Objectives 

Authority and Objectives 

Statutory Recordkeeping Authority: Clean Water Act (CWA) §308 and §402 

Regulatory Requirements:	 40 Code of Federal Regulations (CFR) 

Parts 122, 136, 401, 403, 405-471, and 

503, as applicable 

Inspection Authority: CWA §308 

The National Pollutant Discharge Elimination System (NPDES) permit system requires 

permittees to maintain records and report periodically on the amount and nature of discharged 

effluent waste components. The permit stipulates recordkeeping and reporting conditions. 

Evaluations are conducted at selected permitted facilities to determine compliance with permit 

requirements. The procedures listed below should be used for these routine inspections. If 

suspected violations are disclosed during the routine evaluation, a more intensive investigation 

should be conducted. 

A review of facility records should determine that recordkeeping requirements are being met. 

The following questions should be answered in particular: 

� Is facility verifying data being collected as required by the permit? 

• Is all required information available? 

• Is the information current? 

• Is the information being maintained for the required time period? 

• Do the records reviewed indicate areas needing further investigation? 

• Are the records organized? 

• Do the records show compliance? 

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3-2

3. B. Evaluation Procedures 

Verification, Recordkeeping, and Reporting Evaluation Procedures 

During the facility site inspection, the inspector should verify the following requirements of the 

permit: 

• That the number and location of discharges are as described in the permit 

•	 That all discharges, if permitted are in accordance with the general provisions of the 

permit, such as no noxious odors, no visible entrained solids in discharge, no deposits at 

or downstream of the outfall, no color change in the receiving stream, and no fish or 

vegetation kills near the outfalls. 

The inspector should review the permit to determine recordkeeping and reporting requirements. 

Throughout the inspection, the inspector should compare facility's operations with the permit to 

verify that required permit activities are correct, current, and complete. Obtain some of the 

information needed to verify the permit during the opening conference and compare with the 

facility permit. This information includes: 

• Correct name and address of facility 

• Correct name and location of receiving waters 

• Number and location of discharge points, if any 

• Principal products and production rates (where appropriate). 

The inspector should check for records that will verify that notification has been made to the 

Environmental Protection Agency (EPA) or to the State when: (1) discharges differ from those 

stated in the permit, (2) a discharge violates the permit, and (3) a bypass has occurred. The 

inspector should also check to ensure that the facility maintains the appropriate records for a 

minimum of 3 years (or 5 years for sewage sludge). These records may include the following: 

• Sampling and Analysis Data 

- Dates, times, and locations of sampling


- Sample types collected


- Analytical methods and techniques


- Results of analyses


- Dates and times of analyses


- Name(s) of analytical and sampling personnel.


• Monitoring Records 

- Discharge Monitoring Reports (DMRs), including information on flow, pH, Dissolved 

Oxygen (DO), etc., as required by permit. A blank DMR form is included in Appendix 

K. 

- Original charts from continuous monitoring instrumentation. 

- It is important for the inspector to verify the validity of the data on the DMRs. Provide 

this verification by tracking the raw data from the laboratory bench sheets or other 

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Chapter Three Documentation/Recordkeeping and Reporting 

databases to the final reported DMR entries. 

• Laboratory Records 

- Calibration and maintenance of equipment


- Calculations (i.e., on bench sheets or books)


- Quality Assurance/Quality Control (QA/QC) analysis data


- Laboratory Standard Operating Procedures (SOPs)


- Results of DMRQA studies.


• Facility Operating Records 

- Daily operating log 

- Summary of all laboratory tests run and other required measurements, including 

reference test method used (general reference to Standard Methods or 40 CFR Part 

136 methods is not adequate) 

- Chemicals used (pounds of chlorine per day, etc.)


- Weather conditions (temperature, precipitation, etc.)


- Equipment maintenance completed and scheduled


- Spare parts inventory


- Flowmeter and pH meter calibration records.


• Treatment Plant Records (required as part of the Federal Construction Grants program) 

- Plant Operations and Maintenance (O&M) Manual


- Percent removal records


- "As built" engineering drawings


- Copy of construction specifications


- Equipment supplier manual


- Data cards on all equipment.


• Management Records 

- Average monthly operating records


- Annual reports


- Emergency conditions (power failures, bypass, and chlorine failure reports, etc.).


• Pretreatment Records 

- Publicly Owned Treatment Works (POTW) and industrial monitoring and reporting 

requirements 

- Industrial user discharge data 

- Compliance status records 

- POTW enforcement initiatives. 

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Chapter Three Documentation/Recordkeeping and Reporting 

• Risk Management Plan (RMP) 

• Storm Water Pollution Prevention Plan (SWPPP) 

• Spill Prevention Control and Countermeasure (SPCC) Plan 

When required, a properly completed RMP, SWPPP, and/or SPCC Plan should be 

available. The inspector also may gather information on the SPCC and forward this 

information to the appropriate program office for follow-up action plans. 

• Best Management Practices (where required) 

Two types of Best Management Practice (BMP) plans are included in NPDES permits: 

- BMP plans to minimize or prevent release of significant amounts of any toxic or 

hazardous pollutants to public waters. The plans may discuss general operations 

and maintenance of the plant, good housekeeping procedures on the facility 

grounds, and other plans and procedures specific to best management of the facility. 

- Site-specific BMP plans to address particular toxic or hazardous chemicals or other 

conditions particular to the facility. Site-specific BMP may include procedures, 

monitoring requirements, construction of barriers such as dikes and berms, or other 

appropriate measures for solving specific problems. 

In addition, inspectors should ensure that sludge records to verify compliance with 40 CFR Part 

503 are maintained for a minimum of 5 years. Facility needs to keep records to be reviewed 

(such as sludge records and laboratory records) onsite for the inspector. 

The inspector should document all inspection activities (see Chapter Two, Section D). 

Inadequacies, discrepancies, or other problems disclosed during this review may warrant more 

intensive investigation. 

The inspector should validate (or obtain) accurate outfall locational data during the inspection. 

Locational data includes the precise latitude and longitude of each outfall (including metadata 

such as source, datum, precision, etc.). This EPA requires the information as part of the EPA 

permit applications, for all outfalls in modernized PCS. Locational data are becoming 

increasingly critical for Agency-wide geospatical applications, including everything from 

mapping to prioritizing enforcement and permitting efforts. 

Compliance Schedule Status Review 

If the permit contains a compliance schedule or if the facility is under an enforcement action 

with a compliance schedule, the inspector should determine: 

•	 Whether the permittee is conforming to the compliance schedule and, if not, whether 

final requirements will be achieved on time 

• The accuracy of reports relating to compliance schedules 

• The length of delay associated with a particular construction violation 

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Chapter Three Documentation/Recordkeeping and Reporting 

• Whether any schedule violations are beyond the control of the discharger 

• Whether requests for permit modifications are valid. 

If the permit contains a compliance schedule address the schedule in detail only if the need 

becomes apparent during records review and preparation of the inspection plan. Actions to 

look at should included beginning new construction, contract and equipment orders, 

authorization and financing arrangements, and/or attainment of operational status. The specific 

compliance schedule actions are described below. 

Construction Progress 

The inspector must know whether contracts for labor and material have been fulfilled and 

whether the permittee or the permittee's engineering consultant is monitoring progress. These 

aspects are extremely important, particularly in plants where numerous contracts are likely for 

labor and equipment. 

If the permittee or the engineering consultant reports that construction or acquisition of 

equipment is behind schedule, the inspector should: 

•	 Ask to see the permittee's or the resident engineer's progress report and determine 

whether the report indicates that the final compliance schedule required by the permit 

can be met. 

•	 If the report indicates that the final date will not be met, advise the permittee that the 

compliance schedule of the NPDES permit requires the permittee to notify the permitissuing authority promptly of any possible delay in achieving compliance and of 

measures taken to minimize the delay. 

•	 Inquire whether the facility superintendent or chief operator and operating personnel are 

receiving adequate training concerning the operational aspects of the new treatment unit 

while construction is under way. They must be prepared to perform the essential 

operating functions when the facility is placed in service. 

Construction Contracts and Equipment Orders 

The inspector should review the appropriate documents to determine whether the permittee has 

obtained the necessary approval to begin construction. The inspector should note the start and 

completion dates (or scheduled delivery dates in service or equipment contracts). 

Authorization and Financing 

If construction is incomplete, the inspector should determine whether the permittee has the 

authority and financial capability (mortgage commitments, corporate resolution, etc.) to 

complete the required structures. 

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Chapter Three Documentation/Recordkeeping and Reporting 

Attainment of Operational Status 

If construction has been completed but the facility is not yet operational, the inspector should 

determine whether the facility is using appropriate procedures to ensure attainment of working 

status at the earliest possible time. The inspector should verify the following: 

•	 Adequate self-monitoring procedures that the facility has initiated. It is especially 

important that the result of operational and effluent quality monitoring be reviewed to 

determine whether progress is being made toward optimum efficiency in each treatment 

unit and in the entire plant. 

• Adequate recordkeeping procedures. 

•	 Adequate work schedules and assignments. (For municipal facilities, the O&M Manual 

should provide essential guidance.) 

POTW Pretreatment Requirements Review 

The inspector must collect specific information to evaluate compliance with pretreatment 

requirements. A summary using the following procedures below and for more detail see 

Chapter Nine, "Pretreatment." 

As part of the inspection, the inspector must collect information about the POTW's compliance 

with its approved pretreatment program and applicable regulations as well as the compliance 

status of its industrial users with categorical pretreatment standards or locally developed 

discharge limitations. The inspector should review POTW records to determine the following: 

•	 Whether all the contributing industries, including the number of significant industrial 

users are accounted. 

• Whether all industries are properly identified and classified. 

•	 Whether industries have submitted required reports and notifications to the POTW. 

These include baseline monitoring reports, 90-day compliance reports, periodic 

compliance reports, notifications of changed discharge, potential problem discharges, 

violation and resampling, and hazardous waste discharge. 

•	 Whether the number of contributing industries are in compliance with applicable 

standards. 

•	 Whether permits containing all required elements have been issued to significant 

industrial users in a timely manner. 

•	 Whether inspections and sampling (including evaluation of the need for slug control 

plans) of significant industrial users are conducted at the required frequency. 

• Whether the POTW has notified all affected users of classification and applicable 

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Chapter Three Documentation/Recordkeeping and Reporting 

standards and requirements, including Resource Conservation and Recovery Act 

(RCRA) obligations. 

• Whether appropriate enforcement actions have been taken against all noncompliant 

industries and whether the names of all users in significant noncompliance are 

published at least annually. 

•	 Whether contributing industries with compliance schedules are meeting applicable 

schedule deadlines and compliance schedule reporting requirements. 

In-depth Investigations 

When necessary conduct an in-depth inspection of a permittee's records and reports to 

substantiate a suspected violation, to verify self-monitoring data to use as corroborative 

evidence in an enforcement action, or to confirm apparent sampling, analysis, or reporting 

discrepancies discovered during the limited inspection. Discrepancies warrant an in-depth 

review if, for example: 

•	 Suspect the discharge does not meet required standards and no definite operational 

problems have been established. 

•	 Suspect grossly inaccurate self-reporting data with recordkeeping procedures and/or the 

filing of reports. 

• Suspect the cursory review indicates omissions or laxity in the preparation of records. 

• Suspect evidence of falsification of records 

� Suspect laboratory review of analytical data indicates errors in QC or data management. 

Confer with supervisor for more guidance and assistance as needed in performing an in-depth 

investigation. 

In-depth Investigation Procedures 

The following procedures should guide the inspector in conducting an in-depth investigation: 

• Determine Investigation Objective. What is the specific purpose of the investigation? 

•	 Determine Information Needed. What specific data will substantiate a violation or 

respond to the investigation objective? 

• Determine Data Source. What records will contain these required data? 

•	 Review Inspection Authority. Authority to inspect under Section 308 is limited to those 

records required by the permit/regulations. 

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Chapter Three Documentation/Recordkeeping and Reporting 

•	 Inspect Direct and Indirect Data Sources. Examine records likely to provide the required 

data directly. In the absence of direct data, use indirect sources of information can be 

used to develop a network of information relevant to the data being sought. 

•	 Take Statements From Qualified Facility Personnel. See Chapter Two, Section D, for 

procedures. 

•	 Prepare Documentation. Copy and identify all records relevant to the information being 

sought; see Chapter Two, Section D, for specific procedures. 

•	 Follow Confidentiality Procedures. Any record inspected may be claimed by the facility 

as confidential. Treated such records in accordance with EPA procedures; see Chapter 

Two, Section D, the discussion on Confidential Business Information. 

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3-10

3. C.	 Verification, Recordkeeping, and 

Reporting Evaluation Checklist 

VERIFICATION, RECORDKEEPING, AND REPORTING EVALUATION CHECKLIST 

A. PERMIT VERIFICATION 

Mailing Address: 

Brief Facility Description: 

No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Inspec tion obse rvations ve rify informa tion conta ined in perm it. 

2. Current copy of permit is onsite. 

3. Nam e and m ailing addre ss of pe rmittee a re corre ct. 

4. Facility is as de scribed in perm it. 

5. Notification was given to EPA/State of new, different, or increased 

discharges. 

6. Facility maintains accurate records of influent volume, when appropriate. 

7. Num ber and location of d ischarg e points a re as de scribed in perm it. 

8. Records accurately identify name and location of receiving waters. 

9. All discharges are permitted. 

10. The fa cility used Fe deral Co nstruction Grant fu nds to bu ild the plant. 

Yes 1. 

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Chapter Three Documentation/Recordkeeping and Reporting 

VERIFICATION, RECORDKEEPING, AND REPORTING EVALUATION CHECKLIST 

(Continued) 

B. RECORDKEEPING AND REPORTING EVALUATION 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Maintain records and rep orts as re quired by p erm it. 

2. All required inform ation is ava ilable, com plete, and current. 

3. Information is maintained for 3 years (or 5 years for sewa ge sludge). 

4. If the facility monitors more frequently than required by permit (using 

approved methods), these are results reported. 

5. Analytical results are consistent with data reported on DMRs. 

Yes No N/A a. The data moves accurately from the bench sheets to the DMRs


Yes No N/A b. The calculations are performed properly (including loading, averages,


etc.) 

6. Sampling and analyses data are adequate and include: 

Yes No N/A a. Dates, times, and location of sampling


Yes No N/A b. Name of individual performing sampling


Yes No N/A c. Analytical methods and techniques


Yes No N/A d. Results of analyses and calibration


Yes No N/A e. Dates of analyses


Yes No N/A Name of person performing analyses 

g. Instantaneous flow at grab sample stations. 

f.


Yes No N/A


7. Monitoring records are adequate and include: 

Yes No N/A a. Flow, pH, D O, etc., as required by perm it 

Yes No N/A b. Monitoring charts kept for 3 years (or 5 years for sewage sludge) 

Yes No N/A c. Flowm eter calibration records kept. 

tiona l data (latitud e and longit ude of ea ch ou tfall) 

8. Laboratory equipment calibration and maintenance records are adequate. 

9. Plant records* are adequate and include: 

Loca 

* Required only for facilities built with Federal Construction Grant funds. 

10. Pretrea tmen t records are ade quate an d conta in inventory of industrial wa ste 

contributors, including: 

Yes No N/A d. 

Yes No N/A 

Yes No N/A 

Yes No N/A a. O&M Manual 

Yes No N/A b. "As-built" engineering drawings 

Yes No N/A c. Schedules and da tes of equipment m aintenance repairs 

Yes No N/A d. Equipment supplies manual 

Yes No N/A e. Equipment data cards. 

Yes No N/A 

Yes No N/A a. Monitoring data


Yes No N/A b. Inspection reports


Yes No N/A c. Compliance status records


Yes No N/A
 d. Enforcement actions. 

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Chapter Three Documentation/Recordkeeping and Reporting 

VERIFICATION, RECORDKEEPING, AND REPORTING EVALUATION CHECKLIST 

(Continued) 

C. COMPLIANCE SCHEDULE STATUS REVIEW 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Permittee is meeting compliance schedule. 

2. Permittee has obtained necessary approvals to begin construction. 

3. Financing arrangements are complete. 

4. Executed contracts for engineering services. 

5. Completed design plans and specifications. 

6. Construction has begun. 

7. Construction is on schedule. 

8. Equipment acquisition is on schedule. 

9. Facility has completed construction. 

10. Startup has begun. 

11. Permittee has requested an extension of time. 

12. Permittee has met compliance schedule. 

D. POTW PRETREATMEN T REQUIREMENTS REVIEW 

Yes THE FACILITY IS SUBJECT TO PRETREATMENT REQUIREMENTS 

1. Status of POTW pretreatment program 

No N/A 

Yes No N/A a. EPA approved the POTW pretreatment program. (If not, is approval 

in progress?) 

Yes No N/A b. The POTW is in compliance with the pretreatment program 

compliance schedule. (If not, note why, what is due, and intent of the 

POT W to rem edy.) 

2. Status of Compliance with Categorical Pretreatment Standards. 

a.	 Num ber PO TW industrial us ers, Fed eral or Sta te, subjec t to 

pretreatment standards? 

Yes No N/A b. Are thes e industrie s aware of their res ponsibility to com ply with 

applicable standards? 

Yes No N/A c. Has the facility submitted baseline monitoring reports (403.12) for 

these industries? 

Yes No N/A i. Have categorical industries in noncompliance (on BMR reports) 

submitted compliance schedules? 

ii.	 How m any categorical industries on compliance sche dules are 

meeting the schedule deadlines? 

Yes No N/A d.	 If the compliance deadline has passed, have all industries submitted 

90-day compliance reports? 

Yes No N/A e. Are all categorical industries submitting the required semiannual 

report? 

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Chapter Three Documentation/Recordkeeping and Reporting 

VERIFICATION, RECORDKEEPING, AND REPORTING EVALUATION CHECKLIST 

(Continued) 

Yes f. Are all new industrial discharges in compliance with new source 

pretreatment standards? 

Is the POTW conducting inspections of industrial contributors? 

3. Are the ind ustrial use rs subje ct to Proh ibited Lim its (403.5) a nd Loc al Limits 

more stringent than EPA in compliance? , explain why, including need 

for revision of limits.) 

(If not

No N/A 

Yes No N/A g. Has the POT W subm itted an ann ual pretrea tmen t report? 

Yes No N/A h. Has the POTW taken enforcement action against noncomplying 

industrial users? 

Yes No N/A i. 

Yes No N/A

3-14

4. FACILITY SITE REVIEW 

Contents Page 

A. Objectives ........................................................... 4-1


B. Physical Inspection of the Facility ........................................ . 4-3


General Conditions in Overall Plant ................................... 4-4


Preliminary Treatment at the Headquarters ............................. 4-5


Primary Clarifier .................................................. 4-6


Secondary Biological Treatment Units ................................. 4-6


Secondary Clarifier ................................................ 4-7


Advanced Physical Treatment Units ................................... 4-8


Disinfection ...................................................... 4-9


Sludge Handling ................................................. 4-10


Polishing Ponds or Tanks .......................................... 4-13


Plant Effluent ................................................... 4-13


Flow Measurement ............................................... 4-13


Chemical Treatment Units ........................................ . 4-13


Standby Power and Alarms ........................................ 4-14


General Housekeeping ............................................ 4-14


Production Changes .............................................. 4-14


C.	 Operation and Maintenance Evaluation .................................... 4-17


Operation Evaluation ............................................. 4-17


Maintenance Evaluation ........................................... 4-25


D. References and Facility Site Review Checklist .............................. 4-27


References ..................................................... 4-27


Facility Site Review Checklist ....................................... 4-29


List of Tables 

4-1. Operation and Maintenance Function Evaluation Questions ................... 4-18


List of Figures 

4-1. General Waste Water Treatment Plant Flow Diagram ........................ 4-32


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4-ii 
4. A. Objectives 

In performing a facility site review, an inspector examines process treatment units, sampling 

and flow monitoring equipment, outfalls, and the receiving stream. In particular, the inspector 

focuses on areas of the permittee's premises where pollutants are generated, pumped, 

conveyed, treated, stored, or disposed of. The proper conduct of a facility site review requires 

that the inspector understand fully the wastewater treatment processes used at the facility and 

how each process fits into the overall treatment scheme. A General Wastewater Treatment 

Plant Flow Diagram is included at the end of this chapter. (See Figure 4-1.) 

The objectives of a facility site review are to: 

• Assess the conditions of the facility's current treatment processes and operations 

• Evaluate the permittee's operation and maintenance activities 

•	 Check the completeness and accuracy of the permittee's performance/compliance 

records 

•	 Determine whether the treatment units are achieving the required treatment 

efficiencies. 

During the overall review of the facility, the compliance inspector becomes more knowledgeable 

about the facility being inspected, reviews areas that may indicate problems with effluent 

limitations, and evaluates overall performance of the treatment facility. The information in this 

chapter is comprehensive and is based on performing an inspection at a Publicly Owned 

Treatment Works (POTW). Inspectors should use only the information applicable to a 

particular situation. This chapter includes a Facility Site Review Checklist for the inspector’s 

use at the end of this chapter. 

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Chapter Four Facility Site Review 

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4-2

4. B.	 Physical Inspection of the 

Facility 

During the "walk-through" of the facility, the inspector should pay attention to the operational 

factors listed below. The inspector needs to carefully document the physical inspection. The 

inspector should look at and record the following: 

•	 Influent characteristics, including: 

- Appearance (color, odor, etc.) 

- Combined sewer loads 

- Infiltration/inflow 

- Industrial contributions 

- Diurnal/seasonal loading variations 

• Process control 

• Unit operations including supply of treatment chemicals 

• Equipment condition 

• Maintenance and operation staff 

• Safety controls and equipment 

•	 Effluent characteristics, including: 

- Appearance of discharge 

- Receiving stream appearance including any staining. deposits, or eutrophication 

- Evidence of toxicity of the discharge 

• Other conditions particular to the plant. 

The Environmental Protection Agency's (EPA's) Field Manual for Performance Evaluation and 

Trouble Shooting at Municipal Wastewater Facilities (USEPA 1978), published by the Municipal 

Operations Branch of EPA, is a good reference for operational characteristics of plants. 

The physical inspection may lead the inspector to determine: 

• Whether a major facility design problem may require an engineering solution 

•	 Whether problems can be solved through proper operation and maintenance of the 

treatment facilities 

•	 Whether periodic equipment malfunctions the facility needs to address by complete 

overhaul or replacement of equipment. 

If a facility design problem exists, one of the recommendations will be that the facility develop 

engineering solutions. The inspector may evaluate the operation and maintenance procedures 

from the viewpoint of what can be done to simplify the solution. When the inspection findings 

indicate that specific practices of the facility contribute to or cause problems, the inspector 

should detail the problems. When possible, the inspector should use the information to 

evaluate the operation and maintenance procedures. 

When conducting the walk-through, the inspector should be aware of and look for physical 

conditions that indicate past, existing, or potential problems. The presence of these conditions 

will give the inspector an idea of the types of problems present, the parts of the treatment 

4-3

Chapter Four Facility Site Review 

process causing the problems, and the potential solution to existing problems. Conditions to 

look for in the plant generally and in specific processes are listed in the following sections. 

General Conditions in Overall Plant 

General Indicators 

• Excessive scum buildup; grease, foam, or floating sludge in clarifiers 

•	 Hydraulic overload caused by storms, discharges of cooling water, or undersized facility 

or process 

•	 Noxious odors in wet wells and grit chambers and around aerobic and anaerobic 

biological units, scum removal devices, and sludge handling and treatment facilities 

• Evidence of severe corrosion at the treatment plant and in the collection system 

•	 Discoloration of the ground or a strong chemical smell may indicate past spills at the 

plant; further investigation of spills may be warranted 

•	 Vital treatment units out of service for repairs. Determine when the units went out of 

service, the type of failure, and when they will be put back in service 

• Excessive noise from process or treatment equipment 

•	 Any unusual equipment intended to correct operation problems (e.g., special pumps, 

floating aerators in diffused air systems, chemical feeders, temporary construction or 

structures, or any improvised system) 

• Ruptures in chemical feed lines. 

Flow Indicators 

• Surcharging of influent lines, overflow weirs, and other structures 

• Hydraulicly overloaded process or equipment 

• Flow through bypass channels 

• Overflows at alternative discharge points, channels, or other areas 

• Excessive septage dumping by septic tank pumpers 

• Flow from unknown source or origin 

•	 Open-ended pipes that appear to originate in a process or storage area and periodically 

contain flows to the ground or to surface water. Although these pipes have been 

disconnected from a closed system or otherwise removed from service, they can still be 

connected to a discharge source 

� Flow charts indicating acute Infiltration and Inflow (I/I) problems following rain events. 

4-4

Chapter Four Facility Site Review 

Unusual Wastes Indicators 

•	 Collected screenings, slurries, sludges, waste piles, or by-products of treatment. Their 

disposal, including runoff of any water, must be such that none enters navigable waters 

or their tributaries. 

•	 Improper or lack of recycling of filtrates and supernatants from sludge dewatering and 

treatment. 

•	 Improper storage of chemicals and hazardous substances with particular attention to the 

proper diking of chemicals and hazardous substances and segregation of incompatible 

chemicals. Generally, spill containment should be such that the dike could contain the 

contents of the largest tank. 

• Spills or mishandling of chemicals. 

Preliminary Treatment at the Headquarters 

Screening 

• Excessive screen clogging 

• Excessive buildup of debris against screen 

• Oil and grease buildup 

• Improper disposal of screenings 

•	 Excessive odors


� Pass thru of grease and debris that shows up in the final effluent or “pass through.”


Shredding/Grinding 

• Bypass of shredding/grinding equipment 

• Equipment removed or inoperable. 

Grit Removal 

• Grit chamber clogged or subject to odors 

• Less than typical grit accumulation 

• Excessive organic content of grit 

• Wear of grit removal/handling equipment 

• Excessive odors in grit removal area. 

Influent Pumping 

• Inadequate pumping capacity during periods of high influent flow 

• Not operable pumps. 

4-5

Chapter Four Facility Site Review 

Flow Equalization 

• Equalization tank never empty 

• Excessive odors 

• Inoperable aerators, if aerated 

• Ability to bypass directly to surface water. 

Primary Clarifier 

General Indicators 

• Excessive gas bubbles or grease on surface 

• Black and odorous wastewater 

• Poor removal of suspended solids in primary clarifier 

• Excessive buildup of solids in center well of circular clarifier 

• Unlevel discharge weirs 

• Fouling of overflow weirs 

• Evidence of short circuiting 

• Ineffective scum rake 

• Scum overflow or lack of adequate scum disposal, full scum pit 

• Excessive floating sludge and/or scum 

• Excessive sludge on bottom, inadequate sludge removal 

• Noisy sludge scraper drive 

• Broken sludge scraper equipment


� Poor maintenance of sludge pumps (leaking) or pump gallery.


Secondary Biological Treatment Units 

Trickling Filter/Activated Biofilters 

• Filter ponding (indicating clogged media) 

• Collapsed media 

• Leak at center column of filter's distribution arms 

• Uneven distribution of flow on filter surface 

• Uneven or discolored growth 

• Excessive sloughing of growth 

• Odor 

• Clogging of trickling filter's distribution arm orifices 

• Restricted rotation of distribution arms 

• Filter flies, worms, or snails 

• Ice buildup on trickling filter media or distribution arms 

• Inappropriate recirculation rate. 

4-6

Chapter Four Facility Site Review 

Rotating Biological Contactors 

• Odor 

• Development of white biomass on rotating biological contactor (RBC) media 

• Excessive sloughing of growth 

• Excessive breakage of rotating disks or shafts in RBC units 

• Shaft, bearing, drive gear, or motor failure 

• Solids accumulation in RBC units. 

Activated Sludge Tanks 

• Excessive breakage of paddles on brush aerators 

• Shaft, bearing, drive gear, or motor failure on disk or brush aerators 

• Dead spots in aeration tanks 

• Failure of surface aerators 

• Inoperative air compressors 

• Air rising unevenly 

• Excessive air leaks in compressed air piping 

• Dark mixed liquor in aeration tank (grey or black) 

• Dark foam or bad odor on aeration tanks 

• Stable dark tan foam on aeration tanks that sprays cannot break up 

• Thick billows of white, sudsy foam on aeration tank 

•	 Low Dissolved Oxygen (DO, < 1.0 mg/l) in aeration tank (except in areas used for 

denitrification) 

•	 Inadequate amount of return activated sludge rates


� Improper MLSS concentration (not using basin to hold excess solids inventory).


Stabilization Ponds/Lagoons 

� Trees growing on the bank, or within the root zone distance from the bank. 

� Erosion of stabilization pond bank or dike 

• Excessive foliage or animal burrows in pond bank or dike 

• Excessive weeds in stabilization ponds 

• Foaming and spray in aerated lagoon 

• Dead fish or aquatic organisms 

• Buildup of solids around influent pipe 

• Excessive scum on surface. 

Secondary Clarifier 

General Indicators 

• Excessive gas bubbles on surface 

• Fouling of overflow weirs 

• Unlevel overflow weirs 

• Evidence of short circuiting 

4-7

Chapter Four Facility Site Review 

• Excessive buildup of solids in center well of circular clarifier 

• Deflocculation in clarifier 

• Pin floc in overflow 

• Ineffective scum rake 

• Floating sludge on surface; rising sludge or bulking sludge 

• Billowing sludge 

• Excessively high sludge blanket 

•	 Clogged sludge withdrawal ports on secondary clarifier for either sludge wasting or 

sludge return 

• Unequal sludge blanket levels in parallel units 

• Inappropriate return and wasting rates 

• Poor maintenance of sludge pumps (leaking) or pump gallery. 

Advanced Physical Treatment Units 

Filtration 

• Filter surface clogging 

• Short filter run 

• Air displacement of gravel media 

• Formation of mud balls in filter media 

• Air binding of filter media 

• Loss of filter media during backwashing 

• Recycled filter backwash water in excess of 5 percent 

• Excessive effluent turbidity. 

Microscreening 

• Erratic rotation of microscreen drums 

• Plugging 

• Drive system noisy or overheating 

• Backwash in excess of 5% of flow treated. 

Activated Carbon Adsorption 

• Excessive biological growth resulting in strong odor 

• pH above 9.0 Standard Units (S.U.) 

• Plugged carbon pores 

• Presence of carbon fines (dust) in effluent 

• Excessive carbon regeneration. 

Nitrification 

• Hydraulic overload 

• Inadequate pH control/chemical addition 

4-8

Chapter Four Facility Site Review 

• Pin floc in final effluent 

• Sludge rising because of gasification in secondary clarifier. 

Denitrification 

• Temperature below 15°C 

• pH below 6.0 S.U. or above 8.0 S.U. 

• Excessive methanol or other chemical additions 

• Septic sludge conditions. 

Ammonia Stripping 

• Excessive hydraulic loading rate 

• Tower packing coated with calcium carbonate 

• pH below 10.8 S.U. 

• Inadequate tower packing depth 

• Air temperature below 65°F. 

Disinfection 

Chlorination 

• Sludge buildup in contact chamber 

• Gas bubbles 

• Inadequate retention time 

• Floating scum and/or solids 

• Evidence of short circuiting 

• Inadequate ventilation of chlorine feeding room and storage area 

• High temperatures in chlorination rooms 

• Improper operation of automatic feed or feedback control 

• Excessive foaming downstream 

• Evidence of toxicity downstream (dead fish, other dead organisms) 

• Improper chlorine feed, storage, and reserve supply 

• Leak detection equipment is tied into the plant alarm system 

• SCBAs available on-site 

• Proper training in use of SCBA 

• Lack emergency SOP and/or RMP (Risk Management Plan) 

• No chlorine repair kit available. 

Dechlorination 

• Improper storage of sulfur dioxide cylinders 

• Inadequate ventilation of sulfur dioxide feeding room 

• Automatic sulfur dioxide feed or feedback control not operating properly 

• Depressed DO after dechlorination 

4-9

Chapter Four Facility Site Review 

• Improper storage and mixture of sodium metabisulfite containers 

•	 Reduced efficiency of activated carbon dechlorination units because of organic and 

inorganic compound interference 

• No SCBAs available on-site 

• Improper training in use of SCBA 

• No emergency SOP and/or RMP. 

Ultraviolet (UV) 

• Quartz sleeves not kept clean 

• Bulbs are not all operational 

• Effluent has high turbidity 

• Fecal coliform tests show inadequate bacterial kill. 

Sludge Handling 

General Indicators 

• The facility does not waste sludge 

• Inadequate sludge removal from clarifiers or thickeners 

• Poor dewatering characteristics of thermal treated sludge 

• Thickened sludge too thin 

• Fouling of overflow weirs on gravity thickeners 

• Air flotation skimmer blade binding on beaching plate 

• Substantial down time of sludge treatment units 

•	 Sludge disposal inadequate to keep treatment system in balance - storing excess 

sludge inventory within other treatment units such as activated sludge basin, or clarifiers 

due to inadequate sludge wasting capabilities 

•	 Mass balance inappropriate (ratio of sludge wasted should be 0.65-0.85 lbs of sludge per 

lb of Biochemical Oxygen Demand (BOD) removed) 

• Sludge decant or return flows high in solids 

• Odors 

• Improper loading rates 

•	 Lack of adequate process control (unit removal efficiencies, DO, sludge age, F/M ratio, 

etc.). 

Sludge Anaerobic Digestion 

• Inoperative mechanical or gas mixers 

• Inoperative sludge heater or low temperature 

• Floating cover of digester tilting 

• Inadequate gas production 

• Inoperative gas burner 

• Supernatant exuding a sour odor from either primary or secondary digester 

• Excessive suspended solids in supernatant 

• Supernatant recycle overloading the Wastewater Treatment Plant (WWTP) 

• pH problems. 

4-10

Chapter Four Facility Site Review 

Sludge Aerobic Digestion 

• Excessive foaming in tank 

• Objectionable odor in aerobically digested sludge 

• Insufficient dissolved oxygen in digester 

• Digester overloaded 

• Clogging of diffusers in digester 

• Mechanical aerator failure in digester 

• Inadequate supernatant removal from sludge lagoons 

• Solids accumulation in tank. 

Sludge Dewatering 

Drying beds 

• Poor sludge distribution on drying beds 

• Vegetation in drying beds (unless reed design) 

• Dry sludge remaining in drying beds (storage) 

• Inadequate drying time on drying beds 

• Some unused drying beds 

• Dry sludge stacked around drying beds where runoff may enter navigable waters 

• Filtrate from sludge drying beds returned to front of plant 

•	 Inadequate sludge wasting capabilities as indicated by all beds being full, and maintaining 

a high solids inventory within the treatment units. 

Centrifuge 

• Excessive solids in fluid phase of sample after centrifugation 

• Inadequate dryness of centrifugal sludge cake 

• Excessive vibration or other mechanical problems. 

Filter Press 

• High level of solids in filtrate from filter presses or vacuum filters 

• Thin filter cake caused by poor dewatering 

• Vacuum filter cloth binding 

• Low vacuum on filter 

• Improperly cleaned vacuum filter media 

• Sludge buildup on belts and/or rollers of filter press 

• Excessive moisture in belt filter press sludge cake 

• Difficult cake discharge from filter presses 

• Filter cake sticks to solids-conveying equipment of filter press 

• Frequent media binding of plate filter press 

• Sludge blowing out of filter press 

• Insufficient run time of sludge dewatering equipment. 

Sludge Stabilization 

Lagoon 

4-11

Chapter Four Facility Site Review 

• Objectionable odor from sludge lagoon 

• Damage to dikes around sludge drying lagoons 

• Unlined sludge lagoons 

• Sludge lagoons full, overflowing sludge back to plant or to natural drainage 

• Deep rooted vegetation on dikes or berms. 

Composting 

• Piles that give off foul odor 

• Inoperable blower 

• Temperature does not reach 122-140°F (50-60°C) 

• Uncontrolled storm water runoff. 

Heat Drying/Pelletizing 

• Excess moisture in sludge feed 

• Insufficient air flow or drying temperature achieved 

• Inadequate drying of final product (excess moisture in final product) 

• Excess odors associated with treatment area 

• Excess odors associated with treated product. 

Alkaline Stabilization 

•	 Insufficient amount of lime (or other alkaline additive) used to ensure pH is raised 

sufficiently 

•	 Inadequate mixing provided to ensure good contact of lime (or other alkaline additive) with 

sludge solids 

• pH problems 

• Excess odors associated with treatment area 

• Excess odors associated with treated product 

• Excessive lime dust around treatment equipment. 

Incineration 

• Objectionable odors associated with treatment area 

• Evidence of excessive dust (ash) around unit 

• Visible smoke or dust exhaust from unit 

• Lack of compliance with air permit parameters 

• Spilling or leaking sludge from dewatered sludge transfer equipment. 

Sludge Disposal 

• Sludge constituents not analyzed before disposal 

• Sludge not transported in appropriate and approved vehicle 

• Surface runoff of sludge at land application site 

• Liquid sludge (i.e., less than 10 percent solids) applied to landfill site 

• Sludge fails paint filter test 

• Inadequate coverage of sludge in subsurface plow injection system 

• Objectionable odors generated at land application site 

4-12

Chapter Four Facility Site Review 

• Slow drying of soil-sludge mixture in subsurface injection system 

• Sludge pooling at land application sites 

• Flies breeding, vectors, and/or odors at landfill site 

• Inadequate burial of sludge at landfill site 

• Excessive erosion at sludge sites 

• Sludge disposed of in nonpermitted sites 

• Disposal not in accordance with Federal, State, or local regulations 

• Sludge lagoons full and overflowing 

• Inadequate runoff control at landfill or land application sites. 

Polishing Ponds or Tanks 

•	 Objectionable odor, excessive foam, floating solids, or oil sheens in polishing ponds or 

tanks 

• Solids or scum accumulations in tank or at side of pond 

• Evidence of bypassed polishing ponds or tanks. 

Plant Effluent 

•	 Excessive suspended solids, turbidity, foam, grease, scum, color, and other macroscopic 

particulate matter present 

• Potential toxicity (dead fish, dead plants at discharge) 

• Stained sediments in receiving waters 

• Sludge in the receiving water, anaerobic sediments, and blood worms 

• Low dissolved oxygen content 

• Eutrophication. 

Flow Measurement 

• Improper placement of flow measurement device 

• Flow totalizer not calibrated 

• Buildup of solids in flume or weir 

• Broken or cracked flume or weir 

• Improperly functioning magnetic flowmeter 

• Clogged or broken stilling wells 

• Weir plate edge corroded or damaged, not sharp edged (< 1/8"), or not level 

• System not capable of measuring maximum flow 

• Sizing of system adequate to handle flow range 

• Flow measurement error greater than ± 10% 

•	 Flow measurement that includes all wastewater discharged and does not include 

wastestreams that are recirculated back to the treatment plant. 

Chemical Treatment Units 

4-13 
Chapter Four Facility Site Review 

• Evident heavy corrosion 

• No portion-measuring device at feed unit 

• pH measuring not evident at pH adjustment tank 

• Chemicals left open when they should be closed 

• Chemicals outdated 

• Chemical containers stored improperly or hazardously 

• Inappropriately stored, moved, or handled chemical tank cars (trucks or train) 

• Spilled dry chemicals on floor between storage area and feed units 

• Improperly disposed of empty chemical containers 

• Large containers handled improperly, container transfer equipment not maintained 

• No appropriate sized berms or dikes at liquid chemical feed units 

• Inadequate supply of chemicals 

• Chemical dust covering feed unit area or storage and transfer areas 

• Use of an inappropriate coagulant 

• Improperly stored or handled glass carboys (acid storage). 

Standby Power and Alarms 

• Emergency generator with no automatic switch-over 

• Generator not regularly checked and exercised 

• No separate electrical substation feed line 

• Portable generators with quick connects 

• Portion of plant operated by the standby power 

•	 Treatment units and headworks equipped with alarms to notify operations staff of unit 

failure or loss of power 

•	 SCADA (Supervisory Control and Data Available) 

- Only large facilities tend to have this equipment 

- SCADA to monitor and operate lift station in the collection system. 

General Housekeeping 

• Facility control panel in disrepair or not in use 

• Wastewater pipelines not clearly distinguished from product pipelines 

• Spills or leaks in dry areas not remediated in a timely manner. 

Production Changes 

Industries frequently make production changes because of advances in technology and 

availability of new products. Therefore, during the tour of an industrial facility, the inspector also 

should inquire about the following: 

4-14

Chapter Four Facility Site Review 

•	 Whether a permittee has last made any changes to: 

- Production processes 

- Raw materials 

- Amount of intermediate and/or finished product 

- Water use 

- Water reuse or recycling 

- Waste treatment processes 

- Other such changes 

•	 Whether the permittee has modified any production process that would change the 

pollutant types or loadings 

•	 Whether the regulatory agency (EPA, State, or local municipality as appropriate) was 

notified of such changes 

•	 What changes will need to be reflected in any National Pollutant Discharge Elimination 

System (NPDES) or local permit modifications. 

The inspector should verify any changes and include the results of the findings and other 

pertinent information in the Compliance Inspection Report. Changes in the loading to Publicly 

Owned Treatment Works (POTWs) by the addition of a significant industrial discharger or large 

population growth also should be ascertained and reported. 

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4-16

4. C. Operation and Maintenance 

Evaluation 

Operation Evaluation 

Operating factors affecting plant performance range from qualitative factors such as the skills and 

aptitudes of operators (e.g., process knowledge and general aptitude), to physical deficiencies in 

laboratory equipment or a lack of flexibility in process equipment. The evaluation of operation 

functions must focus on wastewater treatment, sludge treatment/ disposal, and laboratory 

analysis. The evaluation should be based on the following topics: 

• Policies and procedures 

• Organization 

• Staffing and training 

• Planning 

• Management controls. 

Table 4-1 presents the basic review questions that an inspector should ask in evaluating 

operation functions. Although each of the preceding evaluation topics must be covered in the 

review of operation functions, the four areas discussed in the following paragraphs should 

particularly concern the inspector: 

Policies and Procedures 

Written operating procedures and standard reference texts enable the operator to achieve 

efficient plant operation. The operations manual prepared for the facility is the most important 

reference that an inspector should review when evaluating plant policies and procedures. Other 

reference materials relating to operations that should be available to the operator include 

manufacturers' literature, publications by professional organizations (e.g., the Water Environment 

Federation), and EPA publications. 

Staffing and Training 

Even the best engineered facility cannot perform to its potential without a sufficient number of 

capable and qualified staff. The inspector must consider the abilities and limitations of the 

operating staff. Most States have some type of certification program for operators. The inspector 

may inquire about how many of the staff have been trained and to what degree staff are certified. 

Staff interviews may include the individual in charge of the overall operation, the chief operator, 

specific unit process operators, and laboratory staff. The inspector should ascertain the hours the 

facility is manned and unmanned. If the facility is regularly unmanned, the inspector should 

inquire about unit alarms, in the event of equipment failure or loss of power, alarm telemerty or 

autodialers, facility response procedures and whether there have been any unit bypasses as a 

result of the plant being unmanned. 

4-17

Chapter Four Facility Site Review 

Table 4-1


Operation and Maintenance Function Evaluation Questions


Policies and Procedures 

• Is there a formal or informal set of policies for facility operations? 

• Do policies address: 

- Compliance with permit? 

- Maintaining process controls? 

- Quality control? 

- Preventive maintenance? 

• Is there a set of standard procedures to implement these policies? 

• Are the procedures written or informal? 

• Do the procedures consider the following areas? 

- Safety - Collection system


- Emergency - Pumping stations


- Laboratory - Treatment process


- Process control - Sludge disposal


- Operating procedures - Equipment record system


- Monitoring - Maintenance planning and


- Labor relations scheduling


- Energy conservation - Work orders


- Treatment chemical supply - Inventory management


• Are the procedures followed? 

Organization 

• Is there an Organizational Plan (or Chart) for operations? 

• Does the Plan include: 

- Delegation of responsibility and authority


- Job descriptions


- Interaction with other functions (such as maintenance)?


• Is the Plan formal or informal? 

• Does staff have access to and understand the Plan? 

• Does the facility follow the Plan? 

• Is the Plan consistent with policies and procedures? 

• Is the Plan flexible? Can it handle emergency situations? 

4-18

Chapter Four Facility Site Review 

Table 4-1 

Operations and Maintenance Function Evaluation Questions 

(Continued) 

•	 Does the Plan clearly define lines of authority and responsibility in the following

subfunctional areas? 

- Laboratory - Monitoring practices


- Process control - Mechanical


- Instruments - Electrical


- Sludge disposal - Buildings and grounds


- Collection system - Automotive


- Pumping stations - Supplies and spare parts


Staffing 

• Is there an adequate number of staff to achieve policies and procedures? 

•	 Are staff members adequately qualified for their duties and responsibilities by

demonstrating the following: 

- Certification


- Qualifications


- Ability


- Job performance


- Understanding of treatment processes


• Is staff used effectively to support plant activities? 

• Has the potential for borrowing personnel been considered? 

• Are training procedures followed for: 

- Orientation of new staff?


- Training new operators?


- Training new supervisors?


- Continuing training of existing staff?


- Cross training staff between plant jobs needing more staff/support?


• Which of the following training procedures are used? 

- Formal classroom


- Home study


- On-the-job training


- Participation in professional organization


4-19

Chapter Four Facility Site Review 

Table 4-1 

Operations and Maintenance Function Evaluation Questions 

(Continued) 

•	 Does the training program provide specific instruction for the following operations and 

maintenance activities? 

- Safety - Emergency procedures 

- Laboratory procedures - Mechanical 

- Treatment processes - Electrical 

- Instrumentation - Automotive 

- Equipment troubleshooting - Building maintenance 

- Handling personnel problems - Inventory control 

- Monitoring practices 

• Does management encourage staff motivation? 

• Does management support its first-line supervisors? 

• Is staff motivation maintained through any of the following tools? 

- Encouragement for training - Salary incentives 

- Job recognition - Job security 

- Promotional opportunities - Working environment 

Operations 

• How does the facility establish operating schedules? 

• Do schedules attempt to attain optimum staff utilization? 

• Are line supervisors included in manpower scheduling? 

• Are staff involved in and/or informed of manpower planning? 

• Is there sufficient long-term planning for staff replacement and system changes? 

• Are there procedures in manpower staffing for emergency situations? 

• How are process control changes initiated? 

• How do process control changes interact with management controls? 

• How are laboratory results used in process control? 

• Are there emergency plans for treatment control? 

• Is there an effective energy management plan? Is the plan used? 

• To what extent are operations personnel involved in the budget process? 

4-20

Chapter Four Facility Site Review 

Table 4-1 

Operations and Maintenance Function Evaluation Questions 

(Continued) 

• Do budgets adequately identify and justify the cost components of operations? 

• Are future budgets based on current and anticipated operating conditions? 

• Do operating and capital budget limits constrain operations? 

• Can budget line items be adjusted to reflect actual operating conditions? 

Maintenance 

• Are maintenance activities planned? Is the planning formal or informal? 

•	 Does the facility have sufficient management controls to affect realistic planning and 

scheduling? If the controls exist, are they used? 

• Are operating variables exploited to simplify maintenance efforts? 

•	 To what extent are the supply and spare part inventories planned in conjunction with 

maintenance activities? 

• Have minimum and maximum levels been established for all inventory items? 

• Does the facility have a maintenance emergency plan? 

•	 Is the maintenance emergency plan current? Is the staff knowledgeable about 

emergency procedures? 

•	 Does a plan exist for returning to the preventive maintenance mode following an 

emergency? 

•	 Are preventive maintenance tasks scheduled in accordance with manufacturers' 

recommendations? 

• Is adequate time allowed for corrective maintenance? 

•	 Are basic maintenance practices (preventive and corrective) and frequencies reviewed 

for cost-effectiveness? 

•	 Do the management controls provide sufficient information for accurate budget

preparation? 

•	 Does the maintenance department receive feedback on cost performance to facilitate 

future budget preparation? 

• To what extent are maintenance personnel involved in the budget process? 

4-21

Chapter Four Facility Site Review 

Table 4-1 

Operations and Maintenance Function Evaluation Questions 

(Continued) 

• Do budgets adequately identify and justify the cost components of maintenance? 

•	 Are future budgets based on current and anticipated operating and maintenance 

conditions? 

•	 Do maintenance and capital budget limits constrain preventive maintenance (equipment

replacement and improvements)? 

• Does the maintenance department receive adequate feedback on cost performance? 

• Can budget line items be adjusted to reflect actual maintenance conditions? 

Management Controls 

• Are current versions of the following documents maintained? 

- Operating reports


- Work schedules


- Activity reports


- Performance reports (labor, supplies, energy)


- Expenditure reports (labor, supplies, energy)


- Cost analysis reports


- Emergency and complaint calls


- Process control data, including effluent quality


• Do the reports contain sufficient information to support their intended purpose? 

• Are the reports usable and accepted by the staff? 

• Are the reports being completed as required? 

• Are the reports consistent among themselves? 

• Are the reports used directly in process control? 

• Are the reports reviewed and discussed with operating staff? 

• What type of summary reports are required? 

• To whom are reports distributed and when? 

4-22

Chapter Four Facility Site Review 

Table 4-1 

Operations and Maintenance Function Evaluation Questions 

(Continued) 

Management Controls (Maintenance) 

• Does a maintenance record system exist? Does it include the following? 

- As-built drawings


- Shop drawings


- Construction specifications


- Capital and equipment inventory


- Maintenance history (preventive and corrective)


- Maintenance costs


- Equipment manuals


•	 Does the facility keep a current base record system kept current as part of daily

maintenance practices? 

•	 Does the facility have a work order system for scheduling maintenance? Is it explicit or 

implicit? 

• Which of the following do work orders contain? 

- Date 

- Location 

- Work requirements 

- Assigned personnel 

- Work order number 

- Nature of problem 

- Time requirements 

- Space for reporting work performed, required parts and supplies, time required, and 

cost summary 

- Responsible staff member and supervisory signature requirements 

•	 When emergency work must be performed without a work order, is one completed

afterward? 

•	 Are work orders usable and acceptable by staff as essential to the maintenance 

program? Are they actually completed? 

• Is work order information transferred to a maintenance record system? 

• Does a catalog or index system exist for controlling items in inventory? 

• Are withdrawal tickets used for obtaining supplies from inventory? 

4-23

Chapter Four Facility Site Review 

Table 4-1 

Operations and Maintenance Function Evaluation Questions 

(Continued) 

•	 Do the tickets contain cost information and interact well with inventory controls and the 

work order system? 

•	 Is the cost and activity information from work orders aggregated to provide 

management reports? Is this information also used for budget preparation? 

• Is the maintenance performance discussed regularly with staff? 

• How is the cost of contract maintenance or the use of specialized assistance recorded? 

•	 Are safeguards and penalties adequate to prevent maintenance cards from being

returned without the work being done? 

• Is the preventive maintenance record checked after an emergency equipment failure? 

Health and Safety 

At all times, the facility should follow safe operating procedures. Employees must be trained in 

emergency shut-down, fire control, and spill response procedures, as well as in the use of safety 

equipment, safe sampling techniques, and safe handling of chemicals and wastes. Employees 

should not enter confined spaces unless properly trained and equipped. Managers must be 

aware of the Occupational Safety and Health Administration (OSHA) Right-to-Know laws 

regarding potentially dangerous chemicals in the workplace. This law specifically requires a 

written hazard communication program, labeling of chemicals, and the availability of material 

safety data sheets to employees upon request. 

Management Controls 

Monitoring practices are a good indicator of both the emphasis placed on operations and the 

operator's understanding of process controls. Factors affecting a facility's monitoring capabilities 

are: 

• The sampling program 

• Performance testing 

• Analytical capabilities 

• Recordkeeping practices. 

An effective process control program is essential to a treatment facility's optimal performance. 

However, process control cannot be easily quantified by the inspector. In most cases, the 

inspector must rely on discussions with the plant superintendent and/or operators to supplement 

available records and the technical evaluation. The key considerations for effective process 

controls are: 

• Process control data 

• Process knowledge of the operators 

• The basis for the control practices 

• Implementation of the control practices 

4-24

Chapter Four Facility Site Review 

• Past performance 

• Operator emphasis on controls 

• Recordkeeping. 

Maintenance Evaluation 

Facility maintenance directly affects the ability of the facility to run efficiently and to comply with its 

NPDES permit. The two types of facility maintenance are preventive maintenance and corrective 

maintenance: 

• Preventive maintenance 

- Reduces facility operating costs by eliminating breakdowns and the need for corrective 

maintenance 

- Improves the facility's reliability by minimizing the time equipment is out of service 

- Increases the useful life of equipment, thus avoiding costly premature replacement 

- Avoids possible compliance violations. 

• Corrective maintenance 

- Returns malfunctioning equipment to operation 

- Avoids or minimizes possible violations. 

Evaluation of the maintenance function must focus on the ability to maintain process equipment, 

supply of treatment chemicals, vehicles, and building and grounds. Although each of the five 

evaluation topics (policies and procedures, organization, staffing, planning, and management 

controls) must be covered for each facility inspected, the principal areas of concern in the 

operations evaluation are the same in the maintenance function: 

• Staffing and training 

• Planning and scheduling 

• Management control—records systems and inventory control. 

Only well-trained, competent plant staff can be expected to perform adequate physical 

inspections, repairs, and preventive maintenance. Wastewater facility maintenance is complex 

and requires a variety of skills. An ongoing training program is essential because many of these 

skills are not readily available. 

Maintenance planning and scheduling are essential to effective corrective and preventive 

maintenance. The maintenance supervisor must prepare work schedules listing job priorities, 

work assignments, available personnel, and timing. 

A detailed records system is the basis of any maintenance program. Records are used to 

establish maintenance histories on equipment, diagnose problems, and anticipate—and thereby 

avoid—equipment failure, making records an effective tool for preventive maintenance. 

A central inventory of spare parts, equipment, and supplies must be maintained and controlled. 

The basis for the inventory should be the equipment manufacturer's recommendations, 

supplemented by specific, historical experience with maintenance problems and requirements. 

Inventoried supplies must be kept at levels sufficient to avoid process interruptions. 

4-25

Chapter Four Facility Site Review 

A maintenance cost control system should be an integral part of every wastewater facility. 

Budgets must be developed from past cost records and usually are categorized according to 

preventive maintenance, corrective maintenance, and projected and actual major repair 

requirements. Annual costs must be compared to the budget periodically to control maintenance 

expenditures. Evaluating costs this way serves to control expenditures and provides a baseline 

for future budgets. 

The basic concerns that need to be addressed and evaluated during the inspector's maintenance 

program review are presented in Table 4-1. These questions may help identify the causes of a 

facility's operation and maintenance problems. 

4-26

4. D. References and Facility Site 

Review Checklist 

References 

U.S. Environmental Protection Agency. 1973. Maintenance Management Systems for Municipal 

Wastewater Facilities. EPA 430/9-74-004. 

U.S. Environmental Protection Agency. 1978. Field Manual for Performance Evaluation and 

Troubleshooting at Municipal Wastewater Treatment Facilities. MO No. 16, EPA 

430/9-78-001. 

U.S. Environmental Protection Agency. 1979. Inspector's Guide for Evaluation of Municipal 

Wastewater Treatment Plants. EPA 430/9-79-010. 

U.S. Environmental Protection Agency. 1982. Comprehensive Diagnostic Evaluation and 

Selected Management Issues. EPA 430/9-82-003. 

U.S. Environmental Protection Agency. September 1999. Wastewater Technology Fact Sheet 

Ozone Disinfection. EPA 832-F-99-063. 

U.S. Environmental Protection Agency. September 1999. Wastewater Technology Fact Sheet 

Ultravioldet Disinfection. EPA 832-F-99-064. 

U.S. Environmental Protection Agency. September 2000. Biosolids Technology Fact Sheet 

Centrifuge Thickening and Dewatering. EPA 832-F-00-053. 

U.S. Environmental Protection Agency. September 2000. Biosolids Technology Fact Sheet Belt 

Filter Press. EPA 832-F-00-057. 

U.S. Environmental Protection Agency. September 2000. Decentralized Systems Technology 

Fact Sheet Aerobic Treatment. EPA 832-F-00-031. 

U.S. Environmental Protection Agency. September 2000. Decentralized Systems Technology 

Fact Sheet Evapotranspiration. EPA 832-F-00-033. 

U.S. Environmental Protection Agency. September 2000. Guide for Evaluating Capacity, 

Management, Operation, and Maintenance Programs at Wastewater Treatment Plants. EPA 

300-B-00-015. 

U.S. Environmental Protection Agency. September 2000. Wastewater Technology Fact Sheet 

Ammonia Stripping. EPA 832-F-00-019. 

U.S. Environmental Protection Agency. September 2000. Wastewater Technology Fact Sheet 

Chemical Precipitation. EPA 832-F-00-018. 

U.S. Environmental Protection Agency. September 2000. Wastewater Technology Fact Sheet 

4-27

Chapter Four Facility Site Review 

Dechlorination. EPA 832-F-00-022. 

U.S. Environmental Protection Agency. September 2000. Wastewater Technology Fact Sheet 

Force Main Sewers. EPA 832-F-00-071. 

U.S. Environmental Protection Agency. September 2000. Wastewater Technology Fact Sheet 

Granular Activated Carbon Adsorption and Regeneration. EPA 832-F-00-017. 

Water Environment Federation (WEF). 1992. Wastewater Treatment Plant Design. MOP No. 8, 

WEF, 1992. 

Water Pollution Control Federation (WPCF). 1990. Operation of Wastewater Treatment Plants. 

MOP No. 11, WPCF, 1990. 

4-28

Chapter Four Facility Site Review 

FACILITY SITE REVIEW CHECKLIST 

A. OPERATION AND MAINTENANCE EVALUATION 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Facility properly operates and maintains treatment units 

2. Facility has standby power or other equivalent provision. 

3. Adequate alarm system for power or equipment failures is available. 

4. Sludge disposal procedures are appropriate:

Yes No N/A 

State approval for sludge disposal received. 

5. All treatment units, other than backup units, are in service. 

6. Facility follows procedures for facility operation and maintenance. 

7. Sufficient sludge is disposed of to maintain treatment process

equilibrium. 

8. Organizational Plan (chart) for operation and maintenance is 

provided. 

9. Plan establishes operating schedules. 

10. Facility has written emergency plan for treatment control. 

11. Maintenance record system exists and includes: 

a. As-built drawings

b. Shop drawings 

c. Construction specifications

d. Maintenance history 

e. Maintenance costs 

f. Repair history 

g. Records of equipment repair and timely return to service. 

12. Adequate number of qualified operators on-hand. 

13. Facility has established procedures for training new operators. 

14. Facility maintains adequate spare parts and supplies inventory. 

15. Facility keeps instruction files for operation and maintenance of 

each item of major equipment. 

16. Operation and maintenance manual is available. 

17. Regulatory agency is notified of any bypassing.

(Dates ) 

18. a. Hydraulic overflows and/or organic overloads are 

experienced.

b. Untreated bypass discharge occurs during power failure. 

c. Untreated overflows occurred since last inspection. 

Reason: 

d. Flows were observed in overflow or bypass channels. 

e. Checking for overflows is perf ormed routinely.

f. Overflows are reported to EPA or to the appropriate State 

agency as specified in the permit. 

a. Disposal of sludge according to regulations

Yes No N/A b. 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes 

Yes 

No N/A 

No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

No N/A 

No N/A 

No N/A

No N/A

No N/A 

No N/A

No N/A

No N/A 

4-29

Chapter Four Facility Site Review 

FACILITY SITE REVIEW CHECKLIST 

(Continued) 

B. SAFETY EVALUATION 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes 

Yes 

No N/A 

No N/A 

1. Facility uses undiked/unbermed oil/chemical storage tanks. 

2. Facility maintains up-to-date equipment repair records. 

3. Dated tags show out-of-service equipment 

a. facility/unit lock-out and tag-out procedures are

being followed. 

4. Facility schedules/performs routine and preventive maintenance on 

time. 

5. Facility provides personal protective clothing (safety helmets, ear 

protectors, goggles, g loves, rubber boo ts with steel toes, eye

washes in labs). 

Proper 

Yes N/A

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

No


No N/A


No N/A


No N/A


No N/A


No N/A


No N/A


No N/A


No N/A


No N/A


No N/A


6. Safety devices are readily available: 

a. Fire extinguishers

b. Oxygen deficiency/explosive gas indicator 

c. Self-contained breathing apparatus near entrance to chlorine 

room 

d. Safety harness 

e. First aid kits 

f. Ladders to enter manholes or wetwells (fiberglass or wooden 

for electrical work) 

g. Traffic control cones 

h. Safety buoy at activated sludge plants 

i. Life preservers for lagoons

j. Fiberglass or wooden ladder for electrical work 

k. Portable crane/hoist. 

Yes 

Yes 

No N/A 

No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes 

Yes 

No N/A 

No N/A 

7. Plant has general safety structures such as rails around or covers 

over tanks, pits, or wells. 

8. Emergency phone numbers are listed, including EPA and State. 

9. Plant is generally clean, free from open trash areas. 

10. Facility has available portable hoists, for equipment removal. 

11. All plant personnel are immunized for typhoid, tetanus, and 

hepatitis B. 

12. No cross connections exist between a potable water supply and

nonpotable source. 

13. Gas/explosion controls such as pressure-vacuum relief values, no 

smoking signs, explosimeters, and drip traps are present near

anaerobic digesters, enclosed screening or degritting chambers,

and sludge-piping or gas-piping structures. 

Yes No N/A 14. Facility has enclosed and identified all electrical circuitry.

4-30

Chapter Four Facility Site Review 

FACILITY SITE REVIEW CHECKLIST 

(Continued) 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

No N/A 

No N/A

No N/A

No N/A

No N/A

No N/A

No N/A

No N/A

No N/A

No N/A 

Yes No N/A 

Yes 

Yes 

No N/A 

No N/A 

Yes No N/A

B. SAFETY EVALUATION (Continued) 

15. Personnel are trained in electrical work to be performed as well as

safety procedures. 

16. Chlorine safety precautions are followed: 

a. NIOSH-approved 30-minute air pack

b. All standing chlorine cylinders chained in place 

c. All personnel trained in the use of chlorine 

d. Chlorine repair kit available 

e. Chlorine leak detector tied into plant alarm system 

f. Chlorine cylinders stored in adequately ventilated areas? 

g. Ventilation fan with an outside switch 

h. Posted safety precautions

i. 

17. Facility has complied with the six employer responsibilities for the 

Worker Right-to-Know Law (P.A. 83-240) 

18. Emergency Action Plan on file with local fire department and

appropriate em ergency agency. 

19. Laboratory safety devices (eyewash and shower, fume hood, 

proper labeling and storage, pipette suction bulbs) available. 

20. Facility post warning signs (no smoking, high voltage, non potable

water, chlorine hazard, watch-your-step, and exit). 

Existing emergency SOP and/or RMP or SPCC? 

4-31

Chapter Four Facility Site Review 

Figure 4-1


General Wastewater Treatment Flow Diagram


4-32

5. SAMPLING 

Contents Page 

A. Evaluation of Permittee Sampling Program and Compliance Sampling ............. 5-1


Objectives and Requirements ........................................ 5-1


Significant Industrial User Monitoring Program ........................... 5-2


Biosolids Monitoring Program ........................................ 5-2


Toxicity Testing Program ........................................... 5-2


Storm Water Program ............................................. 5-2


B. Sampling Procedures and Techniques ..................................... 5-3


Wastewater Sample Collection Techniques ............................. 5-3


EPA Sample Identification Methods .................................. 5-16


Wastewater Sample Preservation and Holding Time .................... . 5-16


Transfer of Custody and Shipment of Samples ......................... 5-17


Quality Control .................................................. 5-18


Quality Assurance Project Plan ..................................... 5-24


Data Handling and Reporting ....................................... 5-24


C.	 References and Permittee Sampling Inspection Checklist ................... . . . 5-25


References ..................................................... 5-25


Permittee Sampling Inspection Checklist .............................. 5-27


D. Digitized Video Clip - CD-Rom ........................ (CD-Rom Insert in binder) 

List of Tables 

5-1. Volume of Sample Required for Determination of the Various Constituents of Industrial 

Wastewater .......................................................... 5-5


5-2. Compositing Methods .................................................. 5-8


5-3. Required Containers, Preservation Techniques, and Holding Times .............. 5-11


5-4. Quality Control Procedures for Field Analysis and Equipment ................... 5-20


Associated Appendices 

L. Approved Methods for the Analysis of Sewage Sludge (40 CFR Part 503)


M. Example Chain-of-Custody Form


N. Updated Fact Sheet: Department of Transportation Hazardous Materials Training


Related Websites 

Agency-wide Quality System Documents: http://www.epa.gov/quality/qa_docs.html 

5-i 
Chapter Five Sampling 

This page intentionally left blank. 

5-ii 
5. A.	 Evaluation of Permittee 

Sampling Program and 

Compliance Sampling 

Wastewater sampling/analysis is an integral part of the National Pollutant Discharge Elimination 

System (NPDES) Compliance Monitoring Program. NPDES permits contain specific and legally 

enforceable effluent limitations and monitoring requirements. 

Objectives and Requirements 

When evaluating the permittee sampling program, the inspector should: 

• Verify that the permittee's sampling program complies with the permit 

• Verify that the permittee's sampling program complies with: 

- 40 Code of Federal Regulations (CFR) 136.1 to 136.5 and Appendices A, B, and C 

(Guidelines for Establishing Test Procedures for the Analysis of Pollutants) for 

wastewater samples and 

- 40 CFR Part 503 which requires that for biosolids samples, metal analyses be done 

in accordance with SW-846 methods (in Test Methods for Evaluating Solid Waste 

Physical/Chemical Methods) and Standard Methods for the Examination of Water 

and Wastewater. 

• Document violations to support enforcement action. 

In addition, specific objectives of the sampling conducted by inspectors include the following: 

• Verify compliance with effluent limitations 

• Verify accuracy of reports and program self-monitoring 

• Support enforcement action 

• Support permit development reissuance and/or revision 

• Determine the quantity and quality of effluent. 

Sampling, analysis, preservation technique, sample holding time, and sample container 

requirements are provided under 40 CFR Part 136 as authorized by Section 304(h) of the Clean 

Water Act (CWA). Chapter Seven contains more information on required analytical procedures 

"Laboratory Analyses Techniques Evaluation." See the checklist for use in evaluating the 

permittee's sampling program at the end of this chapter. 

For all NPDES permittees the inspector should include a review of sampling procedures and 

quality control measures the facility uses to ensure the integrity of sample data. 

To evaluate sampling procedures, assess the following seven areas: 

• Sample collection techniques 

5-1

Chapter Five Sampling 

• Field measurements 

• Sample labeling (including location(s)) and documentation 

• Sample preservation and holding time 

• Transfer of custody and shipment of samples 

• Quality control 

• Data handling and reporting. 

Significant Industrial User Monitoring Program 

It is the responsibility of the permitted Publicly Owned Treatment Works (POTW) with a 

pretreatment program to oversee sampling procedures of industrial users and to conduct 

compliance monitoring of its own. Therefore, during a Pretreatment Compliance Inspection 

(PCI) or audit, the inspector may also need to evaluate POTW sampling procedures for 

significant industrial users who discharge to the POTW in addition to evaluating the sampling 

procedures of any permitted POTW. According to the General Pretreatment Regulations, 40 

CFR 403.12(o), industrial users and POTWs subject to 40 CFR 403.12 reporting requirements 

must maintain the following monitoring records: 

• Date, exact place, method and time of sampling, and name of sampler 

• Date of analysis 

• Name of analyst 

• Analytical techniques/methods used 

• Analytical results. 

During a PCI or an audit, the inspector evaluates the POTW industrial user monitoring program 

with respect to the criteria specified in the POTW pretreatment program. Elements of the 

sampling scheme will include the seven areas addressed above and any other areas 

specifically addressed in the particular pretreatment program. Chapter Nine, "Pretreatment," 

discusses the focus of this evaluation in greater detail. 

Biosolids Monitoring Program 

Chapter Ten discusses evaluation of a permittee’s biosolids monitoring program. In addition, 

Appendix L lists approved analytical methods, sample containers, preservation techniques, and 

holding times for biosolids samples. 

Toxicity Testing Program


Chapter Eight discusses evaluation of a permittee’s whole effluent toxicity testing program. In


addition, for methods manuals for Whole Effluent Toxicity testing go to


http://www.epa.gov/owm, as well as http://www.epa.gov/waterscience/WET.


Storm Water Program 

Chapter Eleven provides considerations for performing storm water sampling. 

5-2 
Chapter Five Sampling 

5. B.	 Sampling Procedures and 

Techniques 

Whether an inspector is evaluating a permittee's sampling program or conducting compliance 

sampling on the permittee's effluent, that inspector must be familiar with the procedures and 

techniques necessary for accurate sampling of wastewaters. The following discussion details 

the procedures for sample collection, preservation, transfer, quality control, and data handling. 

Wastewater Sample Collection Techniques 

Sample collection is an important part of the compliance monitoring program. Without proper 

sample collection procedures, the results of such monitoring programs are neither useful nor 

valid, even with the most precise and accurate analytical measurements. 

Selection of Representative Sampling Sites 

Normally, samples should be collected at the location specified in the permit. In some 

instances, the sampling location specified in the permit or the location chosen by the permittee 

may not be adequate for the collection of a representative sample. In that case, the inspector 

should determine the most representative sampling point available and collect a sample at both 

locations. If the facility disagrees the reason for the conflict must be documented for later 

resolution by the permitting authority. 

Influent Samples. Document and take these samples at points of high turbulence flow to 

ensure good mixing. In some instances, the most desirable location may not be accessible. 

Ensure sampling equipment sampling points are above plant return lines, and sampling 

equipment should be placed so that it does not interfere with flow measuring devices. The 

preferred sampling points for raw wastewater are: 

• Waste flowing from last process in a manufacturing operation 

• Pump wet well (if turbulent) 

•	 Upstream collection lines, tank, or distribution box following pumping from the wet well 

or sump 

• Flume throat 

• Aerated grit chamber 

• Upstream siphon following the comminutor (in absence of grit chamber). 

If it is not possible to sample at a preferred point, choose an alternative location and document 

the basis for choosing that location. 

5-3

Chapter Five Sampling 

Effluent Samples. Collect these samples at the site the permit specifies or, if the permit does 

not specify a site then the inspector should select the most representative site after final 

treatment and downstream from all entering wastestreams before they enter the receiving 

waters. Occasionally, municipal plant permits may specify sampling prior to chlorination. For 

these plants, monitor all parameters at the upstream location except fecal coliforms, pH, and 

total residual chlorine. Collect wastewater for use in bioassays at the location specified in the 

facility's NPDES permit. 

Collect samples either manually (grab or composite) or with automatic samplers (continuous or 

composite). The following general guidelines apply when taking samples: 

•	 Take samples at a site specified in the NPDES permit and/or at a site selected to yield a 

representative sample. 

•	 Use a sampling method (grab, composite, continuous) as required in the permit. Some 

parameters that are not to be collected by automatic samplers, but must be hand 

collected are dissolved oxygen, total residual chlorine, oil and grease, coliforms, 

purgeable organics, sulfides, cyanide, and total phenols. 

• Avoid collecting large nonhomogeneous particles and objects. 

• Collect the sample facing upstream to avoid contamination. 

•	 Do not rinse sample container with sample when collecting oil and grease and 

microbiological samples, but fill it directly to within 2.5 to 5 cm from the top. 

•	 Fill the container completely if the sample is to be analyzed for purgeable organics, 

oxygen, ammonia, hydrogen sulfide, free chlorine, pH, hardness, sulfite, ammonium, 

ferrous iron, acidity, or alkalinity. 

•	 Collect sufficient volume to allow for quality assurance testing. (Table 5-1 provides a 

guide to numerous sample volumes, but additional volumes may be necessary for 

quality assurance testing.) 

The following general guidelines apply when using automatic samplers: 

•	 Collect samples where the wastewater is well mixed. Collect the sample near the center 

of the flow channel at 0.4 to 0.6 depth (mid-depth). 

•	 Obtain a sufficient volume of sample to perform all required analyses plus any additional 

amount for quality control. Individual portions of a composite sample should be at least 

100 milliliters in order to minimize sampler solids bias. 

•	 For automatic samplers which use a peristaltic pump, obtain adequate flow rates in the 

sampler tubing to effectively transport the suspended solids. To avoid solids bias, the 

velocity of the wastewater in sample tubing should be at least 2 fps and the tubing 

diameter should be at least 0.25 inch. 

•	 Time of sample collection begins when the last aliquot is dispensed into the composite 

sample container. 

5-4

Chapter Five Sampling 

Table 5-1 

Volume of Sample Required for Determination of


the Various Constituents of Industrial Wastewater


(Associated Water and Air Resource Engineers, Inc. 1973


Handbook for Monitoring Industrial Wastewater.


USEPA Technology Transfer.)


Tests Volume of Sa mple, (1) ml 

PHYSICAL 

Color and Odor(2) ................................................ 100 to 500 

Corrosivity(2) .................................................... Flowing sa mple 

Electrical conductivity(2) ............................................ 100 

pH, electrometric(2) ............................................... 100 

Radioactivity ..................................................... 100 to 1,000 

Specific gravity(2) ................................................ . 100 

Temperature(2) .................................................. Flowing sa mple 

Toxicity(2) ....................................................... 1,000 to 20,000 

Turbidity(2) ...................................................... 100 to 1,000 

CHEMICAL 

Dissolved Gases: 

Amm onia,(3) NH(3) ........................................... 500 

Carbon dioxide,(3) free C02 ..................................... 200 

Chlorine,(3) free Cl2 ........................................... 200 

Hydrogen,(3) H2 .............................................. 1,000 

Hydrogen sulfide,(3) H2S ....................................... 500 

Oxygen,(3) O2 ................................................ 500 to 1,000 

Sulfur dioxide,(3) free SO2 ...................................... 100 

Miscellaneous: 

Acidity and alkalinity ........................................... 100 

Bacteria, iron ................................................ 500 

Bacteria, sulfate-reducing ....................................... 100 

Biochemical oxygen demand (BOD) .............................. 100 to 500 

Carbon dioxide, total C02 (including C03��, HC03�, and free) ............ 200 

Chemical oxygen demand (dichromate) ............................ 50 to 100 

Chlorine requirement .......................................... 2,000 to 4,000 

Chlorine, total residual Cl2 (including OCl�, HOCl, 

NH2Cl, NHCl2, and free) ........................................ 200 

Chloroform-extractable matter ................................... 1,000 

Detergents .................................................. 100 to 200 

Hardness ................................................... 50 to 100 

Hydrazine ................................................... 50 to 100 

Microorganisms .............................................. 100 to 200 

Volatile and filming amines ...................................... 500 to 1,000 

Oily matter .................................................. 3,000 to 5,000 

Organic nitrogen .............................................. 500 to 1,000 

Phenolic compounds .......................................... 800 to 4,000 

pH, c olorim etric ............................................... 10 to 20 

Polyphosphates .............................................. 100 to 200 

Silica ....................................................... 50 to 1,000 

Solids, dissolved .............................................. 100 to 20,000 

Solids, suspended ............................................ 50 to 1,000 

Tannin an d lignin ............................................. 100 to 200 

5-5

Chapter Five Sampling 

Table 5-1 

Volume of Sample Required for Determination of 

the Various Constituents of Industrial Wastewater 

(Continued) 

Tests Volume of Sa mple, (1) ml 

Cations: 

Aluminum, Al+++ ............................................... 100 to 1,000 

Ammonium,(3) NH4+ .......................................... 500 

Antimony, Sb+++ to Sb+++++ ....................................... 100 to 1,000 

Arsenic, As+++ to As+++++ ........................................ 100 to 1,000 

Barium, Ba++ ................................................ . 100 to 1,000 

Cadmium, Cd++ ............................................... 100 to 1,000 

Calcium, Ca++ ................................................ 100 to 1,000 

Chromium, Cr+++ to Cr++++++ ...................................... 100 to 1,000 

Copper, Cu++ ................................................ . 200 to 4,000 

Iron,(3) Fe++ and Fe+++ ......................................... 100 to 1,000 

Lead, Pb++ ................................................... 100 to 4,000 

Magnesium, Mg++ ............................................. 100 to 1,000 

Manganese, Mn++ to Mn+++++++ .................................... 100 to 1,000 

Mercury, Hg+

 and Hg++ ......................................... 100 to 1,000 

Potassium, K+ ................................................ 100 to 1,000 

Nickel, Ni++ .................................................. 100 to 1,000 

Silver, Ag+ ................................................... 100 to 1,000 

Sodium, Na+ ................................................ . 100 to 1,000 

Strontium, Sr++ ............................................... 100 to 1,000 

Tin, Sn++ and Sn++++ ........................................... 100 to 1,000 

Zinc, Zn++ ................................................... 100 to 1,000 

Anions: 

Bicarbonate, HCO3� ........................................... 100 to 200 

Bromide, Br� ................................................ . 100 

Carbonate, CO3�� ............................................. 100 to 200 

Chloride, Cl�� ................................................ 25 to 100 

Cyanide, CN� ................................................ 25 to 100 

Fluoride, Fl� ................................................ . 200 

Hydroxide, OH� .............................................. 50 to 100 

Iodide, I� .................................................... 100 

Nitrate, NO3� ................................................ . 10 to 100 

Nitrite, NO2�� ................................................ 50 to 100 

Phosphate, ortho, PO4��, HPO4��, H2PO4� ........................ . 50 to 100 

Sulfate, SO4��, HSO4 .......................................... 100 to 1,000 

Sulfide, S ��, HS� ............................................. 100 to 500 

Sulfite, SO3��, HSO3� .......................................... 50 to 100 

(1)	 Consider volumes specified in this table as gu ides for the app roxim ate quantity of sa mple 

necessary for a particular analysis. The exact quantity used should be consistent with the volume 

prescribed in the standard method of analysis, whenever a volume is specified. 

(2) Use aliquots for other determinations. 

(3) Obtain samples for unstable constituents in separate containers, preserved as prescribed; 

containers must be completely filled and sealed against air exposure. 

5-6

Chapter Five Sampling 

Sample Types 

Two types of sample techniques are used: grab and composite. For many monitoring 

procedures, 40 CFR Part 136 does not specify sampling type. For these procedures, the 

NPDES permit writer determines the appropriate sample type and specifies them in the NPDES 

permit. 

Grab Samples. Grab samples are individual samples collected over a period of time not 

exceeding 15 minutes and are representative of conditions at the time the sample is collected. 

The sample volume depends on the type and number of analyses to be performed. The 

collection of a grab sample is appropriate when a sample is needed to: 

• Sample an effluent that does not discharge on a continuous basis 

• Provide information about instantaneous concentrations of pollutants at a specific time 

• Allow collection of a variable sample volume 

• Corroborate composite samples 

•	 Monitor parameters not amenable to compositing (e.g., pH, temperature, dissolved oxygen, 

chlorine, purgeable organics, oil and grease, coliform bacteria, and others specified by the 

NPDES permit, which may include phenols, sulfites, and hexavalent chromium). Volatile 

organics, sulfides, phenols, and phosphorus samples can be composited. If you composite 

use special handling procedures. 

Composite Samples. Collect these samples over time, either by continuous sampling or by 

mixing discrete samples, and represent the average characteristics of the wastestream during 

the compositing period use. Composite samples are used when stipulated in a permit and 

when: 

• Average pollutant concentration during the compositing period is determined 

• Mass per unit time loadings is calculated 

• Wastewater characteristics are highly variable. 

Various methods for compositing samples are available, select one based on either time or flow 

proportioning. Table 5-2 lists the advantages and disadvantages of various methods. The 

permit may specify which type of composite sample to use. Collect composite samples either 

manually or with automatic samplers. Inspectors should consider variability in wastestream flow 

rate and parameter concentrations carefully when choosing compositing methods, sampling 

equipment (tubing and containers), and quality assurance procedures. The compositing 

methods are as follows: 

•	 Time Composite Sample—This method requires discrete sample aliquots collected in one 

container at constant time intervals. This method is appropriate when the flow of the 

sampled stream is constant (flow rate does not vary more than ±10 percent of the average 

flow rate) or when flow monitoring equipment is not available. 

5-7

Chapter Five Sampling 

Table 5-2


Compositing Methods


Method Advantages Disadvantages Com men ts 

Time Co mposite 

Con stan t sam ple 

volum e, co nsta nt tim e 

interval between 

samples 

Minimal instrumentation 

and m anual eff ort; 

requires no flow 

measurement 

Flow-Prop ortional Com posite 

Con stan t sam ple 

volume, time interval 

between samples 

proportional to stream 

flow 

Minimal ma nual effort 

Constant time interval 

between samples, 

sample volume 

proportional to total 

stream flow at time of 

sampling 

Minimal instrumentation 

Constant time interval 

between samples, 

sample volume 

proportional to total 

stream flow since last 

sam ple 

Minimal instrumentation 

Sequential Co mposite 

Series of short period 

composites, constant 

time intervals between 

samples 

Useful if fluctuations 

occ ur an d tim e hist ory is 

desired 

Series of short period 

com posites, a liquots 

taken at constant 

dischar ge increm ents 

Useful if fluctuations 

occ ur an d the time 

history is desired 

Continuo us Com posite 

Constant sample volume	 Minim al man ual effort, 

requires no flow 

measurem ent highly 

variable flows 

Sample volume 

proportional to stream 

flow 

Minim al man ual effort, 

most represe ntative 

esp ecia lly for hig hly 

variable sample volume, 

variable pumping 

capacity and power 

May lack representativeness, 

especially for hig hly variable 

flows 

Requires accurate flow 

measurement reading 

equipment; manual compositing 

from flowchart 

Manual compositing from 

flowchart in absence of prior 

information on the ratio of 

minimum to maximum flow; 

cha nce of co llectin g too sm all 

or too large individual disc rete 

sam ples for a given co mpo site 

volume 

Manual compositing from flow 

chart in absence of prior 

information on the ratio of 

minimum to maximum flow; 

chance of collecting either too 

small or too large individual 

discrete samples for a given 

composite volume 

Requires manual compositing 

of aliquots based on flow 

Requires flow totalizer; requires 

man ual com positing of aliquots 

based on flow 

Requires large sam ple ca pacity; 

may lack representativeness for 

highly variable flows 

W idely us ed in 

both automatic 

samplers and 

manual handling 

W idely us ed in 

automatic as well 

as manual 

sampling 

Use d in 

auto ma tic 

samplers and 

widely used as 

manual method 

Not widely used 

in automatic 

samplers but 

may be done 

manually 

Comm only used; 

however, manual 

com positing is 

labor intensive 

Manual 

com pos iting is 

labor intensive 

Practical but not 

widely used 

Requires accurate flow 

measurement equipment, large 

sam ple vo lum e, var iable 

pumping capacity, and power 

Not widely used 

5-8

Chapter Five Sampling 

•	 Flow-Proportional Composite Sample—There are two methods used for this type of 

sample. One method collects a constant sample volume at varying time intervals 

proportional to stream flow (e.g., 200 milliliters sample collected for every 5,000 gallons of 

flow). In the other method, collect the sample by increasing the volume of each aliquot as 

the flow increases, while maintaining a constant time interval between the aliquots. 

•	 Sequential Composite Sample—This method requires discrete samples collected in 

individual containers at constant time intervals or discharge increments—for example, 

samples collected every 15 minutes, composited into separate containers each hour. The 

discrete samples can then be manually flow-proportioned to form the composite sample. 

Alternatively, take a constant sample volume at constant discharge increments, as 

measured with a totalizer. 

•	 Continuous Composite Sample— Collect this sample continuously from the wastestream. 

The sample may be constant volume, or the volume may vary in proportion to the flow rate 

of the wastestream. 

Sample Volume 

The volume of samples collected depends on the type and number of analyses needed, as 

reflected in the parameters to be measured. Obtain the volume of the sample sufficient for all 

the required analyses plus an additional amount to provide for any split samples or repeat 

analyses. Table 5-1 provides a guide to sample volumes required for determining the 

constituents in wastewater. Consult the laboratory receiving the sample for any specific volume 

required. EPA's Methods for Chemical Analysis of Water and Wastes (USEPA 1979b) and 

Handbook for Sampling and Sample Preservation of Water and Wastewater (USEPA 1982), 

and the current Environmental Protection Agency (EPA)-approved edition of Standard Methods 

for the Examination of Water and Wastewater [American Public Health Association (APHA), 

American Water Works Association (AWWA), and Water Environment Federation (WEF)] 

contain specific recommended minimum sample volumes for different pollutant parameters. 

Sample Containers 

The 40 CFR Part 136 describes required sample containers, sample preservation, and sample 

holding time. Table 5-3 includes this material. It is essential that the sample containers be 

made of chemically resistant material unaffected by the concentrations of the pollutants 

measured. In addition, sample containers must have a closure that will protect the sample from 

contamination. Collect wastewater samples for chemical analysis in plastic (polyethylene) 

containers. Exceptions to this general rule are oil and grease samples, pesticides, phenols, 

polychlorinated biphenyls (PCBs), and other organic pollutant samples. Collect these in 

properly cleaned glass jars or bottles and sealed. Collect bacteriological samples in properly 

sterilized plastic or glass containers. Collect samples that contain constituents that will oxidize 

when exposed to sunlight (such as iron cyanide complexes) in dark containers. 

Ensure sample containers are clean and uncontaminated. Check analytical procedures to 

determine if they specify container cleaning procedures. Use precleaned and sterilized 

disposable containers (e.g., polyethylene cubitainers). If these are not used or if the analytical 

method does not specify procedures, use the following procedures for cleaning sample 

containers: 

5-9

Chapter Five Sampling 

• Wash with hot water and detergent. 

• Rinse with acid (e.g., nitric for metals). 

• Rinse with tap water, then rinse three or more times with organic-free water. 

•	 Rinse glass containers with an interference-free, redistilled solvent (such as acetone or 

methylene chloride for extractable organics). 

• Dry in contaminant-free area. 

5-10

Chapter Five Sampling 

Table 5-3 

Required Containers, Preservation Techniques, and Holding Times 

(Excerpt from 40 CFR Part 136, Table II) 

Parameter Container1 Preservative2,3 Maximum Holding 

Time4 

BACTERIAL TESTS 

Coliform, fecal and total P,G Cool, 4°C 

0.008% Na2S2O3 

5 

6 hours 

Fecal streptococci P,G Cool, 4°C 

0.008% Na2S2O3 

5 

6 hours 

INORGANIC TESTS 

Acidity P,G Cool, 4°C 14 da ys 

Alkalinity P,G Cool, 4°C 14 da ys 

Am mo nia P,G Cool, 4°C 

H2SO4 to pH<2 

28 da ys 

Biochemical oxygen 

demand 

P,G Cool, 4°C 48 hours 

Biochemical oxygen 

demand, carbonaceous 

P,G Cool, 4°C 48 hours 

Bromide P,G None required 28 da ys 

Chemical oxygen demand P,G Cool, 4°C 

H2SO4 to pH<2 

28 da ys 

Chloride P,G None required 28 da ys 

Chlorine, total residual P,G None required Ana lyze im me diate ly 

Color P,G Cool, 4°C 48 hours 

Cyanide, total and 

amenable to chlorination 

P,G Cool, 4°C 

NaOH to pH>12 

0.6 g asc orbic acid 5 

14 da ys6 

Fluoride P None required 28 da ys 

Hardness P,G HNO3 to pH<2 , H2SO4 to pH<2 6 months 

Hydrogen ion (pH) P,G None required Ana lyze im me diate ly 

Kjeld ahl an d org anic 

nitrogen 

P,G Cool, 4°C 

H2SO4 to pH<2 

28 da ys 

METALS 7 

Chromium VI P,G Cool, 4°C 24 hours 

Mercury P,G HNO3 to pH<2 28 da ys 

Metals except above P,G HNO3 to pH<2 6 months 

5-11 
Chapter Five Sampling 

Table 5-3 

Required Containers, Preservation Techniques, and Holding Times


(Excerpt from 40 CFR Part 136, Table II)


(Continued)


Parameter Container1 Preservative2,3 Max imu m H olding Tim e4 

INORGANIC TEST S (Continued) 

Nitrate P,G Cool, 4°C 48 hours 

Nitrate-nitrite P,G Cool, 4°C 

H2SO4 to pH<2 

28 da ys 

Nitrite P,G Cool, 4°C 48 hours 

Oil and grease G Cool, 4°C 

HCl, H 2SO4 to pH<2 

28 da ys 

Organic carbon P,G Cool, 4°C 

HCl, H 2SO4 to pH<2 

28 da ys 

Orthop hosph ate 

phosphorus 

P,G Filter imm ediat ely 

Cool, 4°C 

48 hours 

Dissolved oxygen 

Probe 

Winkler 

G bottle & 

top 

G bottle & 

top 

None required 

Fix onsite and store in the dark 

Ana lyze im me diate ly 

8 hours 

Phe nols G Cool, 4°C 

H2SO4 to pH<2 

28 da ys 

Pho sph orus (elem enta l) G Cool, 4°C 48 hours 

Phosphorus, total P,G Cool, 4°C 

H2SO4 to pH<2 

28 da ys 

Residue, total P,G Cool, 4°C 7 days 

Res idue, filtera ble P,G Cool, 4°C 7 days 

Res idue, nonf ilterab le 

(TSS) 

P,G Cool, 4°C 7 days 

Res idue, settle able P,G Cool, 4°C 48 hours 

Res idue, volatile P,G Cool, 4°C 7 days 

Silica P Cool, 4°C 28 da ys 

Specific conductance P,G Cool, 4°C 28 da ys 

5-12

Chapter Five Sampling 

Table 5-3 

Required Containers, Preservation Techniques, and Holding Times


(Excerpt from 40 CFR Part 136, Table II)


(Continued)


Parameter Container1 Preservative2,3 Max imu m H olding Tim e4 

INORGANIC TESTS (Continued) 

Sulfate P,G 

Sulfide P,G 

Sulfite P,G 

Surfac tants P,G 

Cool, 4°C 

Cool, 4°C, add zinc acetate plus 

sodium hydroxide to pH >9 

None required 

Cool, 4°C 

28 da ys 

7 days 

Ana lyze im me diate ly 

48 hours 

Tem perature P,G None required Ana lyze im me diate ly 

Turbid ity P,G Cool, 4°C 48 hours 

ORGANIC TESTS8 

Purgeable halocarbons G, teflonlined septum 

Cool, 4°C 

0.008% Na2S2O3 

5 

14 da ys 

Purg eab le aro ma tic 

hydrocarbons 

G, teflonlined septum 

Cool, 4°C 

0.008% Na2S2O3 

5 

HCl to pH 29 

14 da ys 

Acro lein an d acr ylonitrile G, teflonlined septum 

Cool, 4°C 

0.008% Na2S2O3 

5 

Adjust pH to 4-510 

14 da ys 

Phe nols 11 G, teflonlined cap 

Cool, 4°C 

0.008% Na2S2O3 

5 

7 days until extraction 

40 days after extraction 

Benzidenes11 G, teflonlined cap 

Cool, 4°C 

0.008% Na2S2O3 

5 

7 days until extraction13 

Phthalate esters11 G, teflonlined cap Cool, 4°C 7 days until extraction; 

40 days after extraction 

Nitrosamines11,14 G, teflonlined cap 

Cool, 4°C 

0.008% Na2S2O3 

5 

Store in the dark 

7 days until extraction; 

40 days after extraction 

Polyc hlorin ated biphe nyls 

(PCBs)11 

G, teflonlined cap Cool, 4°C 7 days until extraction; 

40 days after extraction 

Nitroaromatics and 

isophorone11 

G, teflonlined cap Cool, 4°C 

0.008% Na2S2O3 

5 

Store in the dark 

7 days until extraction; 

40 days after extraction 

5-13

Chapter Five Sampling 

Table 5-3 

Required Containers, Preservation Techniques, and Holding Times


(Excerpt from 40 CFR Part 136, Table II)


(Continued)


Parameter Container1 Preservative2,3 Max imu m H olding Tim e4 

ORGANIC TESTS8

 (Continued) 

Polyn ucle ar aro ma tic 

hydrocarbons11 

G, teflonlined cap 

Cool, 4°C 

0.008% Na2S2O3 

5 

Store in the dark 

7 days until extraction; 

40 days after extraction 

Haloethers11 G, teflonlined cap Cool, 4°C 

0.008% Na2S2O3 

5 

7 days until extraction; 

40 days after extraction 

Chlorinated 

hydrocarbons11 

G, teflonlined cap Cool, 4°C 7 days until extraction; 

40 days after extraction 

2,3,7,8-

tetrachlorodibenzo-pdiox in11 

G, teflonlined cap Cool, 4°C 

0.008% Na2S2O3 

5 

7 days until extraction; 

40 days after extraction 

PESTICIDES TEST 

Organochlorine 

pesticides11 

G, teflonlined cap Cool, 4°C 

pH 5-915 

7 days until extraction; 

40 days after extraction 

RADIOLOGICAL TEST 

Alpha, beta, and radium P,G HNO3 to pH<2 6 months 

WHOLE EFFLUENT TOXICITY TESTS 

Acute and Chronic, for 

NPDES Com pliance 

P,G Cool, 0-6°C 

NO ADDITIONS 

36 Hours to test initiation 

1 Polyethylene (P) or glass (G). 

2	 Perform sample preservation steps immediately upon sample collection. For composite chemical 

sam ples, pres erve each aliquo t at the time of collection. W hen use o f an autom atic sampler m akes it 

impossible to preserve each aliquo t, then preserve chem ical sa mples by m aintaining a t 4°C until 

compositing and sample splitting are completed. 

3 When shipping any sample by common carrier or sent through the United States mail, comply with the 

Department of Transportation Hazardous Materials Regulations (49 CFR Part 1 72). ee fa ct sh eet in 

Appendix N. fering such material for transportation is responsible for ensuring such 

compliance. he preservation requirements of this Table, the Office of Hazardous Materials, 

Materials Transportation Bureau, Department of Transportation has determined that the Hazardous 

Materials Regulations do not apply to the following materials: oric acid (HCl) in water 

solutions at concentrations of 0.04% by weight or less (pH about 1.96 or greater); nitric acid (HNO3) in 

wate r solu tions at co nce ntrat ions of 0.1 5% by weig ht or le ss (p H ab out 1 .62 o r grea ter); s ulfur ic acid 

(H2SO4) in water solutions at concentrations of 0.35% by weight or less (pH about 1.15 or gre ater); 

and sodium hydroxide (NaOH) in water solutions at concentrations of 0.08% by weight or less (pH 

about 12.3 or less). 

S 

The person of

For t

hydrochl

5-14

Chapter Five Sampling 

Table 5-3 

Required Containers, Preservation Techniques, and Holding Times


(Excerpt from 40 CFR Part 136, Table II)


(Continued)


4 Analyze samples as soon as possible after collection. sted are the maximum times that 

samples may be held before analysis and still be considered valid. or longer 

periods only if the permittee, or monitoring laboratory, has data on file to show that the specific types 

of samples under study are stable for the longer time and has received a variance from the Regional 

Administrator under § 136.3(e). ble for the maximum time period given 

in the table . rm ittee, o r mo nitorin g labo rator y, is ob ligate d to h old th e sam ple fo r a sh orter time if 

kno wled ge ex ists to show that th is is ne ces sary to ma intain sam ple st ability. 

The times li

Samples may be held f

Some samples may not be sta

A pe 

5 Used only in the presence of residual chlorine. 

6	 Maximum holding time is 24 hours when sulfide is present. Optionally, test all samples with lead 

acetate paper before pH adjustm ents to determine whether sulfide is present. If sulfide is present, 

remove by the addition of cadmium nitrate powder until a negative spot test is obtained. Filter the 

sample then NaOH is added to pH 12. 

7 Filter samples should be filtered immediately onsite before adding preservative for dissolved metals. 

8 Guidance applies to samples to be analyzed by GC, LC, or GC/MS for specific organic compounds. 

9 Analyze samples receiving no pH adjustment within 7 days of sampling. 

10 pH adjustment is if not needed if not measuring acrolein. Analyze samples for acrolein receiving no 

pH adjustment within 3 days of sampling. 

11 When the extractable analytes of concern fall within a single chemical category, observe the specified 

preservation and maximum holding times for optimum safeguarding of sample integrity. When the 

analytes of concern fall within two or more chem ical categories, preserve the sample by cooling to 

4°C, reducing residual chlorine with 0.008% sodium thiosulfate, storing in the dark, and adjusting the 

pH to between 6 and 9; hold samples preserved in this manner for 7 days before extraction and for 40 

days after extra ction . Exceptions to this optional preservation and h olding time procedure are noted in 

footnote 5 (re: the requirement for thiosulfate reduction of residual chlorine) and footnotes 12 and 13 

(re: the analysis of benzidine). 

12 If 1,2-diphenylhydrazine is likely to be present, adjust the pH of the sample to 4.0 ± 0.2 to prevent 

rearrangement to benzidine. 

13 Store extracts up to 7 days before analysis if storage is conducted under an inert (oxidant-free) 

atmosphere. 

14 For the analysis of diphenylnitrosamine, add 0.008% Na2S2O3 and adjust pH to between 7 and 10 with 

NaOH within 24 hours of sampling. 

15 Perf orm the p H ad justm ent u pon rece ipt at th e labo rator y and o mit if the s am ples are e xtrac ted w ithin 

72 hours of collection. or the analysis of aldrin, add 0.008% Na2S2O3 F . 

5-15

Chapter Five Sampling 

EPA Sample Identification Methods 

Identify each sample accurately and completely. Use labels or tags to identify the samples that 

are moisture-resistant and able to withstand field conditions. Use a waterproof pen to complete 

the labels or tags. A numbered label or tag associated with a field sample data sheet 

containing detailed information on the sample is preferable to using only a label or tag for 

information1

. The information for each sample should include the following: 

• Facility name/location 

• Sample site location 

• Sample number 

• Name of sample collector 

• Date and time of collection 

• Indication of grab or composite sample with appropriate time and volume information 

• Identification of parameter to be analyzed 

• Preservative used. 

Wastewater Sample Preservation and Holding Time 

In most cases, wastewater samples contain one or more unstable pollutants that require 

immediate (e.g., within 15 minutes) preservation and/or analysis. Provide appropriate chemical 

preservation before transferring samples to the laboratory. Procedures used to preserve 

samples include cooling, pH adjustment, and chemical treatment. For some parameters such 

as cyanide and phenols, add preservatives to sample bottles prior to or immediately following 

sample collection. For many samples, if preservatives are not appropriately used, bacteria can 

quickly degrade certain constituents (such as phenols and phosphorus). Other constituents 

may volatilize (such as volatile organics and sulfides) or may react to form different chemical 

species (hexavalent chromium, for example). Proper preservation and holding times are 

essential to ensure sample integrity. (See Table 5-3 and refer to 40 CFR Part 136.) 

Analysis of samples within one day ensures against error from sample deterioration. However, 

such prompt analysis is not feasible for composite samples in which portions may be stored for 

as long as 24 hours. Where possible, provide sample preservation during compositing, usually 

by refrigeration to 4°C (or icing). If using an automatic sampler with ice, replace the ice as 

necessary to maintain low temperatures. This is a particular limitation of automatic samplers 

used during the summer when ice must be frequently replaced. 

The 40 CFR Part 136 indicates maximum sample holding times. Times listed are the maximum 

holding times between sample collection and analysis that are allowed for the sample to be 

considered valid. Typically, the holding time limitations begin upon combination of the last 

aliquot in a sample. When use of an automatic sampler makes it impossible to preserve each 

aliquot, the preservation (chemical) should be done immediately following the composite (40 

CFR 136.3). 

1

Note: Preprinted labels, data sheets, chain-of-custody forms, etc., can be done in the field using 

software developed by the Superfund Program. 

5-16 
Chapter Five Sampling 

Transfer of Custody and Shipment of Samples 

To ensure the validity of the permit compliance sampling data in court, written records must 

accurately trace the custody of each sample through all phases of the monitoring program. The 

primary objective of this chain-of-custody is to create an accurate written record (see an 

example chain-of-custody form in Appendix M) that can be used to trace the possession and 

handling of the sample from the moment of its collection through its analysis and introduction as 

evidence. 

•	 Use sample seals to protect the sample's integrity from the time of collection to the time 

it is opened in the laboratory. The seal should indicate the collector's name, the date 

and time of sample collection, and sample identification number. 

•	 Pack samples properly to prevent breakage. Seal or lock the shipping container to 

readily detect any evidence of tampering can be readily detected. Use of tamper proof 

evidence tape is recommended. 

•	 Place samples on ice or synthetic ice substitute that will maintain sample temperature at 

4°C throughout shipment. 

•	 Accompany every sample with a sample tag and a chain-of-custody record that has 

been completed, signed, and dated. The chain-of-custody record should include the 

names of sample collectors, sample identification numbers, date and time of sample 

collection, location of sample collection, and names and signatures of all persons 

handling the sample in the field and in the laboratory. 

•	 The responsibility for proper packaging, labeling, and transferring of possession of the 

sample lies with the inspector. 

•	 Accompany all sample shipments with the chain-of-custody record and other pertinent 

forms. The originator retains a copy of these forms. Also, the originator must retain all 

receipts associated with the shipment. 

•	 EPA Inspectors with the responsibility of working with hazardous materials that are 

placed in commerce (transporting/shipping) must have hazardous materials training as 

required by the Department of Transportation (See Appendix N). 

•	 When transferring possession of samples, the transferee must sign and record the date 

and time on the chain-of-custody record (use the currently approved record). In general, 

make custody transfers for each sample, although samples may be transferred as a 

group, if desired. Each person who takes custody must fill in the appropriate section of 

the chain-of-custody record. 

•	 Pack and ship samples in accordance with applicable International Air Transportation 

Association (IATA) and/or DOT regulations. See Table 5-3, footnote 3. 

5-17

Chapter Five Sampling 

Quality Control 

Conduct control checks during the actual sample collection to determine the performance of 

sample collection techniques. In general, the most common monitoring errors usually are 

improper sampling methodology, improper preservation, inadequate mixing during compositing 

and splitting, and excessive sample holding time. In addition, collect and analyze the following 

samples to check sample collection techniques: 

Blanks 

•	 Trip Blank. This is a sample vial(s) filled at the laboratory with deionized water. The 

blank(s) follows the same handling and transport procedures as the samples collected 

during the event. The blank(s) functions as a check on sample contamination originating 

from sample transport, shipping and from site conditions. 

Note: Expose the trip blank vial(s), to the same environmental conditions (i.e., light, 

temperature, etc.) of the sample vial(s) but do not open until it is time for analysis. 

•	 Field Blank/Field Reagent Blank. These are similar to the trip blanks except they are 

prepared in the field with deionized water exactly as the sample(s) that are collected. Field 

blanks are used to check for analytical artifacts and/or background introduced by sampling 

and analytical procedures. 

•	 Equipment/Rinsate Blank. Collect a blank when using an automatic sampler or other 

non-dedicated equipment during the sampling process. The blank is a check of the 

equipment cleanliness. For automatic samplers, prepare blanks prior to collecting 

samples, by pumping deionized organic free water through the sampler and collecting the 

discharge purge water in a sample container for analysis for the constituents of concern. 

Field Duplicate. Collect this sample simultaneously from the same source at selected stations 

on a random time frame by grab samples or from two sets of field equipment installed at the 

site. Duplicate samples check analytical precision as well as evaluate the “representativeness” 

of the sample aliquot. 

Split Samples. These are samples that have been divided into two containers for analysis by 

separate laboratories. These samples provide an excellent means of identifying discrepancies 

in the permittee’s analytical techniques and procedures. When filling split samples from a 

single composite jug, shake the composited sample well and half fill the EPA sample container, 

then shake the composite again and fill half of the permittee’s container. Repeat the procedure 

for each parameter collected. 

The laboratories performing the sample analyses should also use the following control 

measures: 

Prep/Reagent Blank. A sample consisting of reagent(s), without the target analyte or sample 

matrix, introduced into the analytical procedure at the appropriate point and carried through all 

subsequent steps to determine the contribution of the reagents and of the involved analytical 

steps to error in the observed value. 

5-18

Chapter Five Sampling 

Quality Control Sample. This is an uncontaminated sample matrix spiked with known 

amounts of analytes from a source independent from the calibration standards. Use this 

sample to establish intra laboratory or analyst specific precision and bias or to assess the 

performance of all or a portion of the measurements’ system. 

Matrix Spike/Matrix Spike Duplicate (MS/MSD). This sample is three times the normal 

volume required for a specific chemical analysis to which a known quantity of analyte has been 

added prior to all sample preparation. The laboratory utilizes the MS/MSD samples as part of 

their Quality Assurance/Quality Control Program. 

• Use a matrix spike to verify accuracy of the analytical procedures. 

•	 A matrix spike duplicate is a duplicate of a matrix spike sample. It measures the precision 

of the analysis in terms of relative percent difference. 

Table 5-4 indicates quality control procedures for field analyses and equipment. Quality control 

is discussed in greater detail in Chapter Seven of this manual and EPA's NPDES Compliance 

Inspector Training Laboratory Analyses Manual, April 1990. 

5-19

Chapter Five Sampling 

Table 5-4


Quality Control Procedures for Field Analysis and Equipment


Parameter General Daily Frequency 

Dissolved Oxygen 

Membrane 

Electrode 

• Enter the make, 

model, and serial 

and/or ID number for 

each meter in a 

logbook. 

• Report data to nearest 

0.1 m g/l. 

• Calibrate meter using 

manufacturer's instructions 

or Winkler-Azide method. 

• Che ck m em bran e for air 

bubbles and holes. 

me mb rane and K Cl if 

nec ess ary. 

• Check leads, switch 

contacts, etc., for corrosion 

and shorts if meter pointer 

remains off-scale. 

• Quarterly, check 

instrument calibration and 

linearity using a series of 

at least three dissolved 

oxygen standards. 

• Quarterly, take all meters 

to the laboratory 

for maintenance, 

calibration, a nd qua lity 

control checks. 

Winkler-Azide 

method 

• Reco rd data to 

nea rest 0 .1 m g/l. 

• Duplicate analysis should be 

run as a precision check . 

Dup licate value s sh ould 

agre e with in ±0 .2 m g/l. 

pH 

Electrode 

Method 

• Enter the make, 

model, and serial 

and/or ID number for 

each meter in a 

logbook. 

• Calibrate the system against 

traceable standard buffer 

solutions of known pH value 

which closely bracket the 

actual sample pH (e.g., 4, 7, 

and 10 at the start of a 

sampling run). 

• Periodically check the 

buff ers d uring the s am ple 

run a nd re cord the d ata in 

the logbook. 

• Be o n the alert f or err atic 

meter response arising from 

weak batteries, cracked 

electrodes, fouling, etc. 

• Check response and 

linear ity follow ing hig hly 

acidic or a lkaline sa mple s. 

Allow additional time for 

equilibration. 

• Check against the closest 

refe renc e solu tion e ach time 

a violation is found. 

• Rins e elec trode s tho roug hly 

between samples and after 

calibr ation . ry. 

Change 

Blot d 

5-20

Chapter Five Sampling 

Table 5-4 

Quality Control Procedures for Field Analysis and Equipment

(Continued) 

Parameter General Daily Frequency 

Condu ctivity 

• Enter the make, 

model, and serial 

and/or ID number for 

each meter in a 

logbook. 

• Standardize with KCl 

standards having similar 

specific conductance values 

to those anticipated in the 

sam ples . ulate the c ell 

constant using two different 

standards. 

• Rins e cell a fter e ach sam ple 

to prevent carryover. 

• Quarterly, take all meters 

to lab for maintenance, 

calibration, a nd qua lity 

control checks. 

• Quarterly, check 

temperature 

compensation. 

• Quarterly, check date of 

last p latinizin g, if 

nec ess ary. 

• Quarterly, analyze NIST or 

EPA reference standard, 

and record actual vs. 

observed readings in the 

logbook. 

Residual Chlorine 

Am pero me tric 

Titration 

• Enter the make, 

model, and ID and/or 

serial number of each 

titration apparatus in a 

logbook. 

results to nearest 0.01 

mg /l. 

• Refer to instrument 

manufacturer's instructions 

for proper operation and 

calibration procedures. 

• Biweekly, return 

instrument to lab for 

maintenance and addition 

of fresh, standardized 

reagents. 

Calc 

Report 

5-21

Chapter Five Sampling 

Table 5-4 

Quality Control Procedures for Field Analysis and Equipment

(Continued) 

Parameter General Daily Frequency 

Tem perature 

Manual 

Thermometer 

• Enter the make, 

model, and serial 

and/or ID number and 

temperature range. 

• All standardization 

should b e agains t a 

traceable NIST or 

NIST calibrated 

therm ome ter. 

Reading should agree 

within ±1°C . 

enforcement action 

is anticipated, 

calibrate the 

thermom eter before 

and after analys is. 

data sh ould be re ad to 

the near est 1°C . 

Report data between 

10° and 99°C to two 

significant figures. 

• Check for air spaces of 

bubbles in the column, 

cracks, etc. Compare with a 

known source if available. 

• Biweekly, check at two 

temp eratures against a 

NIST or equivalent 

therm ome ter. ata 

in logbook. 

• Temperature readings 

should agre e within ±1°C 

or the therm om eter s hou ld 

be replaced or 

recalibrated. 

• Initially a nd bia nnu ally, 

determine accuracy 

throughout the expected 

working range o f 0°C to 

50°C. 

temperatures within the 

range s hould be used to 

verify accu racy. 

Preferable ranges are 

10°C, 15-25°C, and 35-

45°C. 

Thermistors, 

Thermographs 

• Enter the make, 

model, and serial 

and/or ID number of 

the in strum ent in 

a logb ook . 

stan dard ization shall 

be against a NIST or 

NIST calibrated 

therm ome ter. 

Reading should agree 

within ±1°C . 

enfo rcem ent a ction is 

anticipated , refer to 

the procedure listed 

above. 

• Check thermistor and 

sensing device for response 

and op eration ac cording to 

the m anufa cturer 's 

instruction. ual 

vs. st and ard te mp eratu re in 

logbook. 

• Initially a nd bia nnu ally, 

determine accuracy 

throughout the expected 

working range o f 0°C to 

50°C. 

temperatures within the 

range s hould be used to 

verify accu racy. 

Preferable ranges are 5-

10°C, 15-25°C, and 35-

45°C. 

Flow Measurement 

• Enter the make, 

model, and serial 

and/or ID number of 

each flow 

measurement 

instrument in a 

logbook. 

• Insta ll the de vice in 

accordance with the 

manufacturer's instructions 

and with the procedures 

given in own er's m anu al. 

• Annually affix record of 

calibration (NIST, 

manufacturer) to the 

instrument log. 

If 

All 

Enter d 

A minimum of three 

5-

All 

If 

Record act A minimum of three 

5-22

Chapter Five Sampling 

Table 5-4 

Quality Control Procedures for Field Analysis and Equipment

(Continued) 

Parameter General Daily Frequency 

Autom atic Sam plers 

• Enter the make, 

model, and serial 

and/or ID number of 

each sampler in a 

logbook. 

• Check intake velocity vs. 

head (minimum of three 

sam ples ), and clock time 

settin g vs. a ctua l time 

interv al. 

5-23

Chapter Five Sampling 

Quality Assurance Project Plan 

The EPA has developed the Quality Assurance Project Plan (QAPP) as a tool for project

managers and planners to document the type and quality of data needed for the agency to

make environmental decisions and to describe the methods for collecting and assessing those

data. The QAPP is required for all EPA projects resulting in the generation, collection, and use 

of environmental data. The development, review, approval and implementation of the QAPP is

an integral part of an Agency-wide Quality System, which is required per the authority of EPA

Order 5360.1 A2. 

If the EPA is to have confidence in the quality of data used to support environmental decisions, 

there must be a systematic planning process in place. A product of the systematic planning

process is the QAPP. An example of the systematic planning process endorsed by the EPA is

the Data Quality Objectives (DQO) Process. The QAPP ensures that the needed management

and technical practices are in place so that environmental data used to support agency

decisions are of adequate quality and usability for their intended purpose. 

Prior to the start of data collection, a QAPP defining the goals and scope of the project, the

need for sample collection, a description of the data quality objectives and QA/QC activities to 

ensure data validity and usability must be developed by the project officer. Thereafter, a review 

by all parties to the sampling effort, such as a Quality Assurance (QA) Officer, must be

conducted. Also, EPA laboratories will require a copy of an approved QAPP prior to conducting

any sample analysis. This QAPP requirement applies to both EPA staff and outside 

contractors. The process for approval of the QAPP and other documents related to the data 

collection activity should be outlined in the lead organization’s Quality Management Plan

(QMP). 

For further information on the QAPP’s please visit the Office of Environmental Information (OEI)

web page at: www.epa.gov/quality. Then click on the radio button for “documents” which 

contains valuable information. There is also a section on Guidance on the same web-site. 

Data Handling and Reporting 

Verified analytical results are normally entered into a laboratory data management system of 

some type. The system should contain the sampling data, including time and exact location, 

analysis dates and times, names of analysts, analytical methods/techniques used, and 

analytical results. Data are then reported to the project officer (inspector) for inclusion into the 

compliance report. The quality assurance manual by EPA (Handbook for Analytical Quality

Control in Water and Wastewater Laboratories, USEPA 1979) and the article by J.J. Delfino

("Quality Assurance ln Water and Wastewater Analysis Laboratories," Delfino 1977) provide

useful information to the inspector on a number of data management techniques. 

5-24

5. C.	 References and Permittee 

Sampling Inspection Checklist 

References 

APHA, AWWA, and WEF. Standard Methods for the Examination of Water and Wastewater. 

(Use the most current, accepted edition.) 

Associated Water and Air Resources Engineers, Inc. 1973. Handbook for Industrial 

Wastewater Monitoring, USEPA Technology Transfer. 

Code of Federal Regulations. 1985. Title 40, Part 136.3. Office of the Federal Register. 

Delfino, J.J. 1977. "Quality Assurance in Water and Wastewater Analysis Laboratories." Water 

and Sewage Works, 124(7): 79-84. 

Federal Register, Vol. 49, No. 209, October 26, 1984. Guidelines Establishing Test Procedures

for the Analysis of Pollutants Under the Clean Water Act; Final Rule and Interim Final Rule

and Proposed Rule. 

Harris, D.J., and Keffer, W.J. 1974. Wastewater Sampling Methodologies and Flow 

Measurement Techniques. U.S. Environmental Protection Agency Region VII, EPA-907/

9-74-005, Kansas City, Missouri. 

Lauch, R.P. 1975. Performance of ISCO Model 1391 Water and Wastewater Sampler. U.S. 

Environmental Protection Agency, EPA-670/4-75-003, Cincinnati, Ohio. 

Lauch, R.P. 1976. A Survey of Commercially Available Automatic Wastewater Samplers. U.S. 

Environmental Protection Agency, EPA-600/4-76-051, Cincinnati, Ohio. 

Shelley, P.E. 1975. Design and Testing of a Prototype Automatic Sewer Sampling System. 

Office of Research and Development, U.S. Environmental Protection Agency, EPA 600/

2-76-006, Washington, D.C. 

Shelley, P.E., and Kirkpatrick, G.A. 1975. An Assessment of Automatic Sewer Flow Samplers. 

Office of Research and Development, U.S. Environmental Protection Agency, EPA-600/

2-75-065, Washington, D.C. 

U.S. Environmental Protection Agency. 1978. Methods for Benzidine, Chlorinated Organic

Compounds, Pentachlorophenol and Pesticides in Water and Wastewater. Environmental 

Monitoring and Support Laboratory, Cincinnati, Ohio. 

U.S. Environmental Protection Agency. 1979. NPDES Compliance Sampling Inspection

Manual. MCD-51. 

U.S. Environmental Protection Agency. 1979a. Handbook for Analytical Quality Control in

Water and Wastewater Laboratories. EPA-600/4-79-019. 

U.S. Environmental Protection Agency. 1979b. Methods for Chemical Analysis of Water and

Wastes. EPA-600/4-79-020. 

U.S. Environmental Protection Agency. 1981. Methods for Organic Chemical Analysis of 

5-25

Chapter Five Sampling 

Water and Wastes by GC, HPLC and GC/MS. Environmental Monitoring Support

Laboratory, Cincinnati, Ohio. 

U.S. Environmental Protection Agency. 1982. Handbook for Sampling and Sample

Preservation of Water and Wastewater. EPA-600/4-82-029. 

U.S. Environmental Protection Agency. 1990. NPDES Compliance Inspector Training

Laboratory Analyses Manual. 

U.S. Environmental Protection Agency. May 2000. EPA Order 5360.1 A2. 

U.S. Environmental Protection Agency. August 2000. Guidance for the Data Quality

Objectives Process (G-4). EPA-600/R-96/055. 

U.S. Environmental Protection Agency. March 2001. EPA Requirements for QA Project Plans 

(QA/R-5). EPA-240/B-01/003. 

Wood, L.B., and Stanbridge, H.H. 1968. "Automatic Samplers," Water Pollution Control, 67(5):

495-520. 

5-26

Chapter Five Sampling 

PERMITTEE SAMPLING INSPECTION CHECKLIST 

A. PERMITTEE SAMPLING EVALUATION 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A Conduct sampling and analysis in frequency specified by permit. 

6. Permittee uses method of sample collection required by permit. 

Required

method:_______________________________________________ 

If not, method being used is: ) Manual composite

( Composite 

7. Sample collection procedures adequate: 

a. Samples refrigerated during compositing.

( ) Grab ( 

) Automatic

5. 

Yes No N/A 

1. Take samples at sites specified in permit. 

2. Locations adequate for representative samples. 

3. Flow proportioned samples obtained when required by permit. 

4. Complete sampling and analysis on parameters specified by permit. 

Yes No N/A

Yes No N/A b. Proper preservation techniques used. 

conform to 40 CFR 136.3. 

Yes No N/A d. 

Yes No N/A 

Yes No N/A 

Y es No N/A 

No N/A 

Yes No N/A c. Containers and sample holding times before analyses 

Samples analyzed in time frame needed. 

8. Facility performs monitoring and analyses more often than required

by permit; if so, results reported in permittee's self-monitoring 

report. 

9. Samples contain chlorine. 

10. Use contract laboratory for sample analysis. 

11. POTW collects samples from industrial users in pretreatment 

program. 

Yes 

B. SAMPLING INSPECTION PROCEDURES AND OBSERVATIONS 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Obtain grab samples. 

2. Obtain composite sample.

Compositing Frequency: Preservation: 

3. Refrigerate sample during compositing. 

4. Obtain flow proportioned sample. 

5. Obtain sample from facility sampling device. 

6. Sample representative of volume and nature of discharge. 

7. Sample split with permittee. 

8. Employ chain-of-custody procedures. 

9. Samples collected in accordance with permit. 

10. Observe excessive foam, grease, floating solids at the outfall. 

C. AUTOMATIC SAMPLER PROCEDURES AND OBSERVATIONS 

Yes 

Yes 

No N/A 

No N/A 

1. Sample intake tubing place in a well mixed, representative location 

(0.4 to 0.6 depth). 

2. Individual aliquot volume checked and at least 100ml. 

5-27

Chapter Five Sampling 

PERMITTEE SAMPLING INSPECTION CHECKLIST (Continued) 

C. AUTOMATIC SAMPLER PROCEDURES AND OBSERVATIONS (Continued) 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

Yes No N/A 

3. Proper sample tubing (teflon for organics, otherwise tygon) and

tubing at ID at least 0.25 inch. 

4. Proper composite sample container (glass for organics, otherwise 

plastic. 

5. Proper refrigeration (40

C or ice), with required documentation. 

6. Proper wastewater velocity in the sample tubing (at least 2 fps). 

5-28

6. FLOW MEASUREMENT 

Contents Page 

A. Evaluation of Permittee's Flow Measurement ................................ 6-1


Objectives and Requirements ........................................ 6-1


Evaluation of Facility-Installed Flow Devices and Data ................... . . 6-1


Evaluation of Permittee Data Handling and Reporting .................... . 6-3


Evaluation of Permittee Quality Control ................................ 6-4


B. Flow Measurement Compliance .......................................... 6-5


Objectives ....................................................... 6-5


Flow Measurement System Evaluation ................................. 6-5


Primary Device Inspection Procedures ................................. 6-6


Secondary Device Inspection Procedures ............................. 6-10


C.	 References and Flow Measurement Inspection Checklist ................... . . . 6-14


References ..................................................... 6-14


Flow Measurement Inspection Checklist ............................... 6-16


D. Digitized Video Clip – Parshall Flume .................... (CD-Rom Insert in binder) 

Associated Appendices 

O. Supplemental Flow Measurement Information 

6-i 
Chapter Six Flow Measurement 

This page left intentionally blank. 

6-ii 
6. A. Evaluation of Permittee's Flow 

Measurement 

Objectives and Requirements 

To comply with the permit requirements established under the National Pollutant Discharge 

Elimination System (NPDES), the permittee must accurately determine the quantity of 

wastewater being discharged. Discharge flow an measurement is an integral part of the 

NPDES program, it is important that the inspector evaluate the accuracy of the measurement. 

In addition to providing usable information for enforcement purposes, flow measurement serves 

to: 

• Provide data for pollutant mass loading calculations 

• Provide operating and performance data on the wastewater treatment plant 

• Compute treatment costs, based on wastewater volume 

• Obtain data for long-term planning of plant capacity, versus capacity used 

•	 Provide information on Infiltration and Inflow (I/I) conditions, and the need for costeffective I/I correction 

A Flow Measurement Inspection Checklist for the inspector's use appears at the end of this 

chapter. 

Evaluation of Facility-Installed Flow Devices and Data 

There are two types of wastewater flow: closed channel flow and open channel flow. Closed 

channel flow occurs under pressure in a liquid-full conduit (usually a pipe). The facility will 

usually have a metering device inserted into the conduit which measure flow. Examples of 

closed channel flow measuring devices are the Venturi meter, the Pitot tube, the paddle wheel, 

the electromagnetic flowmeter, Doppler, and the transit-time flowmeter. In practice, closed 

channel flow is normally encountered between treatment units in a wastewater treatment plant, 

where liquids and/or sludges are pumped under pressure. 

Open channel flow occurs in conduits that are not liquid-full. Open channel flow are partially full 

pipes not under pressure. Open channel flow is the most prevalent type of flow at 

NPDES-regulated discharge points. 

Measure open channel flow using primary and secondary devices. Primary devices are 

standard hydraulic structures, such as flumes and weirs, that are inserted in the open channel. 

Inspectors can obtain accurate flow measurements merely by measuring the depth of liquid 

(head) at the specific point in the primary device. In a weir application, for example, the flow 

rate is a function of the head of liquid above the weir crest. 

Facilities use secondary devices in conjunction with primary devices to automate the flow 

6-1

Chapter Six Flow Measurement 

measuring process. Typically, secondary devices measure the liquid depth in the primary 

device and convert the depth measurement to a corresponding flow, using established 

mathematical relationships. Examples of secondary devices are floats, ultrasonic transducers, 

bubblers, and transit-time flowmeters. A recorder generally measures the output of the 

secondary device transmitted to a recorder and/or totalizer to provide instantaneous and 

historical flow data to the operator. Outputs may also be transmitted to sampling systems to 

facilitate flow proportioning. Appendix O contains further information on flow measurement 

devices. 

The inspector must assure the permittee obtains accurate wastewater flow data to calculate 

mass loading (quantity) from measured concentrations of pollutants discharged as required by 

many NPDES permits. The permittee must produce data that meet requirements in terms of 

precision and accuracy. Precision refers to data reproducibility or the ability to obtain consistent 

data from repeated measurements of the same quantity. Accuracy refers to the agreement 

between the amount of a component measured by the test and the amount actually present. 

The accuracy of flow measurement (including both primary and secondary devices) varies 

widely with the device, its location, environmental conditions, and other factors such as 

maintenance and calibration. Faulty fabrication, construction, and installation of primary 

devices are common sources of errors. Improper calibration, misreading, and variation in the 

speed of totalizer drive motors are major errors related to secondary devices. See Appendix O 

- “Supplement Flow Measurement Information.” When evaluating facility installed devices, the 

inspector should do the following: 

•	 Verify that the facility has installed primary and secondary devices according to 

manufacturer's manual instructions. 

•	 Inspect the primary device for evidence of corrosion, scale formation, or solids 

accumulation that may bias the flow measurement. 

• Verify that weirs are level, plumb, and perpendicular to the flow direction. 

•	 Verify that flumes are level, the throat walls (narrowed section of flume) are plumb, and 

the throat width is the standard size intended. 

•	 Inspect historical records (i.e., strip charts and logs) for evidence of continuous flow 

measurements. Compare periods of missing data with maintenance logs for 

explanations of measuring system problems. 

•	 Observe the flow patterns near the primary device for excessive turbulence or velocity. 

The flow lines should be straight. 

•	 Ensure that the flow measurement system or technique being used measures the entire 

wastewater discharge as required by the NPDES permit. Inspect carefully the piping to 

determine whether there are any wastewater diversions, return lines, or bypasses 

around the system. Make sure the system meets the permit requirement, such as 

instantaneous or continuous, daily, or other time interval measures. Noted anomalies in 

the inspection report. 

• Verify that the site chosen for flow measurement by the facility is appropriate and is in 

6-2

Chapter Six Flow Measurement 

accordance with permit requirements. 

•	 Verify that the site chosen by the facility for flow measurement is suitable for type of 

discharge, flow range, suspended solids concentration, and other relevant factors. 

•	 Verify that the facility has closed channel flow measuring devices where the pipe is 

always full. If these devices are used, then there must be also a means for the 

permittee and regulatory agencies/inspector to verify the accuracy of these meters. 

Primary flow measuring devices such as weirs and flumes are ideal for this purpose. 

•	 Verify that the facility uses appropriate tables, curves, and formulas to calculate flow 

rates. 

•	 Review and evaluate calibration and maintenance programs for the discharger's flow 

measurement system. The permit normally requires the facility to check the calibration 

regularly by the permittee. The facility must ensure that their flow measurement 

systems are calibrated by a qualified source at least once a year to ensure their 

accuracy. Lack of such a program is considered unacceptable for NPDES compliance 

purposes. 

• Verify that the facility calibrates flowmeters across the full range of expected flow. 

•	 Verify that primary and secondary devices are adequate for normal flow as well as 

maximum expected flow. Note whether the flow measurement system can measure the 

expected range of flow. 

•	 Collect accurate flow data during inspection to validate self monitoring data collected by 

the permittee. 

•	 The facility must install a flow measuring system that has the capability of routine flow 

verification by the permittee or appropriate regulatory personnel. 

Evaluation of Permittee Data Handling and Reporting 

The permittee or facility must keep flow measurement records for a minimum period of three 

years as the permit requires. Many flow measuring devices produce a continuous flowchart for 

plant records. Flow records should contain date, flow, time of reading, and operator's name, if 

applicable the facility must also record. The facility should record maintenance, inspection 

dates, and calibration data. 

The inspector should review the permittee's records and note the presence or absence of data 

such as: 

• Frequency of routine operational inspections 

• Frequency of maintenance inspections 

6-3

Chapter Six Flow Measurement 

•	 Frequency of flowmeter calibration (should be as specified in permit, generally at least 

once per year) 

• Irregularity or uniformity of flow. 

Evaluation of Permittee Quality Control 

The inspection should evaluate following quality control issues during a compliance inspection 

to ensure: 

• Proper operation and maintenance of equipment 

• Accurate records 

• Sufficient inventory of spare parts 

• Valid flow measurement techniques 

• Precise flow data 

• Adequate frequency of calibration checks. 

Evaluate precision of float driven flow meters when flows are stable. Push the float gently 

downward, hold for 30 seconds, then allowed to return normally. The recorded flow rate should 

be the same before and after the float was moved. Evaluate accuracy by measuring the 

instantaneous flow rate at the primary device used at the facility and comparing the value 

against the value on the meter, graph, integrator, or company record. The difference between 

two stable totalizer readings (flow is steady for 10 minutes or more) should not exceed ±10 

percent of the instantaneous flow measured at the primary device. Note that most flow 

measurement systems have both an instantaneous meter readout as well as a totalizer. Both 

of these devices should be in agreement but that is not always the case due to electrical and 

other various malfunctions in the flow measuring system. In most cases, the totalizer reading 

will be what is reported by the permittee. If this is the case, then that device should be checked 

for accuracy and the permittee’s flow measuring system rated accordingly. 

In addition, the inspector can evaluate accuracy by installing a second flow measurement 

system, sometimes referred to as a reference system. Agreement in measured flow rates 

between the two systems should be within ±10 percent of the reference rate if all conditions are 

as recommended for the systems. 

6-4

6. B. Flow Measurement Compliance 

Objectives 

The current NPDES program depends heavily on the permittee's submittal of self-monitoring 

data. The flow discharge measured during the NPDES compliance inspection should verify the 

flow measurement data collected by the permittee, support any enforcement action that may be 

necessary, and provide a basis for reissuing or revising the NPDES permit. 

Flow Measurement System Evaluation 

The responsibility of the inspector includes collecting accurate flow data during the inspection 

and validating data collected during the permittee's self-monitoring. 

The NPDES inspector must check both the permittee's flow data and the flow measurement 

system to verify the permittee's compliance with NPDES permit requirements. When evaluating 

a flow measurement system, the inspector should consider and record findings on the following: 

• Whether the system measures the entire discharge flow. 

•	 The system's accuracy and good working order. This will include a thorough physical 

inspection of the system and comparison of system readings to actual flow or those 

obtained with calibrated portable instruments. 

• The need for new system equipment. 

•	 The existence or absence of a routine calibration and maintenance program for flow 

measurement equipment. 

If the permittee's flow measurement system is accurate within ±10 percent, the inspector should 

use the installed system. If the flow sensor or recorder is found to be inaccurate, the inspector 

should determine whether the equipment can be corrected in time for use during the inspection. 

If the equipment cannot be repaired in a timely manner, use the portable flow sensor and 

recorder used to assess the accuracy of the permittee's system for the duration of the 

inspection. If nonstandard primary flow devices are being used, request the permittee to supply 

data on the accuracy and precision of the method being employed. 

For flow measurement in pipelines, the inspector may use a portable flowmeter. The inspector 

should select a flowmeter with an operating range wide enough to cover the anticipated flow to 

be measured. The inspector should test and calibrate the selected flowmeter before use. The 

inspector should select the site for flow measurement according to permit requirements and 

install the selected flowmeter according to the manufacturer's specifications. The inspector 

should use the proper tables, charts, and formulas as specified by the manufacturer to calculate 

flow rates. 

Four basic steps are involved in evaluating the permittee's flow measurement system: 

6-5

Chapter Six Flow Measurement 

• Physical inspection of the primary device 

• Physical inspection of the secondary device and ancillary equipment 

• Flow measurement using the primary/secondary device combination of the permittee 

• Certification of the system using a calibrated, portable instrument. 

The following sections present, procedures for inspecting the more common types of primary 

and secondary devices, for measuring flow using common permanent and portable systems, 

and for evaluating flow data. Please note that the number of primary/secondary device 

permutations is limitless; therefore, it is not feasible to provide procedures for all systems. 

When encountering systems other than those discussed here the inspector should consult the 

manufacturers manual/personnel for advice before preparing a written inspection procedure. 

Primary Device Inspection Procedures 

The two most common open channel primary devices are sharp-crested weirs and Parshall 

flumes. Common sources of error when using them include the following: 

•	 Faulty fabrication—weirs may be too narrow or not "sharp" enough. Flume surfaces 

may be rough, critical dimensions may exceed tolerances, or throat walls may not be 

vertical. 

•	 Improper installation—the facility may install weirs and flumes too near pipe elbows, 

valves, or other sources of turbulence. The devices may be out of level or plumb. 

•	 Sizing errors—the primary device's recommended applications may not include the 

actual flow range. 

•	 Poor maintenance—primary devices corrode and deteriorate. Debris and solids may 

accumulate in them. 

Specific inspection procedures for the sharp-crested weir, the Parshall flume, and the PalmerBowlus flume devices follow. 

Sharp-Crested Weir Inspection Procedures 

• Inspect the upstream approach to the weir. 

- Verify that the weir is perpendicular to the flow direction. 

- Verify that the approach is a straight section of conduit with a length at least 20 times 

the maximum expected head of liquid above the weir crest. 

- Observe the flow pattern in the approach channel. The flow should occur in smooth 

stream lines without velocity gradients and turbulence. 

- Check the approach, particularly in the vicinity of the weir, for accumulated solids, 

6-6

Chapter Six Flow Measurement 

debris, or oil and grease. The approach must have no accumulated matter. 

6-7

Chapter Six Flow Measurement 

• Inspect the sharp-crested weir. 

- Verify that the crest of the weir is level across the entire conduit traverse. 

- Measure the width of the weir crest. The edge of the weir crest should be no more 

than 1/8-inch thick. 

- Make certain the weir crest corresponds to zero gauge elevation (zero output on the 

secondary device). 

- Measure the angle formed by the top of the crest and the upstream face of the weir. 

This angle must be 90 degrees. 

- Measure the chamfer (beveled edge) on the downstream side of the crest. The 

chamfer should be approximately 45 degrees. 

- Visually survey the weir-bulkhead connection for evidence of leaks or cracks which 

permit bypass. 

- Measure the height of the weir crests above the channel floor. The height should be 

at least twice the maximum expected head (2H) of liquid above the crest. 

- Measure the width of the end contraction. The width should be at least twice the 

maximum expected head (2H) of the liquid above the crest. 

- Inspect the weir for evidence of corrosion, scale formation, or clinging matter. The 

weir must be clean and smooth. 

- Observe flow patterns on the downstream side of the weir. Check for the existence 

of an air gap (ventilation) immediately adjacent to the downstream face of the weir. 

Ventilation is necessary to prevent a vacuum that can induce errors in head 

measurements. Also ensure that the crest is higher than the maximum downstream 

level of water in the conduit. 

- Verify that the nappe is not submerged and that it springs free of the weir plate. 

- If the weir contains a V-notch, measure the apex angle. The apex should range from 

22.5 degrees to 90 degrees. Verify that the head is between 0.2 and 2.0 feet. The 

weir should not be operated with a head of less than 0.2 feet since the nappe may 

not spring clear of the crest. 

King's Handbook of Hydraulics, 1963, frequently referenced throughout this chapter, provides a 

detailed discussion on weirs. 

6-8

Chapter Six Flow Measurement 

Parshall Flume Inspection Procedures 

• Inspect the flume approach. 

- The flow pattern should be smooth with straight stream lines, be free of turbulence, 

and have a uniform velocity across the channel. 

- The upstream channel should be free of accumulated matter. 

• Inspect the flume. 

- The flume should be located in a straight section of the conduit. 

- Flow at the entrance should be free of "white" water. 

- The flume should be level in the transverse and translational directions. 

- Measure the dimensions of the flume. Dimensions are strictly prescribed as a 

function of throat width (see Figure I-5 in Appendix O for critical dimensions). 

- Measure the head of liquid in the flume and compare with the acceptable ranges in 

Table I-4 in Appendix O. 

• Inspect the flume discharge. 

- Verify that the head of water in the discharge is not restricting flow through the flume. 

The existence of a "standard wave" is good evidence of free flow and verifies that 

there is no submergence present. 

- Verify whether submergence occurs at near maximum flow (e.g., look for water 

marks on the wall). 

Palmer-Bowlus Flume Inspection Procedures 

•	 Inspect the flume approach as outlined above (these flumes are seldom used for 

effluent flow measurement). 

• Inspect the flume. 

- The flume should be located in a straight section of the conduit. 

- Flow at the entrance should be free of "white" water. 

- Observe the flow in the flume. The profile should approximate that depicted in Figure 

I-8 in Appendix O. 

- The flume should be level in the transverse direction and should not exceed the 

translational slope in Table I-6 in Appendix O. 

6-9

Chapter Six Flow Measurement 

- Measure the head of water in the flume. Head should be within the ranges specified 

in Table I-6 in Appendix O. 

• Inspect the flume discharge. 

- Verify that free flow exists. Look for the characteristic "standing wave" in the 

divergent section of the flume. 

Venturi Meter Inspection Procedures 

•	 Verify that the facility installed the Venturi meter according to manufacturer's 

instructions. 

•	 Verify that the facility installed the Venturi meter downstream from a straight and 

uniform section of pipe, at least 5 to 20 diameters, depending on the ratio of pipe to 

throat diameter and whether straightening vanes are installed upstream. (Installation of 

straightening vanes upstream will reduce the upstream piping requirements.) 

• Verify that the pressure measuring taps are free of debris and are not plugged. 

•	 Calibrate the Venturi meter in place by either the volumetric method or the comparative 

dye dilution method to check the manufacturer's calibration curve or to develop a new 

calibration curve. 

Secondary Device Inspection Procedures 

The following are common sources of error in the use of secondary devices: 

• Improper location—gauge is located in the wrong position relative to the primary device. 

• Inadequate maintenance—gauge is not serviced regularly. 

• Incorrect zero setting—zero setting of gauge is not the zero point of the primary device. 

• Operator error—human error exists in the reading. 

Specific inspection procedures follow. 

Flow Measurement in Weir Applications 

•	 Determine that the head measurement device is positioned 3 to 4 head lengths 

upstream of a weir. 

• Verify that the zero or other point of the gauge is equal to that of the primary device. 

The inspector should use an independent method of measuring head, such as with a yardstick 

or carpenter's rule (be sure to take your measurement at least four times the maximum head 

upstream and from the weir and convert to nearest hundredth of a foot). To determine flow 

6-10

Chapter Six Flow Measurement 

rate, use the appropriate head discharge relationship formula (see Table I-1 in Appendix O). 

Flow Measurement in Parshall Flume Applications 

Flow Measurement—Free-Flow Conditions. 

• Determine upstream head (Ha) using staff gauge. 

- Verify that staff gauge is set to zero head. Use either a yardstick or carpenter's rule. 

- Verify that staff gauge is at proper location (two-thirds the length of the converging 

section back from the beginning of the throat). 

- Read to nearest division the gauge division at which liquid surface intersects gauge. 

- Read Ha in feet from staff gauge. 

•	 To determine flow rate, use Figure I-6 in Appendix O in the unit desired, use tables 

published in flow measurement standard references, or calculate using the coefficients 

in Table I-5 in Appendix O. 

Flow Measurement—Submerged-Flow Condition. 

Generally it is difficult to make field measurements with submerged-flow conditions. In cases 

when measurements can be obtained (using a staff or float gauge), the procedures listed below 

should be followed: 

• Determine upstream head using staff or float gauge. 

- Read to nearest division and, at the same time as for Hb, the gauge division at which 

liquid surface intersects gauge. 

- Calculate Ha from gauge reading. 

• Determine downstream head (Hb) using staff or float gauge. 

- Hb refers to a measurement at the crest. 

- Read to nearest division, and at the same time as for Ha, the gauge division at which 

liquid surface intersects gauge. 

- Calculate Hb from staff reading. 

6-11

Chapter Six Flow Measurement 

• Determine flow rate. 

- Calculate percent submergence: 

- Consult Table I-6 in Appendix O. 

- When a correction factor is obtained, use Ha and find free-flow from Figure I-6. 

- Multiply this free-flow value by the correction factor to obtain the submerged flow. 

The inspector may use an independent method of measuring head, such as a yardstick or 

carpenter's rule at the proper head measurement point. Because of the sloping water surface 

in the converging section of a flume, it is essential that the proper head measurement point be 

used. 

Flow Measurement in Palmer-Bowlus Flume Applications 

•	 Obtain head measurements as in the Parshall Flume application, using the secondary 

device. The head is the height of water above the step. The total depth upstream of the 

step is not the head. 

•	 Refer to manufacturer-supplied discharge tables to convert head measurements to flow 

data. Palmer-Bowlus flumes, unlike Parshall flumes, are not constructed to standard 

dimensional standards. The inspector must not use discharge tables supplied by other 

manufacturers. 

Verification 

Most flow measurement errors result from inadequate calibration of the flow totalizer, and 

recorder. If the inspector has determined that the primary device has been installed properly, 

verification of the permittee's system is relatively simple. Compare the flow determined from 

the inspector's independent measurement to the flow of the permittee's totalizer or recorder. 

The inspector's flow measurements should be within 10 percent of the permittee's 

measurements to certify accurate flow measurement. Optimally, flow comparisons should be 

made at various flow rates to check system accuracy. 

When the permit requires that the daily average flow be measured by a totalizing meter, the 

inspector should verify that the totalizer is accurate, i.e., properly calibrated. This can be done 

during a period of steady flow by reading the totalizer and at the same time starting a 

stopwatch. Start the stopwatch just as a new digit starts to appear on the totalizer. After 10 to 

30 minutes, the totalizer should be read again; just as a new digit begins to appear, the stop 

watch is read. Subtract the two totalizer readings to determine, the total flow over the 

measured time period. Calculate the flow rate in gallons per minute by using the time from the 

stop watch. Compare this flow rate to the flow determined by actual measurement of the head 

6-12

Chapter Six Flow Measurement 

made at the primary device at the time interval. Consider the calibration of the totalizer 

satisfactory if the two flows are within 10 percent of each other, when the actual measured flow 

is used as the known value, or divisor, in the percent calculation. 

6-13

6. C.	 References and Flow 

Measurement Inspection 

Checklist 

References 

Associated Water and Air Resource Engineers, Inc. 1973. Handbook for Industrial 

Wastewater Monitoring. USEPA, Technology Transfer. 

Blasso, L. 1975. "Flow Measurement Under Any Conditions," Instruments and Control 

Systems, 48(2): 45-50. 

Bos, M.G. 1976. Discharge Measurement Structures, Working Group on Small Hydraulic 

Structures International Institute for Land Reclamation and Improvement, Wageningen, 

The Netherlands. 

Eli, R., and H. Pederson. 1979. Calibration of a 90° V-Notch Weir Using Parameters Other 

than Upstream Head. EPA-61809A-2B. 

ISCO. 1985. Open Channel Flow Measurement Handbook, Lincoln, Nebraska. (Contains 

tables of various flow measurement devices.) 

King, H.W., and E.F. Brater. 1963. Handbook of Hydraulics. 5th ed. New York: McGraw-Hill 

Book Co. (contains tables of various flow measurement devices.) 

Mauis, F.T. 1949. "How to Calculate Flow Over Submerged Thin-Plate Weirs." Eng. NewsRecord. p. 65. 

Metcalf & Eddy, Inc. 1972. Wastewater Engineering. New York: McGraw Hill Book Co. 

Robinson, A.R. 1965. Simplified Flow Corrections for Parshall Flumes Under Submerged 

Conditions, Civil Engineering, ASCE. 

Shelley, P.E., and G.A. Kirkpatrick. 1975. Sewer Flow Measurement; A State of the Art 

Assessment, U.S. Environmental Protection Agency, EPA-600/2-75-027. 

Simon, A. 1976. Practical Hydraulics. New York: John Wiley & Sons. 

Smoot, G.F. 1974. A Review of Velocity-Measuring Devices. U.S. Department of the Interior 

(USDI), United States Geological Survey (USGS). Open File Report, Reston, Virginia. 

Stevens. Water Resources Data Book, Beaverton, Oregon. (Contains tables of various flow 

measurement devices.) 

Thorsen, T., and R. Oden. 1975. "How to Measure Industrial Wastewater Flow," Chemical 

Engineering, 82(4): 95-100. 

6-14

Chapter Six Flow Measurement 

U.S. Department of Commerce, National Bureau of Standards. 1975. A Guide to Methods and 

Standards for the Measurement of Water Flow. COM-75-10683. 

U.S. Department of the Interior (USDI), Bureau of Reclamation. 1967. Water Measurement 

Manual, 2nd Ed. (Contains tables of various flow measurement devices.) 

U.S. Environmental Protection Agency, Office of Water Enforcement and Permits Enforcement 

Division. September 1981. NPDES Compliance Flow Measurement Manual. 

6-15

Chapter Six Flow Measurement 

FLOW MEASUREMENT INSPECTION CHECKLIST 

A. GENERAL 

Yes 1. a. Primary flow measuring device properly installed and 

maintained. 

Is the full pipe requirement met? 

2. a. Flow records properly kept. 

All calibration data entered into a log book. 

3. Actual discharged flow measured. 

4. Effluent flow measured after all return lines. 

5. Secondary instruments (totalizers, recorders, etc.) properly operated

and maintained. 

6. Spare parts stocked. 

7. Efflue nt loading s calculat ed using e ffluen t flow. 

No N/A 

Yes No N/A b. Flow measured at each outfall? __________ Number of 

outfalls? __________ 

Yes No N/A c. Is there a straight length of pipe or channel before and after 

the flowmeter of at least 5 to 20 diameters? 

Yes No N/A d. If a magnetic flowmeter is used, are there sources of electric 

noise in the near vicinity? 

Yes No N/A e. Is the magnetic flowmeter properly grounded? 

Yes No N/A f. 

Yes No N/A 

Yes No N/A b. All charts maintained in a file. 

Yes No N/A c. 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

B. FLUMES 

Yes 

Yes 

No N/A 

No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Flow entering flume reasonably well-distributed across the channel 

and free of turbulence, boils, or other disturbances. 

2. Cross-sectional velocities at entrance relatively uniform. 

3. Flume clean and free of debris and deposits. 

4. All dimensions of flume accurate and level. 

5. Side walls of flume vertical and smooth. 

6. Sides of flume throat vertical and parallel. 

7. Flume head being measured at proper location. 

8. Measurement of flume head zeroed to flume crest. 

9. Flume pro perly sized to measur e range of existing flow. 

10. Flume operating under free-flow conditions over existing range of

flows. 

11. Flume submerged under certain flow conditions. 

12. Flume operation invariably free-flow. 

6-16

Chapter Six Flow Measurement 

FLOW MEASUREMENT INSPECTION CHECKLIST 

(Continued) 

C. WEIRS 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. What type of weir does the facility use? 

2. Weir exactly level. 

3. Weir plate plumb and its top and edges sharp and clean. 

4. Downstream edge of weir is chamfered at 45°. 

5. Free access for air below the nappe of the weir. 

6. Upstream channel of weir straight for at least four times the depth of 

water level and free from disturbances. 

7. Distance from sides of weir to side of channel at least 2H. 

8. Area of approach channel at least (8 × nappe area) for upstream 

distance of 15H. 

9. If not, is velocity of approach too high? 

10. Head measurements properly made by facility personnel. 

11. Leakage does not occur around weir. 

12. Use of proper flow tables by facility personnel. 

D. OTHER FLOW DEVICES 

1. Type of flowmeter used: 

2. What are the most common problems that the operator has had with 

the flowmeter? 

3. Measured wastewater flow: ________ mgd;

Recorded flow: ________; Error ________% 

E. CALIBRATION AND MAINTENANCE 

Yes No N/A 1. Flow totalizer properly calibrated. 

2. Frequency of routine inspection by proper operator: ________/day. 

Yes 

Yes 

3.	 Frequency of maintenance inspections by plant personnel:

________/year. 

No N/A 

No N/A 

No N/A 

4. Flowmeter calibration records kept. 

calibration: ________/month. 

5. Flow measurement equipment adequate to handle expected ranges

of flow rates. 

6. Calibration frequency adequate.

Frequency of flowmeter

Yes 

6-17

7.	 LABORATORY PROCEDURES AND 

QUALITY ASSURANCE 

Contents Page 

A. Objectives and Requirements ............................................ 7-1


B. Sample Handling Procedures ............................................ 7-3


Evaluation of Permittee Sample Handling Procedures .................... . 7-3


C.	 Laboratory Analyses Techniques Evaluation ................................. 7-5


Evaluation of Permittee Laboratory Analytical Procedures .................. 7-5


Evaluation of Permittee Laboratory Facilities and Equipment ................ 7-5


D. Quality Assurance and Quality Control ..................................... 7-9


Evaluation of the Precision and Accuracy of the Permittee Laboratory ......... 7-9


Evaluation of Permittee Data Handling and Reporting .................... 7-10


Evaluation of Permittee Laboratory Personnel .......................... 7-11


Evaluation of Contract Laboratories .................................. 7-11


Overview of the Discharge Monitoring Report Quality Assurance Program 


and How It Relates to the Inspection Program ....................... 7-12


E. References and Laboratory Quality Assurance Checklist ................... . . . 7-15


References ..................................................... 7-15


Laboratory Quality Assurance Checklist ............................... 7-17


7-i 
Chapter Seven Contents 

This page left intentionally blank. 

7-ii 
7. A. Objectives and Requirements 

The analytical laboratory provides both qualitative and quantitative information for determining 

the extent of permittee compliance with permit discharge requirements. To be valuable or 

useful, the data must be representative and accurately describe the characteristics and 

concentrations of constituents in the samples submitted to the laboratory. The objectives of 

laboratory Quality Assurance (QA) are to monitor and document the accuracy and precision of 

the results reported and to meet reliability requirements. 

QA refers to a total program for ensuring the reliability of data by utilizing administrative and 

technical procedures and policies regarding personnel, resources, and facilities. QA is required 

for all functions bearing on environmental measurements and includes activities such as 

project/study definition; sample collection and tracking; laboratory analysis; data validation, 

analysis, reduction, and reporting; documentation; and data storage systems. Thus, the QA 

program is designed to evaluate and maintain the desired quality of data. Quality Control (QC), 

a function of QA, is the routine application of procedures for controlling the accuracy and 

precision of the measurement process and includes the proper calibration of instruments and 

the use of the appropriate analytical procedures. 

The 40 Code of Federal Regulations (CFR) Section 122.41(e) (conditions applicable to all 

permits), requires adequate laboratory and process controls, including appropriate QA 

procedures. Each permittee's laboratory must have a QA/QC program. The laboratory must 

document the QA program in a written QA/QC manual and the lab should make it available to 

all personnel responsible for sample analyses. The manual must clearly identify the individuals 

involved in the QA program and document their responsibilities. The laboratory's standard 

operating procedures must meet user requirements in terms of specificity, completeness, 

precision, accuracy, representativeness, and comparability of the required testing procedures . 

The laboratory should devote approximately 10 to 20 percent of their resources to their QA/QC 

program. 

Guidance in this chapter is broad based and may not be applicable to every laboratory. This 

chapter includes a Laboratory Quality Assurance Checklist for the inspector's use at the end of 

the chapter. For detailed information concerning laboratory QA, refer to Environmental 

Protection Agency's (EPA's) Handbook for Analytical Quality Control in Water and Wastewater 

Laboratories (USEPA 1979a). Further information is also available in the U.S. Environmental 

Protection Agency's (EPA's) NPDES Compliance Monitoring Inspector Training Laboratory 

Analysis Module (April 1990). If a more detailed assessment of a laboratory is required, 

personnel with more extensive knowledge of the methodologies should perform the inspection. 

7-1

Chapter Seven Laboratory Procedures and Quality Assurance 

This page left intentionally blank. 

7-2

7. B. Sample Handling Procedures 

Evaluation of Permittee Sample Handling Procedures 

Proper sample handling procedures are necessary in the laboratory from the sample's receipt 

to its discard. Sample handling procedures for small permittees may differ from procedures for 

larger permittees because staff organizational structures and treatment facility designs vary 

from one facility to the next. However, proper sample handling procedures should be 

standardized, utilized and documented by all permittees. In evaluating laboratory sample 

handling procedures, the inspector should verify the following: 

• The laboratory has a sample custodian. 

• The laboratory area is secure and restricts entry to authorized personnel only. 

•	 The laboratory has a sample security area that is dry, clean, and isolated, has sufficient 

refrigerated space, and can be locked securely. 

• A minimum number of people handle the samples. 

•	 The custodian receives all incoming samples, signs the chain-of-custody record sheet 

accompanying the samples and retains the sheet as a permanent record. 

•	 The custodian performs or analyzes checks of proper preservation, container type, and 

holding times and documents results. 

• The custodian ensures that samples are properly stored. 

• Only the custodian distributes samples to personnel who are to perform analyses. 

• Transfer of samples is usually document by the sample custodian. 

• Care and custody records for handling samples are accurate and up-to-date. 

7-3

Chapter Seven Laboratory Procedures and Quality Assurance 

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7-4

7. C.	 Laboratory Analyses Techniques 

Evaluation 

Evaluation of Permittee Laboratory Analytical Procedures 

The permittee's laboratories or its contract laboratories must use uniform methods, thus, 

eliminating methodology as a variable when data are compared or shared among laboratories. 

The permittee's laboratory must select by consulting 40 CFR Part 136 or EPA for approval of 

alternative methods. A permittee may only use alternative test procedures if the procedures 

have EPA approval, as specified by 40 CFR 136.4 and 136.5, and promulgated under Public 

Law (PL) 92-500. 

Many standardized test procedures promulgated under 40 CFR Part 136 are covered in 

Methods for Chemical Analysis of Water and Wastes (USEPA 1979b). Revisions and new 

additions to this publication are made whenever new analytical techniques or instruments are 

developed. These are considered accepted after final publication in the Federal Register. The 

latest accepted edition of Standard Methods for the Examination of Water and Wastewater 

[American Public Health Association (APHA), American Water Works Association (AWWA), 

and Water Environment Federation (WEF)]. (The most current 40 CFR Part 136 may 

supersede any method or technique cited in this manual.) Other approved methods from 

United States Geological Survey (USGS), American Society for Testing and Materials (ASTM), 

and several commercial vendor methods are also reference in 40 CFR 136. 

In evaluating laboratory analytical procedures, the inspector should verify the following: 

•	 The lab follows analytical methods specified in the most current 40 CFR Part 136 and 

properly performs any deviations allowed by 40 CFR Part 136. 

•	 The lab uses a QC system that conforms to the system specified in the permit or to that 

detailed in published Standard Methods (APHA, AWWA, and WEF) (e.g., initial 

demonstration of capability for organic analyses). 

•	 The lab maintains a QC record on reagent preparation, instrument calibration and 

maintenance, incubator temperature, and purchase of supplies. 

•	 The lab conducts QC checks are made on materials, supplies, equipment, instrument 

calibration and maintenance, facilities, analyses, and standard solutions. 

•	 The lab maintains documentation of any EPA-approved deviation from specified test 

procedures. 

Evaluation of Permittee Laboratory Facilities and Equipment 

To verify that the proper analytical procedures are being followed, the inspector should have the 

responsible analyst describe each of the procedures. The inspector should be alert to any 

7-5

Chapter Seven Laboratory Procedures and Quality Assurance 

deviation from the specified analytical method. Any questions regarding the proper procedures 

can be resolved by referring to the cited methodology. Even simple analyses can yield invalid 

results if the methodology cited in 40 CFR Part 136 is not exactly followed. Certain required 

deviations from the approved method are cited in 40 CFR 136, notes. 

Laboratory Services 

The availability of laboratory services affects data reliability. The inspector should verify that 

the laboratory provides the following items: 

•	 An adequate supply of laboratory pure water, free from chemical interferences and other 

undesirable contaminants. The lab should check water quality routinely and document 

it. 

• Adequate bench, instrumentation, storage, and recordkeeping space. 

• Clean and orderly work area to help avoid contamination. 

• Adequate humidity and temperature control. 

• Adequate lighting and ventilation. 

• Dry, uncontaminated, compressed air when required. 

• Efficient fume hood systems. 

•	 Necessary equipment such as hot plate, incubator, water bath, refrigerator for samples, 

pH meter, thermometer, and balance. 

•	 Electrical power for routine laboratory use and, if appropriate, voltage-regulated sources 

for delicate electronic instruments. 

•	 Emergency equipment, fire extinguisher, eye wash station, shower, first aid kit, gloves, 

and goggles. 

• Vibration-free area for accurate weighings. 

The inspector should also check that the lab uses proper safety equipment (lab coats, gloves, 

safety glasses, goggles, and fume hoods) where necessary. The laboratory should have a fire 

extinguisher, eye wash station, shower, and first aid kit. The inspector should document any 

problems and refer to the proper authority [e.g., Occupational Safety and Health Administration 

(OSHA)]. 

Instruments and Equipment 

Instrumentation is extremely important in the analytical laboratory. To a certain extent, 

analytical instrumentation is always developmental; manufacturers are continually redesigning 

and upgrading their products, striving for miniaturization, enhanced durability and sensitivity, 

7-6

Chapter Seven Laboratory Procedures and Quality Assurance 

and improved automation. In evaluating laboratory instruments and equipment, the inspector 

should verify the following: 

•	 The lab follows standard and specific procedures for cleaning glassware and containers 

are followed. Chapter Two of EPA's NPDES Compliance Monitoring Inspector Training 

Laboratory Analysis Module (April 1990) contains detailed information on glassware 

cleaning. 

•	 The lab has written requirements (e.g., standard operating procedures) for daily 

operation of instruments and equipment which are easily accessible and the staff follow 

them. 

•	 Standards and appropriate blanks are available from suppliers to perform standard 

calibration procedures. The lab should use standard concentrations that closely bracket 

actual sample concentrations. Sources of standards are documented and where 

possible, traceable to a national standard [e.g., National Institute of Standards and 

Technology (NIST)]. 

•	 Records of each set of analysis performed including the order in which calibration, QA 

and samples were analyzed (i.e., analysis run logs or instrument run logs). 

•	 Lab has written troubleshooting procedures are available to identify common equipment 

malfunctions. 

•	 Lab follows written schedules for replacement, cleaning, checking, and/or adjustment by 

service personnel. 

• Lab maintains documentation on equipment maintenance and service checks. 

Commonly used analytical instruments include analytical balances, pH meters, dissolved 

oxygen meters, conductivity meters, turbidimeters, spectrophotometers, atomic absorption 

spectrophotometers, organic carbon analyzers, selective ion analyzers, gas-liquid 

chromatographs, titrimetric analyses, and temperature controls. Chapter Two of EPA's NPDES 

Compliance Monitoring Inspector Training Laboratory Analysis Module. (April 1990) includes a 

detailed discussions on these instruments. 

Maintenance of laboratory facilities and equipment is an important factor in laboratory QA. 

Qualified service checks should be performed and documented. 

Supplies 

Chemical reagents, solvents, and gases are available in many grades of purity, ranging from 

technical grade to various ultrapure grades. The purity of the materials required in analytical 

chemistry varies with the type of analysis. The parameter being measured, the analytical 

method, and the sensitivity and specificity of the detection system determine the purity of the 

reagents required. Do not use reagents of lesser purity than that specified by the method. In 

evaluating laboratory supplies, the inspector should verify that the laboratory: 

7-7

Chapter Seven Laboratory Procedures and Quality Assurance 

• Uses the required reagent purity for the specific analytical method. 

• Stores standard reagents and solvents according to the manufacturer's directions. 

•	 Checks working standards frequently to determine changes in concentration or 

composition. 

•	 Verifies concentrations of stock solutions before being used to prepare new working 

standards. 

•	 Date supplies with limited shelf life upon receipt and observe shelf-life 

recommendations, including the discard date on the container and the storage 

requirements. 

• Prepare and standardize reagents against reliable primary standards. 

•	 Label standards and reagents properly including the date of preparation, concentration 

and the analyst's identification. 

•	 Store standards and reagents in appropriate containers and under required method 

conditions. If conditions are not specified, standards and reagents are stored according 

to 40 CFR Part 136, Table II. See Chapter Five, Sampling, Table 5-3. 

• Check the accuracy of purchased solutions as per method requirements. 

•	 Use clean containers of suitable composition with tight-fitting stoppers or caps for 

storage. 

•	 Discard reagents when signs of discoloration, formation of precipitates, or significant 

changes in concentrations are observed. 

• Prepare stock solutions and standards using volumetric glassware. 

7-8

7. D.	 Quality Assurance and Quality 

Control 

Evaluation of the Precision and Accuracy of the Permittee Laboratory 

The purpose of laboratory control procedures is to ensure high-quality analyses by the use of 

control samples, control charts, reference materials, and instrument calibration. The laboratory 

must initiate and maintain controls throughout the analysis of samples. Specifically, each 

testing batch must contain at least one blank, standard, duplicate, and spiked (as applicable) 

sample analysis. When a batch contains more than 10 samples, every tenth sample should be 

followed by a duplicate and a spike (as applicable). 

The precision of laboratory findings refers to the reproducibility or degree of agreement among 

replicate measurements of the same quantity. The closer the numerical values of the 

measurements come to each other, the more precise are the measurements. In a laboratory 

QC program, precision is determined by the analysis of actual samples in duplicate. These 

may represent a range of concentrations and a variety of interfering materials usually 

encountered during the analysis. Accuracy refers to the degree of difference between 

observed values and known or actual values. The closer the value of the measurement comes 

to the actual value, the more accurate the measurement is. The accuracy of a method can be 

determined by analyses of samples to which known amounts of reference standards have been 

added (spiked samples). 

In evaluating the precision of the measurement process, the inspector should verify that: 

•	 The lab introduces control samples into the train of actual samples to monitor the 

performance of the analytical system. Control samples include any digestions, 

extractions, distillations and other sample preparations as for sample analyses. 

•	 Perform duplicate analyses with each batch of samples to determine precision. In 

general, 10 percent of the samples should be duplicated. 

•	 Prepare and use precision control charts or other statistical techniques for each 

analytical procedure. Develop precision control charts by collecting data from a 

minimum of 15 to 20 duplicate samples (run in controlled conditions) over an extended 

period (e.g., 10 to 20 days). Statistical methods include calculation of mean, standard 

deviation, and variance to define the range and variability of the data. 

• Take corrective actions when data fall outside the warning and control limits. 

• Document out-of-control data, the situation, and the corrective action taken. 

7-9

Chapter Seven Laboratory Procedures and Quality Assurance 

In evaluating accuracy, the inspector should verify that the laboratory: 

•	 The lab introduces spiked samples into the train of actual samples at least 10 percent of 

the time to monitor the performance of the analytical system. 

•	 The lab uses spiked samples to monitor accuracy in each sample batch. 

- The amount of additive is appropriate to the detection limit and sample concentration. 

•	 Prepare and use accuracy control charts for each analytical procedure. The lab should 

develop accuracy control charts by collecting data for a minimum of 15 to 20 samples 

over an extended period of time. 

- Establish accuracy limits (as % recovery) based on standard deviations whose upper 

and lower control limits are established at three times the standard deviation above 

and below the central line. 

- Establish the upper and lower warning limits at twice the standard deviation above 

and below the central line. Note: Some parameters have a defined warning limit 

required by 40 CFR Part 136. 

- Take corrective actions when data fall outside the warning and control limits. 

- Document out-of-control data or situation and the corrective action taken. 

Evaluation of Permittee Data Handling and Reporting 

An analytical laboratory must have a system for uniformly recording, correcting, processing, and 

reporting data. The inspector should verify that the laboratory: 

• Uses correct formulas to calculate the final results. 

• Applies round-off rules are uniformly. 

• Establishes significant figures for each analysis. 

• Cross-checking calculations provisions are available. 

•	 Determine control chart approaches and statistical calculations for the purposes of QC 

and reporting. 

•	 The laboratory report forms provide complete data documentation and permanent 

recording, and they facilitate data processing. 

• The program for data handling provides data in the form/units required for reporting. 

•	 Maintain laboratory records for a minimum of 3 years (or longer and made available if 

requested by EPA or the State). 

7-10

Chapter Seven Laboratory Procedures and Quality Assurance 

•	 Keeps laboratory notebooks or pre-printed data forms that are bound permanently to 

provide good documentation, including the procedures performed and the details of the 

analysis, such as the original value recorded, correction factors applied, blanks used, 

and the reported data values. The dated notes indicate who performed the tests and 

include any abnormalities that occurred during the testing procedure. Laboratory 

maintains the notes as a permanent laboratory record. 

•	 Procedures for correction of data entry errors are defined. Original data entries can be 

read and the individual(s) making the corrections are clearly identified. 

• Back up computer data with duplicate copies (i.e., electronic and hardcopy). 

•	 Proper data handling and reporting procedures are implemented by all contract 

laboratories performing sample analyses. 

•	 Maintain data records that allow the recalculation of all results reported by the 

laboratory(ies) from the original unprocessed results (i.e., raw data) to the final results 

sent to EPA and the regulatory authority for a minimum of three (3) years. 

Evaluation of Permittee Laboratory Personnel 

Analytical operations in the laboratory vary in complexity. Consequently, laboratory should 

clearly define work assignments in the laboratory. All analysts should be thoroughly instructed 

in basic laboratory operations. Those persons performing complex analytical tasks should be 

qualified and properly trained. All analysts must follow specified laboratory procedures and be 

skilled in using the laboratory equipment and techniques required for the analyses assigned to 

them. In evaluating laboratory personnel, the inspector should consider the following factors: 

• Adequacy of training 

• Skill and diligence in following procedures 

•	 Skill and knowledge of staff in using equipment and analytical methods (particularly for 

complex equipment such as gas chromatography) 

• Precision and accuracy in performing analytical tasks 

• Assignment of clearly defined tasks and responsibilities. 

Evaluation of Contract Laboratories 

When the permittee contracts with the laboratory to analyze samples, the inspector may need 

to evaluate the laboratory practices at the contracted laboratory. The practices can also be 

evaluated by other designated EPA inspectors. If a deficiency is identified at a contract 

laboratory, the permittee is responsible for the deficiency and will be notified. 

7-11

Chapter Seven Laboratory Procedures and Quality Assurance 

Overview of the Discharge Monitoring Report Quality Assurance Program and How It Relates to 

the Inspection Program 

The validity of the National Pollutant Discharge Elimination System (NPDES) program depends 

on the quality of the self-monitoring program. The Discharge Monitoring Report Quality 

Assurance (DMR QA) program is an important tool used to ensure the quality of NPDES 

self-monitoring data. The program is designed to evaluate and improve the ability of 

laboratories serving NPDES permittees to analyze and report accurate self-monitoring data. 

Majors must purchase under NPDES performance evaluation samples containing constituents 

normally found in industrial and municipal wastewaters from accredited providers . They must 

analyze these samples using the analytical methods and laboratory normally employed for their 

reporting of NPDES self-monitoring data. The supplier of the performance evaluation sample 

will evaluate the results and respond to the permittee. 

Highlights 

•	 The DMR QA Program has been an excellent means of focusing on and improving the 

quality of laboratory results used in developing DMR data. Improvements in the DMR 

QA data have been significant. 

•	 This program has helped major permittees identify and correct both analytical and data 

handling problems in their laboratories. 

•	 In general, permittees are receptive to the program and recognize its value, including 

some who challenged EPA's authority to require participation. 

•	 Regions and States are generally supportive and have made good use of the results of 

this program for targeting inspections and directing other follow-up activities. This ability 

to concentrate corrective actions on problem permittees results in an increased 

efficiency in improving the self-monitoring data of all NPDES permittees. 

•	 The program is one of the least resource-intensive methods for maintaining direct and 

regular technical contact with NPDES permittees. It has been recognized as a 

cost-effective effort. 

•	 Utilizing computer technology, the following ways of managing and analyzing DMR QA 

data were started in FY 1985: compiling tracking summaries, comparing performance of 

the major industries, tracking multiple permittees, and regenerating past performance 

evaluation reports. 

The DMR QA Program and the NPDES inspection programs are interdependent in several 

areas. First, to target the inspections, the regulatory agency can use DMR QA evaluations of 

permittee performance can be used, since the evaluations identify potential problems in 

laboratory analysis or data handling and reporting. This targeting helps to direct limited 

resources to permittees who need them most. Non-reporting of DMR QA results is an 

important trigger for on-site inspections. 

The results are provide to and tracked by EPA and the State DMR QA coordinator. 

7-12

Chapter Seven Laboratory Procedures and Quality Assurance 

Finally, EPA uses the Performance Audit Inspection (PAI), to follow up the DMR QA. The DMR 

QA results should be cross-checked with the permit prior to the onsite visit, and parameters that 

were failed should be checked by the inspector during a laboratory inspection. 

7-13

Chapter Seven Laboratory Procedures and Quality Assurance 

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7-14

7. E.	 References and Laboratory 

Quality Assurance Checklist 

References 

American Society for Testing and Materials (ASTM). Annual Book of Standards, Part 31, 

Water. ASTM, Philadelphia, PA. 

APHA, AWWA, and WEF. Standard Methods for the Examination of Water and Wastewater. 

(Use the most current, EPA-approved edition.) 

Brown, E., M.W. Skougstad, and M.J. Fishman. 1970. Methods for Collection and Analysis of 

Water Samples for Dissolved Minerals and Gases. U.S. Geological Survey Techniques of 

Water Resources Inv., Book 5. 

Delfino, J.J. 1977. "Quality Assurance in Water and Wastewater Analysis Laboratories." Water 

and Sewage Works, 124(7): 79-84. 

U.S. Environmental Protection Agency. 1979a. Handbook for Analytical Quality Control in 

Water and Wastewater Laboratories. EPA-600/4-79-019. 

Federal Register, Vol 51. No. 125, June 30, 1986. Guidelines Establishing Test Procedures for 

the Analysis of Pollutants Under the Clean Water Act (also see October 26, 1986). 

Plumb, R.H., Jr. 1981. "Procedure for Handling and Chemical Analysis of Sediment and Water 

Samples." Technical Report EPA/CE-81-1. 

United States Geologic Survey (USGS), United States Department of the Interior (USDI), Open 

File Report 85-495; 1906 (see 6/30/86 FR for full citation). 

U.S. Environmental Protection Agency. 1979b. Methods for Chemical Analysis of Water and 

Wastes. EPA-600/4-79-020. 

U.S. Environmental Protection Agency. April 1990. NPDES Compliance Monitoring Inspector 

Training Laboratory Analysis Module. 

U.S. Environmental Protection Agency. 1997. Methods and Guidance for Analysis of Water. 

EPA 821-C-97-001. 

U.S. Environmental Protection Agency. July 1998. EPA Quality Manual for Environmental 

Programs. 

U.S. Environmental Protection Agency. July 1999. Constitution, Bylaws, and Standards. 

National Environmental Laboratory Accreditation Conference. EPA-600/R-99/068. 

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Chapter Seven Laboratory Procedures and Quality Assurance 

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7-16

Chapter Seven Laboratory Procedures and Quality Assurance 

LABORATORY QUALITY ASSURANCE CHECKLIST 

A. GENERAL 

Yes No N/A 1. Written laboratory QA manual available.

B. SAMPLE HANDLING PROCEDURES 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes 

Yes 

Yes No N/A 

No N/A 

No N/A 

1. Laboratory has sample custodian and a back-up custodian. 

2. Access to labora tory area restr icted to author ized personnel only. 

3. Sample security area available within laboratory that is dry, clean, 

and isolated; has sufficient refrigerated space; and can be locked 

securely. 

4. Custodian receives and logs in all incoming samples. 

5. Follows established chain-of-custody procedures. 

6. Checks of proper preservation, container type, and holding times

performed by the custodian or the analysts with the results fully

documented. 

7. Samples properly stored by custodian. 

8. Samples distributed to analysts by custodian only. 

9. Transfer of samples fully documented. 

10. Accurate and up-to-date care and custody records for handling

samples maintained. 

11. edures for disposal of test samples and test 

standards. 

Documentation and proc

C. LABORATORY PROCEDURES 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. EPA-approved written analytical testing procedures used and 

protocols are easily accessible by laboratory personnel. 

2. If alternate analytical procedures used, proper written approval

obtained. 

3. Calibration and maintenance of instruments and equipment

satisfacto ry. 

4. QA procedures used. 

5. QC procedures adequate. 

6. Duplicate samples are analyzed % of time. 

7. Spiked samples are used % of time. 

8. Whole Effluent Toxicity (WET) testing is required by the permit and 

conducted by the laboratory. 

documented for each organism tested. 

9. WET testing protocols are clearly described. 

10. Commercial laboratory used. 

Name 

Culturing procedures are adequately

Yes No N/A 

Yes No N/A 

Yes No N/A 

Address 

Contact 

Phone 

7-17

Chapter Seven Laboratory Procedures and Quality Assurance 

Certification # 

7-18

Chapter Seven Laboratory Procedures and Quality Assurance 

LABORATORY QUALITY ASSURANCE CHECKLIST 

(Continued) 

D. LABORATORY FACILITIES AND EQUIPMENT 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A Dry, uncontaminated compressed air available. 

5. Sufficiently ventilate fume hood. 

6. Laboratory sufficiently lighted and ventilated. 

7. Adequate electrical sources available. 

8. Instruments/equipment in good condition. 

9. Use proper safety equipment (lab coats, gloves, safety glasses, 

goggles, and fume hoods) when necessary. 

10. Written requirements for daily operation of instruments available. 

4. 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Proper grade laboratory pure water available for specific analysis. 

2. Adequate bench, instrumentation, storage, and recordkeeping

space available. 

3. Clean and orderly work area available to help avoid contamination. 

Yes No N/A


Yes No N/A 

procedures. 

12. Sources of standards documented and where possible traceable to 

a national standard (e.g., NIST). 

13. Records of each set of analysis including order in which calibration, 

QC and samples were analyzed (i.e., analysis run logs or instrument

run logs) available. 

14. Written troubleshooting procedures for instruments available. 

15. Schedule for required maintenance exists. 

16. Proper volumetric glassware used. 

17. Glassware properly cleaned. 

18. Properly store standard reagents and solvents with the expiration

dates clearly displayed on the containers. 

19. Frequently checked working standards. 

20. Discard standards after recommended shelf-life has expired. 

21. Background reagents and solvents run with every series of samples. 

22. Written procedures exists for cleanup, hazard response methods,

and applications of correction methods for reagents and solvents. 

23. Replace gas cylinders at 100-200 psi. 

11. Standards and appropriate blanks available to perform daily check


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A


7-19

Chapter Seven Laboratory Procedures and Quality Assurance 

LABORATORY QUALITY ASSURANCE CHECKLIST 

(Continued) 

E. LABORATORY'S PRECISION, ACCURACY, AND CONTROL PROCEDURES 

Yes 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

No N/A 

1. Analyzed multiple replicates (blanks, duplicates, spikes, and splits)

for each type of control check and information recorded. 

2. Plotted precision and accuracy control methods used to determine 

whether valid, questionable, or invalid data are being generated

from day to day. 

3. Generate control samples introduced into the train of actual samples

to ensure that valid data. 

4. Precision and accuracy of the analyses are sufficient. 

F. DATA HANDLING AND REPORTING 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Uniformly apply round-off rules. 

2. Establish significant figures for each analysis. 

3. Use provision for cross-checking calculation. 

4. Use correct formulas to calculate final results. 

5. Control chart approach and statistical calculations for QC and report

available and followed. 

6. Report forms developed to provide complete data documentation 

and permanent records and to facilitate data processing. 

7. Data reported in proper form and units. 

8. Laboratory records readily available to regulatory agency for

required time of 3 years. 

9. Laboratory notebook or pre-printed data forms bound permanently

to provide good documentation. 

10. Computer data backed up with duplicate copies (i.e., electronic and 

hardcopy). 

11. Efficient filing system exists, enabling prompt retrieval of information 

and channeling of report copies. 

12. Data records allow recalculation of all results reported by the

laboratory(ies) from the original unprocessed results (raw data) to

the final results sent to EPA and the regulatory authority. 

G. LABORATORY PERSONNEL 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Enough analysts present to perf orm the analyses necessary. 

2. Analysts have on hand the necessary references for EPA

procedures being used. 

3. Analysts trained in procedures performed through formal or informal

training or certification programs. 

7-20

Chapter Seven Laboratory Procedures and Quality Assurance 

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7-21

8. TOXICITY 

Contents Page 

A. Objectives ........................................................... 8-1


B. Requirements of WET Testing ........................................... 8-3


Types of WET Testing ............................................. 8-3


WET Test Components ............................................ 8-4


Effluent ......................................................... 8-4


Dilution Water .................................................... 8-5


Test System ..................................................... 8-8


Test Organisms .................................................. 8-9


Reference Toxicants .............................................. 8-10


Conduct of the Test(s) ............................................ 8-10


Recordkeeping and Data Reporting .................................. 8-11


C. Analysis of Results ................................................... 8-15


D. References ......................................................... 8-19


List of Tables 

8-1. Recommended Sampling Strategies for Continuous and Intermittent Discharges for 


Flow-Through, Static Renewal, and Static Toxicity Tests ....................... 8-7


Related Websites 

Whole Effluent Toxicity (WET) Methods: http://www.epa.gov/waterscience/WET 

Office of Wastewater Management (OWM) Homepage: http://www.epa.gov/owm 

8-i 
Chapter Eight Contents 

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8-ii 
8. A. Objectives 

By definition, toxicity is a characteristic of a substance (or group of substances) that causes 

adverse effects in organisms. Adverse effects include an increased rate of morbidity (the rate 

of occurrence of disease) and mortality (the rate of occurrence of death), as well as those 

effects that limit an organism's ability to survive in nature, such as impaired reproductive ability 

or growth. Toxicity of a substance is measured by observing the responses of organisms to 

increasing concentrations of that substance. One substance is more toxic than another when it 

causes the same adverse effects at a lower concentration. 

Whole Effluent Toxicity (WET) is a National Pollutant Discharge Elimination System (NPDES) 

permit parameter designed to evaluate the toxicity of the entire wastestream as opposed to just 

individual pollutants. The WET testing may be either performed or evaluated as part of one of 

five NPDES inspections: 

• Compliance Evaluation Inspection (CEI) 

• Compliance Sampling Inspection (CSI) 

• Performance Audit Inspection (PAI) 

• Toxics Sampling Inspection (XSI) 

• Compliance Biomonitoring Inspection (CBI). 

In addition, the toxicity of a municipal treatment plant effluent should be considered as part of 

the Pretreatment Compliance Inspection (PCI), especially if unacceptable levels of toxicity have 

been demonstrated and the cause of the toxicity has been investigated and found to be from 

industrial or commercial dischargers contributing to the system. 

Methods manuals for Whole Effluent Toxicity testing can be accessed at: 

http://www.epa.gov/waterscience/WET. 

The inspector should understand the permittee's WET testing requirements so that the 

appropriate objectives can be met: 

• Assess compliance with NPDES permit conditions 

• Determine compliance with State water quality standards 

•	 Consider overall Lab WET test performance (reference toxicants and other WET 

QA/QC requirements) 

• Evaluate quality of self-monitoring data 

• Assess adequacy of self-monitoring procedures 

• Document presence or absence of toxic conditions 

•	 Identify need to perform Toxicity Reduction Evaluation (TRE) and/or a Toxicity 

Identification Evaluation (TIE) 

• Develop permit limits for WET, if appropriate 

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Chapter Eight Toxicity 

WET test reviews performed as part of a routine facility inspection are cursory. The intent is to 

quickly ascertain if the facility is following their permit requirements and, secondarily, to see if 

there are any obvious problems with reporting or lab performance. The following checklist 

provides some of the more obvious and quickly determined issues that can be addressed 

during a facility inspection. 

� Does the facility have a copy of its NPDES permit readily available? (Although the 

inspector should bring a copy in the event the permittee cannot find his). 

� Check the permit for the WET testing frequency and any special conditions related to WET 

testing, including whether a testing frequency decrease is authorized. 

� Are all test reports for WET tests performed over the last three years available for review? 

� Are the test reports complete (e.g., bench data sheets for chemicals and test organisms, 

chain of custody tags, statistical analyses, etc.)? 

� Was the correct type test performed? 

� Did effluent samples contain any measurable chlorine, or > 10 mg/l ammonia? 

� Was the test initiated within 36 hours of the first test sample being grabbed or removed 

from the compositor? This can be verified by checking dates and times on 

chain-of-custody tags and bench sheets. 

� Did the lab or permittee make any judgement decisions beyond their authority? 

� Were there any aberrations in the test? 

� Were the test results reported correctly to the permittee and on the DMR? 

� Was the test invalid due to poor control performance? 

� If the test was declared invalid, was a retest performed and reported? 

In the case of a PAI, the laboratory performing the WET tests is evaluated, as well as the 

NPDES permittee. This type of inspection requires more extensive information than is 

presented in this section. The inspector is therefore referred to the Environmental Protection 

Agency's (EPA) Manual for the Evaluation of Laboratories Performing Aquatic Toxicity Tests 

(EPA-600/4-90/031) for the protocol to perform a PAI. 

8-2

8. B. Requirements of WET Testing 

Types of WET Testing 

WET tests are techniques to determine the toxicity of a permittee's discharge or effluent by 

measuring the responses of organisms to a set of multi-concentration solutions of the effluent 

and dilution water. The WET test methods, as revised November, 2002, are specified in 40 

CFR Part 136 and described in the WET methods manuals that can be accessed at 

http://www.epa.gov/waterscience/WET. Test designs may vary in number of organisms used, 

duration (acute or chronic) or in the way in which the effluent contacts the organism (flowthrough, static, static renewal), depending on suspected toxicants present and how the results 

are to be used. Range finding (screening) tests normally use few organisms and a single 

effluent concentration. However, WET testing is usually performed as a definitive testing. 

In a definitive test, several groups (replicates) of organisms are exposed for a predetermined 

length of time to a set of multi-concentration solutions of effluent and dilution water. The tests 

consist of a control and a minimum of five effluent concentrations, with four replicates of each 

dilution. See the WET methods manuals for more details. The response of each organism in 

each test concentration is observed and recorded, and the number of responses is analyzed in 

relation to the concentrations of effluent to which the organisms were exposed. 

WET testing may be performed as either acute or chronic tests. The terms acute and chronic 

refer to the length of time that the organisms are exposed to the toxicant. The duration of the 

tests should be specified in the NPDES permit. Generally, acute tests measure short-term 

effects with impacts usually resulting in death or extreme physiological disorder. A response 

observed in 96 hours or less typically is considered acute. Chronic tests involve a stimulus that 

lingers or continues for a relatively long period, often one-tenth of a lifespan or more. Chronic 

should be considered a relative term depending on the lifespan of an organism. Typically most 

WET chronic tests run for seven days. Acute effects result in death. A chronic effect may 

result in death, stunted growth, or reduced reproductive rates. 

Common test responses indicating the presence of toxic conditions include: 

•	 Death — Increase in number of organisms killed by a test solution when compared to 

the control 

•	 Growth — Measurement of reduction in growth compared to the control (including mean 

weight of an organism) 

•	 Reproduction — Measurement of reduction in reproductive rates compared to the 

control 

•	 Terata — Increase in number of gross abnormalities shown in early life stages 

compared to the control. 

WET tests are also described according to the way in which organisms are physically exposed 

to test solutions. The terms flow-through, static renewal, and static are most commonly used to 

describe the test design type. In a flow-through test, effluent and dilution water are 

8-3

Chapter Eight Toxicity 

mechanically renewed continuously. This test setup requires specialized equipment (a serial or 

proportional dilutor or syringe pumps) and is more costly to operate than a static test. In a 

static renewal test, the test solutions are replaced periodically (usually daily) with fresh effluent 

and dilution water. In a static test, the solutions used at the start of the test are not replaced for 

the test's duration. Both static renewal and static tests require less sophisticated equipment. 

The method of test design type should be specified in the NPDES permit for the acute test 

methods. The selection of test design type for the chronic test methods is pre-described in the 

test methods. 

WET Test Components 

The following discussions pertain primarily to issues in a lab audit. 

WET tests consist of a number of components, as shown below: 

• Effluent 

• Dilution water 

• Test apparatus 

• Test organisms 

• Reference toxicants 

• Test results. 

In simple terms, effluent and dilution water are combined in the test system with test organisms 

to produce test results. Each component including food items must be of a specific quality for 

successful toxicity testing. It is the inspector's job to determine (insofar as possible) from the 

information available, that the test components adhere to the standards specified in the NPDES 

permit or accepted reference method (e.g., EPA’s WET methods at 40 CFR Part 136). Review 

of the permittee's sampling logbook, chain-of-custody forms, and contract lab reports should 

provide most of the information necessary to assess the quality of the test components. 

Each component has specific requirements (e.g., sample location for the effluent, sample 

holding time, dilution water constituents, choice of test apparatus materials). Accurate and 

reproducible test results can only be expected when the critical test components are handled 

properly. It is, therefore, very important to understand the relationships between these test 

components and the critical factors that determine the acceptability of each from a quality 

assurance standpoint. Critical factors that would likely be encountered during a NPDES 

inspection are described in the following sections. 

Effluent 

Effluent sampling strategy will usually be specified in the NPDES permit. Effluent samples must 

be representative of the entire discharge and free of contamination from other sources. 

Samples collected for off-site toxicity testing are to be chilled to 0°-6°C during or immediately 

after collection, and shipped iced to the performing laboratory. 

8-4

Chapter Eight Toxicity 

The type and frequency of samples taken (e.g., grab, composite) must be consistent with those 

required in the permit. For flow-through tests that are not done by pumping effluent directly into 

dilutors, daily sample sizes must be sufficient to supply the dilutor for periods ranging from 24 to 

36 hours. This volume will depend on the type of test being conducted and the number of 

dilutions being run. For static renewal tests, daily sample volumes should be sufficient to 

replenish all dilutions in the test series and to provide separate vials of the dilutions to allow for 

dissolved oxygen (DO), pH, salinity, and other chemical analyses without contamination of the 

test dilutions. This volume will depend on the type of test being conducted and dilutions being 

run. Table 8-1 provides guidance as to representative sampling strategies for various 

situations. For some volatile toxicants that are acutely toxic (e.g., chlorine) standard composite 

sampling does not yield an effluent sample that is representative of the actual discharge due to 

volatilization of chlorine during sampling, shipping and holding. On-site flow-through testing 

would yield more appropriate test results where, considering available dilution, the effluent 

contains measurable amounts of chlorine. 

Samples for onsite tests should be used immediately when practical, but must be used within 

36 hours of collection. It is usually not possible to refrigerate the large-volume samples (200 

liters or more) that are required for flow-through fish tests, but all other samples should be 

either iced or refrigerated if they are not to be used immediately. Note: hand-delivered samples 

used on the same day of collection do not need to be cooled at 0°-6°C prior to test initiation. 

Samples to be used for offsite tests should be iced for shipment and refrigerated (0°-6°C) upon 

receipt by the testing laboratory. As a minimum requirement in all cases, tests should be 

initiated within 36 hours of collection. In the case of short-term chronic tests, samples taken on 

days one, three, and five may be held for a longer period of time to complete the test. In no 

case should any preservative be added to samples or chemical disinfection performed prior to 

being tested for toxicity, nor should samples be dechlorinated unless the permit specifically 

allows for sample dechlorination. 

Dilution Water 

The choice of dilution water is generally specified in the NPDES permit and depends on the 

purpose of the toxicity test. Synthetic dilution water is used to evaluate the inherent toxicity of 

the effluent. Dilution water from the receiving stream or a nontoxic equivalent is used to test for 

interactions after discharge. Receiving waters, synthetic waters, or synthetic waters adjusted to 

approximate receiving water characteristics may be used for dilution water, provided that the 

water meets the qualifications for an acceptable dilution water. Under no circumstances should 

the dilution water cause any toxic responses in test organisms. A lack of toxic responses in 

control organisms is evidence of the suitability of the dilution water. Control organisms should 

have less than or equal to 10 percent mortality in acute tests and less than or equal to 20 

percent mortality for chronic tests. EPA manuals describe various techniques for the 

preparation of synthetic dilution water which may be necessary to use if the natural receiving 

water exhibits unacceptable levels of toxicity. 

Dilution water obtained from receiving waters should be immediately used for testing. If it will 

not be used within 24 hours, it should be refrigerated (0°-6°C) as soon as it is collected. In any 

case, the receiving water should be used within 36 hours of collection. So that no appreciable 

change in toxic characteristics occurs before testing, the lapsed time (holding time) from 

sample collection to first use of the sample in test initiation must not exceed 36 hours unless a 

8-5

Chapter Eight Toxicity 

variance has been granted. If holding is necessary, the samples must be stored under strict 

conditions (temperatures for WET samples as 0°-6°C). The location from which the dilution 

water was obtained should be noted in the permittee's sampling log. It should be upstream and 

out of the influence of the outfall. The location should be free of other sources of contamination 

(e.g., other outfalls). 

8-6

Chapter Eight Toxicity 

Table 8-1 

Recommended Sampling Strategies for Continuous and Intermittent 

Discharges for Flow-Through, Static Renewal, and Static Toxicity Tests* 

CONTINUOUS DISCHARGE


TEST TYPE CHRONIC 

Flow-through ** -

Static renewal 3x 24-H our com posite 

samples, every other day 

Static Single 24 -Hour c omp osite 

sample on first day 

ACUTE 

Retention Time 

< 14 Days 

Two Gra b sam ples daily 

(early a.m . and late p.m .) 

Four separate grab 

samples each day for four 

concu rrent tests 

Four separate grab 

samples on first day for 

four con curren t tests 

ACUTE 

Retention Time 

>14 Days 

One grab sam ple da ily 

One grad sam ple da ily 

One grab sample on 

first day 

* Sampling requirements should be clearly specified in the permit 

* For flow-through tests, it is always preferable to pump directly to the dilutor 

INTERMITTENT DISCHARGE


TEST TYPE CHRONIC 

Flow-through 

Static renewal 

Static 

-

3x 24-H our com posite 

samples collected for 

duration of discharge 

unless discharge 

ceases 

Com pos ite sa mp le 

collected for duration of 

discharge, first day 

ACUTE 

Continuous 

Discharge 

During 

1 or 2 Adjacent 

8-Hour Shifts 

One grab sam ple 

midway through 

shifts daily 

One grab sam ple 

midway through 

shifts on first day 

One grab sam ple 

midway through 

shifts on first day 

ACUTE 

Discharge 

From Batch 

Treatment 

ACUTE 

Discharge to 

Estuary on 

Outgoing Tide 

One grab sam ple 

of dis cha rge d aily 

One grab sam ple 

of dis cha rge d aily 

One grab sam ple 

of discharge on 

first day 

One grab sam ple 

of dis cha rge d aily 

One grab sam ple 

of dis cha rge d aily 

One grab sam ple 

of discharge on 

first day 

8-7

Chapter Eight Toxicity 

Test System 

WET tests may be performed in a fixed or mobile laboratory. Depending on the scope of the 

program, facilities may include equipment for rearing, holding, and acclimating test organisms. 

Temperature control is achieved using circulating water baths, heat exchangers, or 

environmental chambers. Appropriate dilution water may be groundwater, surface water, 

reconstituted water, or dechlorinated tap water. Holding, acclimation, and dilution water should 

be temperature controlled and aerated whenever possible. Air used for aeration must be free 

of oil and fumes; filters to remove oil in air are desirable. Test facilities must be well-ventilated 

and free of fumes. During holding, acclimating, and testing, test organisms should be shielded 

from external disturbances. Reference toxicants should be properly stored in a closed area 

separate from the WET testing areas. 

Any materials that come into contact with either effluent or dilution water must not release, 

absorb, or adsorb toxicants. A number of different choices for test equipment are available. 

Glass and No. 304 or 306 stainless steel are generally acceptable for freshwater holding, 

mixing, and test chambers. Stainless steel, however, is not acceptable for saltwater systems. 

Square-sided glass aquaria should be held together with small beads of silicone adhesive, with 

any unnecessary adhesive removed from inside the aquaria. If stainless steel containers are 

used, they must be welded, not soldered. Other specialized containers of nitex or teflon are 

also acceptable. Tanks for storing effluents and dilution water may also be made of fiberglass. 

All containers or tubes made of these materials are reusable with appropriate cleaning (see 

below). 

Polyethylene, polypropylene, polyvinyl chloride, polystyrene, and tygon may also be used for 

containers or tubing, but should be checked for toxicity before being used. Because these 

materials may absorb toxicants during a test, their reuse is discouraged to prevent absorbed 

toxicants from leaching into new effluent or dilution water. 

Copper, galvanized metal, brass, lead, and rubber must not contact the testing solutions at any 

time. 

New plasticware (from a known nontoxic source) can be used after rinsing with dilution water. 

New glassware should be soaked overnight in dilute (20 percent) nitric or hydrochloric acid, 

rinsed in tap water, and then rinsed with dilution water before use. 

Glassware and stainless steel components that must be reused should be soaked in detergent 

and scrubbed (or washed in a laboratory dishwasher), rinsed twice with tap water, rinsed with 

dilute acid, rinsed twice with tap water, rinsed with full strength acetone, rinsed twice with tap 

water, and then rinsed with dilution water before use. Glassware for algae tests should be 

neutralized in sodium bicarbonate before use. 

8-8

Chapter Eight Toxicity 

Test Organisms


Organisms used for toxicity testing are limited to certain species for which there are established


testing protocols (EPA 40 CFR Part 136). Species commonly used in biomonitoring include


daphnids, mysids, fathead minnows, silversides, and algae. The life stage, source, acclimation


and feeding procedures, presence of disease, and the number of organisms placed in test


chambers all affect the degree to which organisms respond to toxicants. Therefore, it is


important that these factors comply with accepted test method procedures. Test conditions for


various types of tests and organisms can be accessed at:


http://www.epa.gov/waterscience/WET.


The inspector should ascertain, as closely as possible, that the following procedures are being 

observed: 

•	 The correct organisms must be utilized in the test (most often as specified in the 

NPDES permit). "Wild" organisms are rarely appropriate in WET testing. Test 

organisms used in toxicity testing must be of known history, free of disease, and 

acclimated to test conditions. Culture information should be recorded. Test organisms 

must also be of the appropriate age. The appropriate number of organisms must be 

used in each test vessel. 

•	 Test organisms should be fed according to the requirements for the particular type of 

test. When feeding is necessary for mysid or fish tests, excess food should be removed 

daily by aspirating with a pipette, to avoid problems such as food buildup leading to 

excessive oxygen demand. 

•	 A daily log (that is a daily bench sheet for each test being performed) should be kept by 

the lab of feeding, reproduction, growth, mortality, and any abnormal behavioral 

observations. 

•	 The following procedures must be adhered to (by the contract laboratory) for holding 

test organisms: 

- Test organisms purchased may be used to start mass cultures. However, if the 

organisms are to be used for testing then they must be no more than 48 hours old (if 

fish, purchased and shipped) and must be <24 hours old (fish, if not shipped, and 

freshwater invertebrates) at the start of the test. Freshwater invertebrates used in a 

test must also have all been released within an 8 hour period, to ensure reproductive 

performance is not impacted. 

- Maintain DO levels above 4 mg/L for warm water species and above 6 mg/L for cold 

water species. 

•	 The laboratory should record the source of test organisms (hatchery, in-house, or 

elsewhere), as well as holding conditions (temperature, dissolved oxygen). 

• Test organisms should be handled as little as possible to minimize stress: 

- Dip nets should be used for large organisms 

8-9

Chapter Eight Toxicity 

- Pipettes should be used for transferring small organisms such as daphnids and 

midge larvae. 

Reference Toxicants 

Reference toxicants are used to evaluate the health and sensitivity of test organisms over time 

and for documenting initial and ongoing laboratory performance. A laboratory performs a 

definitive toxicity test with a reference toxicant at least once per month using each toxicity test 

method conducted in that month. The monthly results are plotted on a control chart to track 

trends in organism health or sensitivity. 

EPA does not require the use of specific reference toxicants and does not set required 

acceptance ranges for reference toxicant testing. Testing laboratories must perform at least 

one acceptable reference toxicant test per month for each type of toxicity test method 

conducted in that month regardless of the source of test organisms. If a test method is 

conducted only monthly, or less frequently, a reference toxicant test must be performed 

concurrently with each effluent toxicity test to document ongoing laboratory performance and 

assess organism sensitivity and consistency when organisms are cultured in-house. When 

organisms are obtained from external suppliers, concurrent reference toxicant tests must be 

performed with each effluent sample, unless the test organism supplier provides control chart 

data from at least the past five months of reference toxicant testing, which will assess organism 

sensitivity and health. The method manuals require a laboratory to obtain consistent, precise 

results with reference toxicant toxicity tests with effluents under the NPDES permits. 

An attempt should be made to match the type of reference toxicant used (e.g., metal or 

chlorinated organic) to the major pollutant in the wastewater tested. Reference toxicant data 

must be included with the contract lab report. 

Reference toxicant test results should not be used as de facto criteria for rejection of individual 

effluent or receiving water tests. The methods manuals provide guidance for what to do when 

more than 1 reference test in 20 reference toxicant tests falls outside of control chart limits, or 

when a reference toxicant test result falls “well” outside of control limits. The laboratory should 

investigate sources of variability, take corrective actions to reduce identified sources of 

variability, and perform an additional reference toxicant test during the same month. 

Conduct of the Test(s) 

Test methods should be used by analysts experienced in the use or conduct of aquatic tests 

and the interpretation of data from aquatic toxicity testing. Test conditions should be those as 

specified in the summary of test condition tables provided for each method. Physical and 

chemical measurements taken during the test (e.g., temperature, pH, and DO) must be 

conducted at a minimum as specified in the method manuals. The test methods should follow 

the procedures as described in each test method section of the manual following the table of 

recommended test conditions. Test organisms should be obtained and added according to the 

guidance in any specific method. 

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Chapter Eight Toxicity 

Recordkeeping and Data Reporting 

Proper recordkeeping is essential to an effective program. Chain-of-custody (COC) procedures 

should consistently be used to document sample transfer. Hand-written entries on bench 

sheets and COC tags must generally be clear and legible. The permittee should maintain a 

sample log containing information as to the date, time, and type of sample taken as well as the 

sampler's name. Unusual conditions should be noted. When evaluating the contract lab's data 

reporting, the inspector should verify that the following are included: 

•	 Summary of test results, description of test conditions, material tested, and other data 

for quality assurance. 

•	 Methods used for all analyses. The method title, method number and method source 

should be provided in the laboratory standard operating procedure (SOP) and test 

report. Tests must be conducted as stated in SOP and laboratory should verify test was 

conducted according to SOP. 

� Date and time test started; date and time test terminated, type and volume of test 

chambers, volume of solution used per chamber, number of organisms per test 

chamber, number of replicate test chambers per treatment. 

� The test temperature (mean and range), details of whether test was aerated or not, 

feeding frequency, and amount and type of food, any pH control measures taken. 

•	 Any deviation from standard test methods. The test endpoint(s), and any deviation(s) 

from method must be clearly noted. 

� The reference toxicity results for tests conducted for the test period with specific test 

details to verify species, temperature, and dilution water used in reference toxicant test. 

� Any acclimation of test organisms (temperature mean and range) and the reason(s) for 

acclimation. 

• Any other relevant information. 

It is important that the contract lab to have a copy of the permittee's NPDES permit, including 

any modifications. By having a copy of the permit, the lab can better ensure that proper test 

procedures are being followed. 

Any deviations from specifications should be documented and described in the data report by 

the testing laboratory. For WET test data submitted under NPDES permits, all required test 

conditions must be met or the test is considered invalid and must be repeated with a newly 

collected sample. Deviations from recommended test conditions must be evaluated on a caseby-case basis to determine the validity of test results. Deviations from recommended test 

conditions may or may not invalidate a test result depending on the degree of the departure and 

the objective of the test. Consideration of the degree of the deviation and the potential or 

observed impact of the deviation on the test result before rejecting or accepting a test result is 

valid. For example, if dissolved oxygen is measured below 4.0 mg/L in one test chamber, the 

reviewer should consider whether any observed mortality in that test chamber corresponded 

with the drop in dissolved oxygen. Whereas slight deviations in test conditions may not 

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Chapter Eight Toxicity 

invalidate an individual test result, test condition deviations that continue to occur frequently in a 

given laboratory may indicated the need for improved quality control in that laboratory. 

Data for each test should be provided as the raw toxicity data in tabular form, including daily 

records of affected organisms in each concentration (including controls) and replicate, and in 

graphical form (plots of toxicity data) and include a table of LC50s, NOECs, IC25, IC50, etc. (as 

required in the applicable NPDES permit). Records should indicate statistical methods used to 

calculate endpoints, and have a summary table of physical and chemical data. Testing 

laboratories should maintain quality assurance/quality control (QA/QC) control charts for 

percent minimum significant difference (PSMD) along with the statistical endpoints such as 

NOEC, LC50, EC25. Testing laboratories should regularly plot the individual raw test data and 

the average treatment responses to examine possible causes of excessive variability. For more 

information on possible contributing factors to WET variability and recommendation for reducing 

it, see sec 7.3 of Understanding and Accounting for Method variability in Whole Effluent Toxicity 

Applications Under the National Pollutant Discharge Elimination System Program, U.S. EPA, 

2000. EPA/833/R-00/003. 

The concentration-response relationship generated for each multi-concentration test must be 

reviewed to ensure that calculated test results are interpreted appropriately. All WET test 

results (from multi-concentration tests) reported under the NPDES program should be reviewed 

and reported according to USEPA guidance on the evaluation of concentration-response 

relationships (USEPA, 2000a). This guidance provides review steps for 10 different 

concentration-response patterns that may be encountered in WET test data. Based on the 

review, the guidance provides one of three determinations: that calculated effect concentrations 

are reliable and should be reported, that calculated effect concentrations are anomalous and 

should be explained, or that the test was inconclusive and the test should be repeated with a 

newly collected sample. It should be noted that the determination of a valid concentrationresponse relationship is not always clear cut. Data from some tests may suggest consultation 

with professional toxicologists and/or regulatory officials. Tests that exhibit unexpected 

concentration-response relationships also may indicate a need for further investigation and 

possible retesting. Each test must be reviewed to ensure that the test acceptability 

requirements have been met and that the data from the calculated test results are interpreted 

appropriately (USEPA, 2002a). Test review should include reviewing reference toxicant testing 

and the within-test variability should be reviewed. EPA's preferred method of data analysis is 

point estimation, but when NPDES permit require sublethal hypothesis testing endpoints, the 

within-in test variability must be reviewed and variability criteria applied. When tests are used 

for non-regulatory purposes, the variability is not required. 

In addition to reviewing the concentration-response relationship, the within-test variability of 

individual tests should be reviewed. When NPDES permits require sublethal hypothesis testing 

endpoints (e.g., reproduction for the Ceriodaphnia dubia test), within-test variability must be 

reviewed and variability criteria must be applied as described in the chapter on “Report 

Preparation and Test Review” of each manual. Compare the PMSD measured in the test with 

the PMSD bounds listed in the report chapter. When the methods are used for non-regulatory 

purposes, the variability criteria are recommended but are not required, and their use (or the 

use of alternative variability criteria) may depend upon the intended uses of the test results and 

the requirements of any applicable data quality objectives and quality assurance plan. 

Within-test variability is measured as the percent minimum significant difference (PMSD) and 

must be calculated and compared to the upper bounds that are established for test PMSDs. 

Tests conducted under NPDES permits that fail to meet this variability criteria and that show “no 

toxicity” at the permitted receiving water concentration (i.e., no significant difference from the 

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Chapter Eight Toxicity 

control at the receiving water concentration or above) are considered invalid and must be 

repeated on a newly collected sample. Lower bounds on the PMSD are also applied, such that 

test concentrations are not considered toxic (i.e., significantly different from the control) if the 

relative difference from the control is less than the lower PMSD bound. 

To avoid penalizing laboratories that achieve unusually high precision, lower PMSD bounds are 

applied when a hypothesis test result (e.g., no observed effect concentration (NOEC) or lowest 

observed effect concentration (LOEC)) is reported. Lower PMSD bounds are based on the 10th 

percentiles of national PMSD data. The 10th percentile PMSD represents a practical limit to the 

sensitivity of the test method because few laboratories are able to achieve such precision on a 

regular basis and most do not achieve it even occasionally. In determining hypothesis test 

results, a test concentration is not considered toxic if the relative difference from the control is 

less than the lower PMSD bounds. See Understanding and Accounting for Method variability in 

Whole Effluent Toxicity Applications Under the National Pollutant Discharge Elimination System 

Program, U.S. EPA, 2000. EPA/833/R-00/003 for specific examples of implementing lower 

PMSD bounds. To reduce within-test variability and to increase statistical sensitivity when test 

endpoints are expressed using hypothesis testing rather than the preferred point estimation 

techniques, variability criteria must be applied during test review when NPDES permits require 

sublethal hypothesis testing endpoints NOEC or LOEC and the effluent is determined to have 

no toxicity at the permitted receiving water concentration. 

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Chapter Eight Toxicity 

8. C. Analysis of Results 

Each test manual has specified test acceptability criteria (e.g., minimum control survival) that 

must be achieved in order to have an acceptable test result. See the summary of test 

conditions and TAC for the specific test method section of the manual. In general, the valid 

interpretation of test results requires that control organisms meet minimum criteria for survival, 

growth, and/or reproduction. 

Mortality in controls must not exceed 10 percent for acute toxicity tests and 20 percent for 

chronic tests (or other values as required by States through their regulations). If control survival 

does not meet 90 or 80 percent for an acute or chronic test, respectively, then results should 

not be used for calculating summary statistics, and a determination of compliance using the test 

results cannot be made. For chronic tests, control organisms also must meet minimum 

requirements for growth and reproduction contained in the methods. Tests not meeting the test 

control acceptability criteria (TAC) to achieve survival, growth, or reproduction are not valid. 

When using dual controls, the dilution water control should be used for determining the 

acceptability of the test and for comparisons with the tested effluent. 

Each test manual has specified acceptable ranges of test conditions that are to be met, such as 

temperature, dissolved oxygen concentration, salinity, pH, light intensity and duration of 

photoperiod, organism loading (numbers or weight per volume), feeding, and cleaning 

procedures. Tests not meeting the other test conditions in the Summary of Test Conditions and 

TAC for the specific test method should be reviewed with caution and referred to the regional 

biologist. For each parameter discussed in these tables, the parameter is either recommended 

(i.e., must do) or required (i.e., should do). For example, the chronic Ceriodaphnia dubia test 

type is static renewal and specified as required. Meaning the test type for this test method 

must be static renewal. For WET test data submitted under NPDES permits, all required test 

conditions must be met or the test is considered invalid and must be repeated with a newly 

collected sample. The inspector should review the EPA methods manual for a more extensive 

discussion of each of these factors. The EPA methods manuals for Whole Effluent Toxicity 

testing can be accessed at: http://www.epa.gov/waterscience/WET. 

After a test has met the required TAC and test conditions, the next step is data review (see 

chapter on “Report Preparation and Test Review” of each manual). Test review should be 

conducted on each test by both the testing laboratory and the regulatory authority. 

The concentration-response relationship generated for each multi-concentration test must be 

reviewed to ensure that calculated test results are interpreted appropriately. EPA provides 

guidance on reviewing concentration-response relationships (USEPA, 2000). Test results that 

do not meet the expected pattern may be determined to be reliable, anomalous, or 

inconclusive. 

Questionable results in an acute test include: 

• Higher mortalities in lower concentrations than in higher concentrations of effluent 

• 100 percent mortality in all effluent dilutions 

• Greater percent mortality in the control than in the lower dilutions of effluent. 

Questionable results in a chronic test include: 

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Chapter Eight Toxicity 

•	 Greater growth or reproduction or fewer terata at higher concentrations of effluent than 

at lower concentrations 

• No growth or reproduction or 100 percent terata at all effluent concentrations 

•	 Less growth or reproduction or more terata in controls than in lower effluent 

concentrations. 

When any of these abnormalities occur (outside of experimental error), the results and test 

conditions should be reviewed by the regional biologist or NPDES toxicologist. It should be 

recognized, however, that often there will be minor variations in test results. For example, 

Ceriodaphnia dubia reproduction may be higher at intermediate concentrations that are not 

toxic but provide a greater food resource than lower concentrations. Thus, variations should 

not always be used to eliminate otherwise valid results. However, if the normally expected 

pattern is not found, summary statistics calculated on the results should be assessed with 

caution - see Understanding and Accounting for Method variability in Whole Effluent Toxicity 

Applications Under the National Pollutant Discharge Elimination System Program, U.S. EPA, 

2000. EPA/833/R-00/003 for specific examples. 

The test results need to be expressed such that compliance with the permittee's WET limits can 

be determined. For the NPDES Permit Program, the point estimation techniques are the 

preferred statistical methods in calculating end points for effluent toxicity tests. 

The following definitions may help the inspector to interpret the results: 

•	 The LC50 (for lethal concentration) is the calculated percentage of effluent (point 

estimate) at which 50 percent of the organisms die in the test period. Usually, the LC50 

is calculated statistically by computer programs that fit the response curve to a 

mathematical function. Computer-based calculation procedures usually print an 

estimate of the error associated with the LC50 estimate. 

•	 The EC50 (for effect concentration) is the calculated concentration (point estimate) at 

which 50 percent of the organisms show a particular effect (not necessarily death). For 

some species (e.g., Ceriodaphnia dubia) where the point of death is not certain, 

immobility is often used as a surrogate for death. Results for responses like the 

immobility responses in Daphnia may be reported as an EC50 (calculated in the same 

manner as the LC50). Often, however, no distinction is made between the EC50 and the 

LC50 when the response is a surrogate for death. 

•	 The No Observed Effect Concentration (NOEC) is the highest tested concentration at 

which the organisms' responses are not statistically different from the control organisms' 

responses. The NOEC [like the Lowest Observed Effect Concentration (LOEC) and 

Chronic Value (ChV) defined in the following paragraph] is normally determined only for 

chronic tests. 

•	 The LOEC is the lowest tested concentration at which organisms' responses are 

statistically different from controls. 

•	 The ChV is the calculated geometric mean of the NOEC and LOEC (the square root of 

the product of the NOEC and LOEC). 

•	 The Inhibition Concentration (IC25) is the calculated percentage of effluent (point 

estimate) at which the organisms exhibit a 25-percent reduction in a non-quantal 

biological measurement such as fecundity or growth. 

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Chapter Eight Toxicity 

•	 The percent response at a criterion concentration is reported. For example, the permit 

or standard may prohibit toxicity at 100 percent effluent or less. In this case, the 

observed percent response at 100 percent effluent would be reported. 

• The response may be reported in Toxic Units (TU), either as Acute TUa or Chronic TUc. 

There is an inverse relationship between toxicity and the effluent concentration percentage 

causing a toxic response. In other words, the same toxicity test response (e.g., LC50), at lower 

percentages of effluent indicates higher toxicity than test results at higher percentages of 

effluent. TUs are defined as 100/LC50 for acute or 100/NOEC for chronic, with the LC50 or 

NOEC expressed as percent effluent. An effluent with an LC50 of 50% has an acute toxicity of 

2.0 acute toxic units (100/50 = 2). Similarly, an effluent with a NOEC of 25% effluent has a 

chronic toxicity of 4 chronic toxic units (100/25). The major advantage of using toxic units to 

express toxicity test results is that toxic units increase linearly as the toxicity of the effluent 

increases. So the magnitude of a TU indicates the degree of toxicity. Therefore, an effluent 

with a TUa of 4 is twice as toxic as an effluent with a TUa of 2. EPA’s Technical Support 

Document for Water Quality-based Toxics Control (EPA/505-2-90-01, 1991) provides a more 

extensice discussion of the application of toxic units and the relevance to NPDES permits. 

EPA’s Technical Support Document (TSD, 1991) provides a more extensive discussion of the 

application of TU’s and their relevance in an NPDES permit. 

In addition to reviewing the concentration-response relationship, the within-test variability of 

individual tests should be reviewed. When NPDES permits require sublethal hypothesis testing 

endpoints (e.g., reproduction for the Ceriodaphnia dubia test), within-test variability must be 

reviewed and variability criteria must be applied as described in the chapter on “Report 

Preparation and Test Review” of each manual. Compare the PMSD mesaured in the test with 

the PMSD bounds listed in the report chapter. When the methods are used for non-regulatory 

purposes, the variability criteria are recommended but are not required, and their use (or the 

use of alternative variability criteria) may depend upon the intended uses of the test results and 

the requirements of any applicable data quality objectives and quality assurance plan. 

See Understanding and Accounting for Method variability in Whole Effluent Toxicity Applications 

Under the National Pollutant Discharge Elimination System Program, U.S. EPA, 2000. 

EPA/833/R-00/003 for specific examples. 

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8-18

8. D. References 

U.S. Environmental Protection Agency. Manual for the Evaluation of Laboratories Performing 

Aquatic Toxicity Tests. EPA-600/4-90/031. 

U.S. Environmental Protection Agency. March 1991. Technical Support Document for Water 

Quality-based Toxics Control. EPA/505-2-90-01 

U.S. Environmental Protection Agency. April 1996. Clarifications Regarding Flexibility in 40 

CFR Part 136 Whole Effluent Toxicity (WET) Test Methods. (EPA Memorandum) 

U.S. Environmental Protection Agency. July 1997. Memo - Clarifications Regarding Whole 

Effluent Toxicity Test Methods Recently Published at 40 CFR Part 136 and Guidance on 

Implementation of Whole Effluent Toxicity in Permits. 

U.S. Environmental Protection Agency. January 1999. Errata for the Effluent and Receiving 

Water Toxicity Testing Manuals. EPA-600/R-98/182. 

U.S. Environmental Protection Agency, OST/EAD. February 1999. Whole Effluent Toxicity: 

Guidelines Establishing Test Procedures for the Analysis of Pollutants, Whole Effluent 

Toxicity Tests; Final Rule, Technical Corrections. 64 FR 4975. 

U.S. Environmental Protection Agency, OWM/WPD. August 1999. Toxicity Reduction 

Evaluation Guidance for Municipal Wastewater Treatment Plants. EPA 833-B-99-002. 

U.S. Environmental Protection Agency, OWM/WPD. June 2000. Understanding and 

Accounting for Method Variability in Whole Effluent Toxicity Applications Under the 

National Pollutant Discharge Elimination System Program. EPA 833-R-00-003. 

U.S. Environmental Protection Agency, OST/EAD. July 2000. Method Guidance and 

Recommendations for Whole Effluent Toxicity (WET) Testing (40 CFR Part 136). EPA 

821-B-00-004. 

U.S. Environmental Protection Agency. March 2001. Clarifications Regarding Toxicity 

Reduction and Identification Evaluations in the National Pollutant Discharge Elimination 

System Program. 

U.S. Environmental Protection Agency, OST/EAD. September 2001. Final Report: Interlaboratory Variability Study of EPA Short-term Chronic and Acute Whole Effluent Toxicity 

Test Methods, Vol. 1. EPA 821-B-01-004. 

U.S. Environmental Protection Agency, OST/EAD. September 2001. Final Report: Interlaboratory Variability Study of EPA Short-term Chronic and Acute Whole Effluent Toxicity 

Test Methods, Vol. 2: Appendix. EPA 821-B-01-005. 

U.S. Environmental Protection Agency, OWM/WPD and ORE. May 2001. Clarifications 

Regarding Toxicity Reduction and Identification Evaluations in the NPDES Program. (EPA 

memorandum and attachment) 

8-19

9. PRETREATMENT 

Contents Page 

A. Review of the General Pretreatment Regulations ............................. 9-1


Development of 40 CFR Part 403 ..................................... 9-1


Summary and Background .......................................... 9-1


Program Development and NPDES Requirements ........................ 9-2


Approval Authority Responsibilities .................................... 9-5


Control Authority Responsibilities ..................................... 9-5


Industry Responsibilities ............................................ 9-8


B. Pretreatment Compliance Inspections (PCIs) and Audits ................... . . . 9-17


Scope of PCIs and Audits .......................................... 9-17


PCI Checklist Components ........................................ . 9-18


Summary of Audit Checklist Components ............................. 9-20


C.	 References ......................................................... 9-23


References ..................................................... 9-23


List of Tables 

9-1. Summary of the General Pretreatment Regulations .......................... 9-10


9-2. Categorical Pretreatment Standards ...................................... 9-15


List of Figures 

9-1. Approval Authority vs. Control Authority .................................... 9-4


Related Websites 

Office of Wastewater Management (OWM) Homepage: http://www.epa.gov/owm 

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9-ii 
9. A.	 Review of the General 

Pretreatment Regulations 

Development of 40 CFR Part 403 

In addition to materials in this chapter, inspectors must be familiar with Chapter 1 -

"Introduction" & Chapter 2 - "Inspection Procedures". 

The Clean Water Act (CWA) requires the Environmental Protection Agency (EPA) to 

promulgate regulations to control the discharge of pollutants to the Nation's waters to preserve 

their physical, chemical, and biological integrity. The National Pollutant Discharge Elimination 

System (NPDES) program is the primary regulatory mechanism developed to control 

point-source discharges to the surface waters of the United States. The National Pretreatment 

Program is the mechanism developed to regulate nondomestic users who discharge pollutants 

to Publicly Owned Treatment Works (POTWs) that could pass through or interfere with the 

treatment plant, threaten worker health and safety, or contaminate sludges. 

The General Pretreatment Regulations [40 Code of Federal Regulations (CFR) Part 403] were 

promulgated on June 26, 1978. The regulations were revised and repromulgated on January 

28, 1981. Since publication of the rule in 1981, the regulations have continued to be revised. 

Amendments have been made to the regulations to clarify some aspects and to respond to the 

findings of the Pretreatment Implementation Review Task Force (PIRT) study conducted in 

1984. Additional regulatory changes were promulgated on July 24, 1990 (55 Federal Register 

30082) in response to recommendations made in the Domestic Sewage Study (DSS) and on 

July 17, 1997, (62 FR 38405-38415) to change procedures. A summary of the General 

Pretreatment Regulations is provided in Table 9-1. Major technical changes resulting from final 

regulatory amendments or court decisions are noted in this table. 

Summary and Background 

The three specific objectives cited in 40 CFR 403.2 of the General Pretreatment Regulations 

are to: 

•	 Prevent the introduction of pollutants that would cause interference with the POTW or 

limit the use and disposal of its sludge 

•	 Prevent the introduction of pollutants that would pass through the treatment works or be 

otherwise incompatible 

•	 Improve the opportunities to recycle or reclaim municipal and industrial wastewaters and 

sludges. 

In addition, improved POTW worker health and safety and reduction of influent loadings to 

sewage treatment plants are further objectives of pretreatment. Briefly stated, the definitions 

for interference and pass through are the following (see 40 CFR 403.3 for the exact definitions): 

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Chapter Nine Pretreatment 

•	 Interference is a discharge that alone or in conjunction with other discharges, disrupts 

the POTW or sludge processes, uses, and disposal, and therefore in turn causes 

violation of any requirement of the POTW's NPDES permit or prevents the POTW from 

using its chosen sludge use or disposal practice. 

•	 Pass through is a discharge that exits the POTWs to waters of the United States in 

quantities or concentrations which, alone or in conjunction with other discharges, causes 

a POTW NPDES permit violation. 

The General Pretreatment Regulations detail the procedures, responsibilities, and requirements 

of EPA, States, POTWs, and industries. To achieve the objectives of the regulations, 

implementation of the program by all regulated entities must be accomplished. The specific 

responsibilities of each are explained below. 

The term Publicly Owned Treatment Works or POTW means a treatment works as defined by 

section 212 of the Act, which is owned by a State or municipality (as defined by section 502(4) 

of the Act). This definition includes any devices and systems used in the storage, treatment, 

recycling and reclamation of municipal sewage or industrial wastes of a liquid nature. It also 

includes sewers, pipes and other conveyances only if they convey wastewater to a POTW 

Treatment Plant. The term also means the municipality as defined in section 502(4) of the Act, 

which has jurisdiction over the Indirect Discharges to and the discharges from such a treatment 

works. 

Many of the specific prohibitions provide municipalities with the basis for instituting a proactive 

capacity, management, operation, and maintenance (CMOM) program, protecting the collection 

system from degradation due to explosion, corrosion, and obstruction. Particularly if locations 

of overflows (Sanitary Sewer Overflows {SSOs} and Combined Sewer Overflows {CSOs}) are 

predictable (based on facility history) and persistent, implementation of these pretreatment 

requirements should be evaluated. 

Guidance manuals developed to assist EPA Regional Offices, States, POTWs, and industries 

with implementation of the General Pretreatment Program are listed in Section C, "References," 

of this chapter. In addition, policy memorandums from the EPA Office of Water Enforcement 

and Permits on pretreatment issues are listed. 

Program Development and NPDES Requirements 

Two terms are important in understanding the General Pretreatment Regulations: "Control 

Authority" and "Approval Authority." Control Authority directly regulates the significant industrial 

users (SIUs) (see glossary for definition) discharging to a POTW. The Control Authority is the 

POTW if the POTW has an approved pretreatment program. In the absence of an approved 

pretreatment program, the NPDES State is the Control Authority, if authorized by EPA. In the 

event neither the POTW nor the NPDES State has an approved pretreatment program, then 

EPA is the Control Authority. The Approval Authority oversees the development and 

implementation of POTW pretreatment programs and, for POTWs without an approved 

pretreatment program, is also the Control Authority that regulates industrial discharges to the 

POTW. The EPA Regional Office is the Approval Authority until a State is approved to 

administer the pretreatment program. Once a State is approved, the EPA Regional Office 

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Chapter Nine Pretreatment 

maintains oversight responsibilities. See Figure 9-1 for a visual representation of Control 

Authority and Approval Authority. 

The NPDES permit must include development and implementation requirements for POTWs 

required to develop a program. Those requirements will thereby become an enforceable 

component of the permit. Part 403.8 of the General Pretreatment Regulations details the 

responsibilities of a POTW during the development of a pretreatment program. Additional 

information on the responsibilities of Control Authorities is provided in the EPA Guidance 

Manual for POTW Pretreatment Program Development (1993) and subsequent EPA guidance 

manuals. 

The Control Authority Pretreatment program is submitted to the Approval Authority, either the 

EPA Regional Office or the approved State. Once approval has been received the state or EPA 

amends the NPDES permit to require the Control Authority to implement the program. 

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Chapter Nine Pretreatment 

Figure 9-1


Approval Authority vs. Control Authority


Delegated States 

Non-Delegated States 

States Assuming Direct Responsibility 

9-4

Chapter Nine Pretreatment 

Approval Authority Responsibilities 

The EPA Regional Office or an approved State administer a pretreatment program. The 

principal tasks for which an Approval Authority (EPA Regional Office or delegated State) is 

responsible are the following: 

•	 Reviewing and approving POTW pretreatment programs and major modifications 

(see "Control Authority Responsibilities" for what Control Authority program 

development entails) 

•	 Overseeing POTW program implementation, i.e., conducting Pretreatment 

Compliance Inspections (PCIs), audits, and annual report reviews 

•	 Providing POTWs with technical assistance on the requirements of the General 

Pretreatment Regulations, categorical pretreatment standards, and POTW 

pretreatment program requirements 

• Notifying POTWs of new and existing program requirements 

• Determining SIU and POTW compliance with all applicable Federal requirements 

•	 Applying and enforcing pretreatment standards and requirements at industries 

discharging to POTWs that do not have an approved local pretreatment program 

• Initiating enforcement action against noncompliant POTWs or industries. 

Part 403.10 of the General Pretreatment Regulations identifies the requirements a State must 

meet to receive approval of the pretreatment program as part of its NPDES authority, that is, to 

become an Approval Authority. For States preferring to assume the responsibility of directly 

regulating industries discharging to POTWs and, hence, being considered the Control Authority 

in lieu of POTWs within the State, 40 CFR 403.10(e) provides that option. 

Control Authority Responsibilities 

Before a Control Authority pretreatment program is approved, the Approval Authority (EPA or 

state) is the Control Authority for industries discharging to the POTW. After program approval, 

the Control Authority becomes responsible for implementing the requirements specified in the 

General Pretreatment Regulations [40 CFR 403.8(f)], the POTW pretreatment program, and 

the requirements of the NPDES permit. Note the permittee must comply with the permit 

regardless of program approval. To fully implement the pretreatment program throughout the 

entire service area, the Control Authority has responsibilities related to several specific areas: 

• Legal authority 

- Deny or place a new or increased discharge condition 

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Chapter Nine Pretreatment 

- Require industrial users (IUs) to comply with applicable pretreatment 

standards and requirements 

- Require development of compliance schedules 

- Carry out all inspection, surveillance, and monitoring procedures to 

determine industrial user compliance 

- Enter premises of industrial users 

- Apply Federal pretreatment standards to IUs 

- Seek injunctive relief for noncompliance 

- Seek or assess civil or criminal penalties of at least $1,000 a day per 

violation 

- Immediately halt a discharge that presents or appears to present an 

imminent endangerment to the health or welfare of persons or to the 

environment or that threatens to interfere with the POTW's operation 

- Comply with confidentiality requirements 

- Develop and enforce an adequate sewer use ordinance 

- Control through permit order, or similar means, the contribution to the 

POTW by each industrial user. Individual control mechanisms that 

contain minimum required elements must be issued to significant 

industrial users. 

• Pretreatment standards 

- Identify and locate all possible industrial users that may be subject to the 

pretreatment program 

- Identify the character and volume of pollutants contributed to the POTW 

- Establish and periodically reevaluate local limits to ensure protection of 

the POTW from interference or pass through and to ensure the use or 

disposal of POTW sludge 

- Notify all industrial users of appropriate pretreatment standards, any 

changes to the regulations, and requirements of the Resource 

Conservation and Recovery Act (RCRA) 

- Update the industrial survey to identify new industries that should be 

regulated by the POTW pretreatment program, and identify changes in 

manufacturing processes and wastewater discharge characteristics at 

existing facilities 

- Comply with public participation requirements. 

9-6

Chapter Nine Pretreatment 

• Industrial user compliance and enforcement 

- Establish reporting, inspection, and monitoring requirements and 

procedures to enable evaluation of compliance, including proper QA/QC 

and chain-of-custody procedures for sampling and analysis 

- Inspect and sample industrial users. At a minimum, significant industrial 

users must be sampled and inspected at least once a year 

- Evaluate each significant industrial user at least once every 2 years for 

the need for a slug discharge control program 

- Perform sampling and analysis in a manner to produce evidence 

admissible in enforcement proceedings or in judicial actions. 

- Develop and implement an enforcement response plan to guide 

compliance evaluation and enforcement activities 

- Evaluate industry compliance by reviewing and analyzing industrial user 

self-monitoring reports and Control Authority monitoring data 

- Investigate instances of noncompliance 

- Initiate appropriate enforcement action to bring users into compliance 

- Establish other procedures as required and/or determined to be needed 

to regulate the significant industries discharging to the POTW. 

• Public participation 

- Publish at least annually, in the local newspaper with the greatest 

circulation, a list of the industrial users that were in significant 

noncompliance within the past 12 months as defined in 40 CFR 

403.8(f)(2)(vii) 

- Notify the public of any changes to the sewer use ordinance or local limits 

after approval by the Approval Authority 

- Submit pretreatment program modifications to Approval Authority. 

• Data management 

- Maintain records of pertinent industrial user activities and compliance 

status 

- Maintain a current understanding of the categorical pretreatment 

standards and General Pretreatment Regulations, and notify industries of 

any changes 

- Provide the Approval Authorities with any reports required. 

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Chapter Nine Pretreatment 

• Resources 

- Provide adequate resources and qualified personnel for program 

implementation 

As pretreatment needs change, the Control Authority may need to revise the approved 

program. When this occurs, the Control Authority should submit the modifications to the 

Approval Authority for review and approval. 

Industry Responsibilities 

Industrial dischargers to POTWs must comply with the following: 

•	 Prohibited discharge standards—The general and specific prohibited discharge 

standards (40 CFR 403.5) noted in Table 9-1. 

•	 Appropriate pretreatment standards—Categorical pretreatment standards (40 

CFR Parts 405-471), State requirements, or locally developed discharge 

limitations as per 40 CFR 403.5. 

•	 Reporting requirements—As specified in 40 CFR 403.12 and/or by the POTW. 

The requirements provided in 40 CFR 403.12 are summarized in Table 9-1. 

The types of industrial facilities that are categorical industries are listed in Table 9-2. EPA has 

developed categorical pretreatment standards for these industries based on the type of wastes 

produced by the manufacturing processes at each type of industry, the wastewater control 

technologies available to the industry, and economic considerations. The categorical 

pretreatment standards developed apply to the wastewaters from specific manufacturing 

processes. The standards apply at the point of discharge from the pretreatment unit for the 

regulated process, or if there is no pretreatment unit, they apply at the end of the regulated 

process. 

Where the Control Authority has determined that specific limitations for certain pollutants of 

concern are needed to protect the POTW from interference, pass through, and sludge 

contamination, the Control Authority must develop and enforce such limitations. These local 

limitations generally are applied at the point where the industrial facility discharges to the 

POTW. 

An industry must meet the more stringent pretreatment standard for each pollutant. For a 

categorical industry, this will be the categorical pretreatment standard or a local limit for each 

pollutant regulated. If the point at which the Control Authority's limitation applies is not the 

same as the point at which the categorical pretreatment standard applies, the control authority 

will have to either compare a calculation to adjust the categorical pretreatment standard to the 

discharge limitations or sample at both points so that they can determine compliance with 

categorical standards and local limits. 

When evaluating the pretreatment standards to determine the appropriate limitation, the 

inspector should note that different categorical pretreatment standards were developed for each 

type of industry. If the industry combines the flows from more than one regulated process or 

9-8

Chapter Nine Pretreatment 

combines a regulated process flow with other flows before these wastes are treated, the Control 

Authority and the industry must adjust the categorical pretreatment standard using the 

Combined Wastestream Formula (CWF). The equation is provided in 40 CFR 403.6(e) of the 

General Pretreatment Regulations. If the wastewaters are mixed after treatment, the 

categorical pretreatment standards must still be adjusted, in this case by flow weighted 

averaging of all flows introduced prior to the sample point. In either case, the resulting 

alternative limit cannot be set below the level of detection for that pollutant. Additional 

information on the combined wastestream formula and the flow weighted averaging formula is 

provided in EPA's Guidance Manual for Implementing Production-Based Pretreatment 

Standards and the Combined Wastestream Formula (1985). 

Categorical industries have specific reporting requirements as per 40 CFR 403.12. A summary 

of the reports that categorical industries are required to submit is provided in Table 9-2. A 

Control Authority may require additional reports from all industries discharging to the system, 

including categorical industries. 

9-9

Chapter Nine Pretreatment 

Table 9-1


Summary of the General Pretreatment Regulations


403.1 Purpo se and Applicab ility 

403.2 Objectives of General Pretreatment Regulations 

403.3 Definitions 

403.4 State or Local Law 

The Federal General Pretreatment Regulations are not meant to affect any State or 

local regulatory requirements as long as these requirements are at least as stringent as 

the Federal regulations. 

403.5 National Pretreatment Standards: Prohibited Discharges 

This section specifies general and specific prohibited discharge standards that Control 

Authorities must incorporate into their pretreatment programs. The general prohibitions 

specify that pollutants introduced into POTW s by a nondomestic source shall not pass 

through the POTW or interfere with the operation or performance of the works. The 

section provides that Control Authorities required to develop local pretreatment 

programs and POTW s where interference and pass through are likely to recur develop 

and enforce specific limitations (local limits) to implement the general prohibitions 

against interference, pass through, and sludge contamination. 

The specific prohibitions specify prevention of discharge of pollutants that cause any of 

the following at the POTW: 

•	 Fire or explosion hazard, including no discharge with a closed-cup flashpoint of 

less than 60°C (140°F) using test methods in 40 CFR 261.21 

• Corrosive structural damage (no pH<5.0) 

• Obstruction to the flow in the POTW 

• Interference 

• Heat causing inhibition of biological activity and temperatures at the POTW 

treatment plant to exceed 40°C (104°F) 

• Petr oleum oils, no nbiod egra dab le cut ting o ils, or p rodu cts o f min eral o ils in 

amounts that will cause interference or pass through 

• Fum e toxicity or rea ctivity 

• Trucked or hauled pollutants except at designated discharge points. 

Additionally, industrial users are provided with an affirmative defense (if specified 

conditions are met) for actions brought against them for alleged violations of the general 

or specific prohibitions contained in this section. 

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Chapter Nine Pretreatment 

Table 9-1 

Summary of the General Pretreatment Regulations 

(Continued) 

403.6 National Pretreatment Standards: ical Standards Categor

This section discusses development and implementation of categorical pretreatment 

standards including, but not limited to, compliance deadlines, concentrations and mass 

limits, prohibition of dilution as a substitute treatment, and the Combined Wastestream 

Formula (CWF) to determine discharge limitations. 

403.7	 Revision of Categorical Pretreatment Standards to Reflect POTW Removal of 

Pollutants 

This section (referred to as the removal credits provision) provides the criteria and 

procedures to be us ed by a POT W in revis ing the pollu tant discharge limits spec ified in 

categorical pretreatment standards to reflect removal of pollutants by the POTW. 

403.8 Pretreatment Program Requirements: Development & Implementation by POTW 

This section covers the requirem ents for pretrea tme nt program developm ent by a 

Control Authority. Included in this section are criteria for determining which POTWs 

must develop pretreatment programs, incorporation of approved programs and 

compliance schedules into NPDES permits, deadlines for program approvals, and 

program and funding requirements. 403.8(f) sets out the requirements of a POTW 

program . Specifically, it requires the Control Authority to have sufficient legal authority 

to enforce the approved pretreatm ent program . The section also dis cusses that all 

Control Authorities with approved programs, or programs under development, must 

develop and implem ent procedures to ensure c ompliance with the requirem ents of a 

pretreatment program. 

403.9	 Control Authority Pretreatment Programs and/or Authorization to Revise Pretreatment 

Standards: Submission for Approval 

This section discusses requirements and procedures for submission and review of 

Control Authority pretreatment programs. Included in this section are discussions of 

conditional program approval, approval authority action, and notification where 

submissions are defective. 

403.10 Development and Submission of NPDES State Pretreatment Programs 

This section discusses requirements and procedures for submission and review of 

NPDES State pretreatment programs. Included in this section are discussions of 

approvals and deadlines for State programs, legal authority, program and funding 

requirements, and contents of program submissions. 

403.11	 Approval Procedures for Control Authority Pretreatment Programs and Revision of 

Categorical Pretreatment Standards 

This section provides the administrative procedures for the review and approval or 

denial of Control Authority pretreatment program submissions and requests for removal 

cred it auth ority. 

9-11

Chapter Nine Pretreatment 

Table 9-1 

Summary of the General Pretreatment Regulations 

(Continued) 

403.12 Reporting Requirem ents for POTW s and Industrial Users 

This section presents reporting requirements for Control Authorities and industrial 

users. Reports required by industrial users include the following: 

•	 Baseline Monitoring Report (BMR). Due to the Control Authority within 180 

days of the effective date of the categorical pretreatment standards (40 CFR 

403.6). In addition, new source BM R rep orting requirem ents are discussed in 

this section. 

•	 Com pliance schedule progress reports. Due to the Control Authority within 14 

days of completion of compliance schedule milestones or due dates. 

•	 90-day compliance repo rt. Due to the Control Authority within 90 days of the 

compliance date of the categorical standards. 

•	 Periodic reports on continued compliance. Due to the Control Authority at least 

semiannually, usually in June and December after the compliance date. 

•	 Notices of potential problems including slug loadings. Due to the Control 

Authority immediately upon identification of discharges, including slug loadings 

that could cause problems to the POTW for both noncategorical and categorical 

industries. 

•	 Notice of changed discharge. Due to the Control Authority from categorical and 

noncategorical users in advance of any significant change in volume or 

character of pollutants discharged. 

•	 Notice of violation and resampling. Notification due to the C ontrol Authority 

within 24 hours of noting a violation; results of resampling due within 30 days. 

•	 Notification of hazardous waste discharge. Notification to the POTW, EPA, and 

State Hazardous Waste authorities of the hazardous wastes discharges to the 

POTW. 

Reports required from Control Authorities include the following: 

•	 Compliance schedule (for development of pretreatment programs) progress 

reports 

• Annual POTW reports. 

Also discussed in detail in this section are monitoring requirements for industrial users 

and signatory and recordkeeping requirements for Control Authorities and industrial 

users. 

9-12

Chapter Nine Pretreatment 

Table 9-1 

Summary of the General Pretreatment Regulations 

(Continued) 

403.13 Variances from Categorical Pretreatment Standards for Fundamentally Different 

Factors 

This provision allows an industrial user, or any interested person, to request a variance 

for the establish ment of lim its either m ore or less stringent than that required by a 

categorical pretreatment standard. The primary criterion re quired for approval of this 

variance is that the fa ctors relating to the indu strial user's disch arges be fundamentally 

different from factors considered by EPA in establishing categorical pretreatment 

standards for these discharges. 

403.14 Confide ntiality 

This section covers confidentiality requirements and prohibitions for EPA, States, and 

Control Authorities. Effluent data are available to the public without restriction. 

403.15 Net/Gross Calculation 

This provision provides for adjustment of categorical pretreatment standards to reflect 

the presence of pollutants in the industrial user's intake water. 

403.16 Upset Provision 

This provision is consistent with the NPDES regulations and allows an upset of an 

indus try's pretrea tme nt system (which meets the conditions of an upse t as specified in 

this provision) to be an affirmative defense to an action brought for noncom pliance with 

categorical pretreatment standards. The industrial user shall have the burden of proof 

for such a defense. 

403.17 Bypass 

This provision requires industrial users to operate their treatment systems at all times 

and includes criteria for allowing a bypass to occur and notification procedures for both 

an anticipated and unanticipated bypass. 

403.18 Modification of Control Authority Pretreatment Programs 

This provision s pecifies procedures and criteria for "minor" an d "substantial" 

modifications to approved Control Authority pretreatment programs and incorporation of 

substantial modifications into the Contro l Authority. 

403.19 Provisions of specific applicability to the Owatonna W aste W ater Treatment Facility 

This section provides specific regulatory requirements for the Owatonna Waste W ater 

Treatment Facility and its participating Industrial Users to implement a project under the 

Project XLC program in Steele County, Minnesota. This project requires includes legal 

authorities and requirements that are different than the administrative requirements 

otherwise specified in 40 CFR Part 403. 

403.20 Pretreatment Program Reinvention Pilot Projects Under Projects XL 

This section provides administrative procedures to allow any POTW with a final "Project 

XL" agreement to implement a Pretreatment Program that includes legal authorities and 

requirements that are different than the administrative requirements otherwise specified 

in 40 CFR Part 403. 

9-13

Chapter Nine Pretreatment 

Table 9-1 

Summary of the General Pretreatment Regulations 

(Continued) 

Appendix A Program Guidance Memorandum 

This m emorandum summarizes the Agency's policy on the use of construction grants 

for treatment and control of combined sewer overflows and storm water discharges. 

Appendix B [Reserved] 

Appendix C [Reserved] 

Appendix D	 Selected Industrial Subcategories Considered Dilute for Purposes of the Combined 

Wastestream Formula (previously titled "Selected Industrial Subcategories Exempted 

from Regulation Pursuant to Paragraph 8 of the NRDC v. Costle Consent Decree" 

The Appendix D published on January 21, 1981, provided a list of industrial 

subcategories that had been exempted (pursuant to paragraph 8 of the NRDC vs. EPA 

Consent Decree) from regulation by categorical pretreatment standards. Appendix D 

was revised on October 9, 1986, to update the list of exempted industrial categories and 

to correct previous errors by either adding or removing various subcategories or by 

changing the names of some categories or subcategories. Each of the subcategories, 

as indicated by the revised Appendix D title, contains wastestreams that are classified 

as dilute for purposes of applying categorical pretreatment standards to other 

wastestreams and for using the combined wastestream formula to adjust these 

standards. 

Appendix E Sampling Procedures 

This appendix provides a general description of composite and grab sampling 

procedures. 

Appendix F 

Appendix G 

[Reserved] 

Pollu tant E ligible f or a P olluta nt Cr edit 

9-14

Chapter Nine Pretreatment 

Table 9-2


Categorical Pretreatment Standards


Industrial Categories With Categorical Pretreatment 

Standards in Effect 

Effluent Guidelines Currently Under 

Develo pme nt* 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 

N 

E 

E 

E 

E 

E 

E 

E 

E 

E 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

N 

Aluminum Forming (Part 467) 

Battery Manufacturing (Part 461) 

Builder's Paper and Board Mills (Part 431) 

Carbon Black Manufacturing (Part 458) 

Centralized Waste Treatment (Part 437) 

Coil Coating (Part 465) 

Copper Forming (Part 468) 

Electrical an d Electro nic Com ponen ts 

(Part 469) 

Electroplating (Part 413) 

Fertilizer Manufacturing (Part 418) 

Glass Manufacturing (Part 426) 

Grain Mills Manufacturing (Part 406) 

Ink Formulating (Part 447) 

Inorganic Chemicals (Part 415) 

Iron and Steel Manufacturing (Part 420) 

Leather Tanning and Finishing (Part 425) 

Metal Finishing (Part 433) 

Metal Molding and Casting (Part 464) 

Nonferrous Metals Forming and Metal 

Powders (Part 471) 

Nonferrous Metals Manufacturing (Part 421) 

Organic Chemicals, Plastics, and 

Synthetic Fibers (Part 414) 

Paint Formulating (Part 446) 

Paving and Roofing Materials (Part 443) 

Pesticide Chemicals (Part 455) 

Petroleum Refining (Part 419) 

Pharmaceutical Manufacturing (Part 439) 

Porcelain Enameling (Part 466) 

Pulp, Paper, and Paperboard (Part 430) 

Rubber Manufacturing (Part 428) 

Soap and Detergent Manufacturing 

(Part 417) 

Steam Electric Power Generating (Part 423) 

Timber Products Processing (Part 429) 

Transportation Equipment Cleaning (Part 442) 

Waste Com bustors (Part 444) 

• Metal Products and M achinery 

• Pulp, Paper, and Paperboard, Phases 2 

and 3 

• Meat P roducts 

• Aquatic Animal Production 

E = Standards in effect for existing sources. 

N = Standards in effect for new sources. 

*From August 2000, Effluent Guideline Plan [304(m )]. 

9-15

Chapter Nine Pretreatment 

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9-16

Chapter Nine Pretreatment 

9. B.	 Pretreatment Compliance 

Inspections (PCIs) and Audits 

Scope of PCIs and Audits 

The Pretreatment Compliance Inspection (PCI), the pretreatment program audit, and the 

program performance report (submitted at least annually by the POTW) provide an opportunity 

for EPA and State officials to assess the program and determine compliance of the Control 

Authority's pretreatment program. 

EPA uses the PCI is to evaluate Control Authority compliance monitoring and enforcement 

activities. The inspector also determines whether any changes have been made to the Control 

Authority program since the last PCI, audit, performance report (i.e., annual report), or Control 

Authority modification request for approval. The NPDES inspector collects information on 

Control Authority program implementation for further evaluation by compliance personnel. 

The inspector may conduct the PCI in conjunction with other NPDES inspections to conserve 

travel resources and allow integration of information on a POTW's operations. PCIs are 

compatible with Compliance Evaluation Inspections (CEIs), Compliance Sampling Inspections 

(CSIs), Performance Audit Inspections (PAIs), Diagnostic Inspections (DIs), and other 

nonroutine inspections, such as Toxics Sampling Inspections, and Compliance Biomonitoring 

Inspections. The inspector may combine a PCI with a site visit regarding sludge compliance as 

discussed in Chapter Ten. 

Note that the POTW personnel involved in a CSI may be different from the ones involved in a 

PCI. Also, PCIs and audits rely heavily on file and record reviews to evaluate the Control 

Authority's pretreatment program. These records may have little bearing on the sampling 

inspection of the treatment facility. This distinction of a PCI to a CSI should be addressed 

during planning for the inspection. 

Audits provide as a comprehensive review of the Control Authority pretreatment program. The 

audit addresses all of the items covered in a PCI but in greater detail. Consequently, the audit 

is more resource intensive than the PCI. 

Procedures for conducting PCIs and audits are similar. In general, there are three major 

components: 

• Pre-visit preparation for the PCI or audit 

- Coordination with the EPA Regional or State Pretreatment Coordinator 

- Review of background information: approved program, Control Authority annual 

reports (if available), NPDES permit compliance status, Control Authority fact sheet, 

previous inspection reports, and program modification requests from the Control 

Authority 

9-17

Chapter Nine Pretreatment 

- Notification of Control Authority (if appropriate). 

• Onsite 

- Entry (presenting credentials)


- Opening conference with Control Authority officials


- Review of pretreatment files


- Industrial inspections (optional)


- Interview of officials using PCI or audit checklist


- Tour of POTW (optional)


- Closing conference.


• Follow-up 

- Preparation of report


- Water Enforcement National Data Base (WENDB) data entry into PCS


- Reportable Noncompliance/Significant Noncompliance (RNC/SNC) determination


- Follow-up letter to the Control Authority


- Enforcement action (when necessary)


- NPDES permit or program modifications (when necessary).


If a PCI is conducted with an unannounced NPDES inspection, it also may be unannounced, 

but the Control Authority officials should be notified of the PCI upon arrival of the inspection 

team. At many POTWs, personnel responsible for implementing the program may not be the 

same as those operating the treatment plant. 

The protocol involved in the onsite portion of the inspection is comparable to that of other 

NPDES inspections. The Pretreatment Program PCI or audit includes a tour of industrial 

facilities discharging to the POTW. This aspect is unique to the Pretreatment Program. The 

tour is optional for PCI, but mandatory for audits and may be included to evaluate the Control 

Authority’s procedures for properly categorizing, monitoring and inspecting industries. For more 

detailed information on conducting PCIs and audits, refer to EPA's Guidance for Conducting a 

Pretreatment Compliance Inspection (September 1991), and Control Authority Pretreatment 

Audit Checklist and Instructions (May 1992). 

See the PCI and audit guidance manuals, respectively for detailed checklists. 

PCI Checklist Components 

EPA developed the PCI checklist to assist NPDES inspectors in conducting and documenting 

the PCI. The checklist consists of the following sections: 

•	 Cover page—Provides space for Control Authority name, address, and representatives 

present, as well as the date(s) of the inspection and inspectors' names, titles, and 

telephone numbers. 

•	 Section I: Industrial User File Evaluation—This section documents problems or 

deficiencies noted during review of industrial user files. Generally, the inspector reviews 

the files to determine whether the Control Authority has notified the industrial user of 

applicable categorization and requirements, issued an adequate control mechanism, 

9-18

Chapter Nine Pretreatment 

properly applied pretreatment standards, conducted sufficient compliance monitoring 

activities, and taken appropriate enforcement actions for violations. 

•	 Section II: Supplemental Data Review/Interview—The inspector completes this section 

by interviewing the appropriate Control Authority personnel and enables the inspector to 

determine compliance with program requirements not easily determined by the file 

review or to acquire additional information. This section contains questions on the 

following six pretreatment program areas: 

- Control Authority Pretreatment Program Modifications


- Industrial User Characterization


- Control Mechanism Evaluation


- Application of Pretreatment Standards and Requirements


- Compliance Monitoring


- Enforcement.


•	 Section III: Evaluation and Summary—This section consists of the same six 

pretreatment program areas listed above and allows the inspector to summarize 

deficiencies noted and any corresponding required and/or recommended corrective 

actions. 

•	 Attachment A: Pretreatment Program Status Update—This section provides an update 

of the pretreatment program's status. It should be updated prior to the PCI, based on 

information from the most recent PCI or audit and latest pretreatment program 

performance report and should be revised during the inspection based on information 

obtained during the PCI, if necessary. 

•	 Attachment B: Pretreatment Program Profile—This section provides information on the 

Control Authority's approved pretreatment program, NPDES permit conditions, and 

applicable pretreatment regulations. 

9-19

Chapter Nine Pretreatment 

• Attachment C: Worksheets 

- WENDB Data Entry Worksheet—The WENDB data elements provide information to 

be entered in the Pretreatment Permits and Enforcement Tracking System (PPETS). 

This management information system tracks the permit compliance and enforcement 

status of approved pretreatment programs. 

- Reportable Noncompliance (RNC) Worksheet—This worksheet evaluates whether 

the Control Authority is in RNC for failure to implement its approved pretreatment 

program. 

- IU Site Visit Report—This report documents any industrial user site visits that were 

conducted as part of the PCI. 

- IU File Evaluation Worksheets—These optional worksheets assist the inspector in 

documenting and quantifying the Control Authority's performance in applying 

standards, compliance monitoring, and enforcement activities. 

In addition to the completed checklist, the inspector will include other materials collected during 

the PCI in the final report as appendices, e.g.,: 

• Example of Control Authority control mechanism or enforcement actions 

• Names of industries that were not sampled or inspected in the past year 

• Control Authority's Enforcement Response Plan (ERP) 

• Annual list of industrial users in significant noncompliance. 

See the EPA's Guidance for Conducting a Pretreatment Compliance Inspection (September 

1991) the PCI checklist . The manual goes through each checklist section individually and 

explains the intent of the questions. As noted earlier, the manual provides more detailed 

information concerning the procedures for conducting the PCI. 

Summary of Audit Checklist Components 

The audit checklist has been developed to assist with a detailed review of a POTW 

pretreatment program, including pretreatment program modification, legal authority, industrial 

user characterization, control mechanism evaluation, application of pretreatment standards and 

requirements, compliance monitoring, enforcement, data management/ public participation, 

resources, and environmental effectiveness/pollution prevention. The audit checklist is divided 

into the following sections: 

• Cover page 

• Section I: Industrial User File Evaluation 

• Section II: Data Review/Interview/Industrial User Site Visits 

• Section III: Findings 

• Attachment A: Pretreatment Program Status Update 

• Attachment B: Pretreatment Program Profile 

•	 Attachment C: Worksheets 

- Industrial User Site Visit Data Sheet 

- WENDB Data Entry Worksheet 

9-20

Chapter Nine Pretreatment 

- RNC Worksheet. 

The audit checklist collects more detailed information than the PCI checklist and, as with the 

completed PCI checklist, also may be augmented by additional audit data: 

• NPDES pretreatment permit conditions 

•	 Control Authority enforcement documents with pretreatment requirements (i.e., 

administrative order, consent decree) 

•	 Locally developed discharge limitations as included in the approved program (or any 

limits that have been changed by the Control Authority) 

• Copy of sewer use ordinance if different from that in the approved program 

• Control Authority sampling and inspection schedule for regulated industries 

• List of industries not sampled or inspected in the past year 

• Control Authority chain-of-custody form 

• List of noncompliant industries and history of enforcement actions taken 

• Annual list of industrial users in significant noncompliance. 

The audit checklist is part of the Control Authority Pretreatment Audit Checklist and Instructions 

(May 1992). The manual provides specific guidance on conducting an audit and using the 

checklist. 

9-21

Chapter Nine Pretreatment 

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9-22

9. C. References 

EPA's Guidance for Conducting a Pretreatment Compliance Inspection (September 1991) 

contains a comprehensive list of reference materials (publications and memorandums) 

available from U.S. EPA or the Pretreatment Coordinator in your Region. References 

published since the publication of the Pretreatment Guidance are listed below. 

Checklists for conducting pretreatment compliance inspections and audits are provided in 

EPA's Guidance for Conducting a Pretreatment Compliance Inspection (September 1991) and 

Control Authority Pretreatment Audit Checklist and Instructions (May 1992). The checklist 

provides a list of questions that should be considered during an audit or PCI. The inspector 

should contact the Regional or State Pretreatment Coordinator before a PCI or an audit is 

done. 

References 

Memoranda 

Applicability of pH Waivers to Pretreatment Standards (May, 13, 1993). 

Determining Industrial User Significant Noncompliance (January 17, 1992). 

Determining Industrial User Compliance Using Split Samples (January 21, 1992). 

Statistical Assessment of National Significant Industrial User Noncompliance 

(July 23, 1992). 

Use of Grab Samples to Detect Violations of Pretreatment Standards (October 1, 1992). 

Using Split Samples to Determine Industrial User Noncompliance (April 12, 1993). 

EPA Guidance 

U.S. Environmental Protection Agency. 1985. Guidance Manual for Implementing ProductionBased Pretreatment Standards and the Combined Wastestream Formula. 

U.S. Environmental Protection Agency. February 1991. Control of Slug Loadings to POTWs: 

Guidance Manual. 21 W-4001. 

U.S. Environmental Protection Agency. May 1991. Supplemental Manual on the Development 

and Implementation of Local Discharge Limitations Under the Pretreatment Program. 

U.S. Environmental Protection Agency. September 1991. Guidance for Conducting a 

Pretreatment Compliance Inspection. EPA300/R-92-009. 

9-23

Chapter Nine Pretreatment 

U.S. Environmental Protection Agency. May 1992. Control Authority Pretreatment Audit 

Checklist and Instructions. 

U.S. Environmental Protection Agency. June 1992. Guidance to Protect POTW Workers from 

Fume Toxic and Reactive Gasses and Vapors. EPA 812-B-92-001. 

U.S. Environmental Protection Agency. 1993. Guidance Manual for POTW Pretreatment 

Program Development. EPA 833/B-83-100. 

U.S. Environmental Protection Agency. April 1994. Industrial User Inspection and Sampling 

Manual for POTWs. EPA 831-B-94-001. 

U.S. Environmental Protection Agency. June 1994. Multijurisdictional Pretreatment Programs 

Guidance Manual. EPA 833-94-005. 

U.S. Environmental Protection Agency. October 1998. Procuring Analytical Services: 

Guidance for Industrial Pretreatment Programs. EPA 833-B-98-004. 

U.S. Environmental Protection Agency. February 1999. Introduction to the National 

Pretreatment Program. EPA 833-B-98-002. 

U.S. Environmental Protection Agency. September 1999. Guidance Manual for Control of 

Wastes Hauled to Publicly Owned Treatment Works. EPA 833-B-98-003. 

9-24

10. SEWAGE SLUDGE (BIOSOLIDS) 

Contents Page 

A. Review of the Sewage Sludge Regulations (Biosolids) ........................ 10-1


Land Application Requirements ..................................... 10-3


Surface Disposal Requirements ..................................... 10-5


Incineration Requirements ........................................ . 10-6


B. Sludge (Biosolids) Inspection Procedures ................................. 10-12


Scope of Inspection Activities ...................................... 10-12


Inspection Preparation ........................................... 10-13


Records Review ................................................ 10-14


Facility Site Review .............................................. 10-17


Sampling and Laboratory Quality Assurance (QA) ...................... 10-18


C.	 References and Sludge Inspection Checklist ............................... 10-36


References .................................................... 10-36


Sludge Inspection Checklist ....................................... 10-42


List of Tables 

10-1. Records Relevant for Sludge Operations ............................... 10-20


10-2. Operating Records for Specific Unit Processes ........................... 10-21


10-3. Sludge Sampling Points ............................................ 10-23


10-4. Recordkeeping Requirements for Class A Pathogen Reduction Alternatives .... 10-27


10-5. Recordkeeping Requirements for Class B Pathogen Reduction Alternatives .... 10-29


10-6. Recordkeeping Requirements for Vector Attraction Reduction Sludge Processing 


Options ......................................................... 10-30


10-7. Sludge Handling Process Evaluation ................................... 10-31


10-8. Pollutants Monitored for Land Application, Surface Disposal, and Incineration ... 10-35


10-i 
Chapter Ten Contents 

List of Figures 

10-1. Sludge Quality Requirements for Land Application Uses .................... . 10-8 

10-2. Land Applied Sludge Requirements Based on Level of Treatment Achieved ..... 10-9 

10-3. Sludge Quality Requirements for Surface Disposal ........................ 10-10 

Associated Appendices 

L. Approved Methods for the Analysis of Sewage Sludge (40 CFR Part 503) 

Related Websites 

Office of Wastewater Management (OWM) Homepage: http://www.epa.gov/owm 

Office of Science and Technology (OST) Homepage: http://www.epa.gov/ost 

10-ii 
Chapter Ten Sewage Sludge (Biosolids) 

10. A. Review of the Sewage Sludge 

Regulations (Biosolids) 

In addition to materials in this chapter, inspectors must be familiar with Chapter 1 -

"Introduction" & Chapter 2 - "Inspection Procedures". 

Section 405 of the Clean Water Act (CWA) mandated the development of a Federal sludge 

management program. On February 19, 1993, Environmental Protection Agency (EPA) 

promulgated technical standards for the use or disposal of sewage sludge [see 40 Code of 

Federal Regulations (CFR) Part 503, 58 Federal Regulation (FR) 9248]. These regulations 

contain technical standards for three sewage sludge use or disposal practices: land 

application, surface disposal, and incineration. The National Pollutant Discharge Elimination 

System (NPDES) regulations had previously been revised in preparation for the issuance of the 

final technical standards. As NPDES permits are reissued, they include sludge use or disposal 

requirements. However, the Federal 503 sludge regulations are the minimum requirements 

that apply to and are enforceable against a facility engaged in a regulated sludge use or 

disposal practice, regardless of whether that facility's NPDES permit contains sludge use or 

disposal conditions. Thus, the NPDES permit is not a shield in the case of noncompliance with 

sludge requirements. This means that as of February 19, 1994, inspectors are expected to 

identify at a minimum violations of Part 503 requirements. Then if appropriate the enforcement 

authority can issue a notice of violation or take other appropriate enforcement actions. 

The Federal and State sludge management programs currently regulates the use and disposal 

of sewage sludge, which is the residual generated from the treatment of domestic sewage in a 

treatment works. Facilities, such as Publicly Owned Treatment Works (POTWs), which are 

subject to NPDES permit conditions for aqueous discharges to surface waters are now, as 

generators and preparers of sewage sludge, subject to the 503 regulations. In addition, the 

sludge program includes other facilities that have not been a part of the NPDES program 

because they were not point sources of discharge to waters of the United States. Examples of 

facilities that are now regulated and that may eventually receive permits for the use and 

disposal of sewage sludge include sewage sludge incinerators, composting facilities, and 

sewage sludge surface disposal sites. Note, the Part 503 regulation also includes simplified 

requirements for the land application of domestic septage. 

Although the regulations refer to the residual generated from the treatment of domestic sewage 

as sludge, the term “biosolids” is the current term in general use for those sewage sludges 

which have been treated and conditioned through biological, chemical, and/or physical 

processes for the purpose of beneficial reuse as a soil amendment for growing plants and 

trees. 

While EPA was in the process of finalizing more comprehensive regulations to address the use 

or disposal of sewage sludge, there were existing Federal regulations that applied to the land 

application and landfilling of sludge. These regulations, issued as interim final criteria in 40 

CFR Part 257, were promulgated jointly under the authority of the CWA and the Resource 

Conservation and Recovery Act (RCRA) in 1979. Regulations relating to sewage sludge land 

disposal practices are promulgated in 40 CFR Part 258 for disposal of sewage sludge in 

Municipal Solid Waste Landfills (MSWLFs) and 40 CFR Part 503 for sewage sludge use or 

10-1

Chapter Ten Sewage Sludge (Biosolids) 

disposal by land application, surface disposal, or incineration replaced them. The application of 

industrial sludge to the land continues to be regulated by 40 CFR Part 257. In addition, the 

Clean Air Act (CAA) regulations under 40 CFR Parts 60 and 61 continue to apply to the 

operations and air emissions of sewage sludge incinerators. The relevant requirements in 40 

CFR Part 258 and 40 CFR Parts 60 and 61 are described below. 

40 CFR Part 258—On October 9, 1991, EPA promulgated regulations under Part 

258 that established criteria for MSWLFs and standards for the co-disposal of 

sewage sludge with municipal solid waste. Part 503 requires that sewage sludge 

be sent to a MSWLF to comply with the appropriate Part 258 requirements. 

Because the material that is disposed of in MSWLFs is very diverse (e.g., 

household garbage, commercial solid waste and sewage sludge), the approach 

to regulating solid waste is different. Instead of regulating pollutants in the solid 

waste, Part 258 imposes design, operation, and maintenance requirements on 

the final disposal site. Although pollutant limits are not imposed, sludge to be 

disposed of must be nonhazardous, as demonstrated by using the Toxicity 

Characteristic Leaching Procedure (TCLP) and pass a paint filter test to 

demonstrate the sludge has no free liquids. 

40 CFR Part 60, Subpart O —Emission standards for particulates and opacity and 

operational standards are specified for new source sewage sludge incinerators. New 

source incinerators are those constructed after June 11, 1973. If mixed municipal 

waste is being incinerated, then Subpart Ea—Standards of Performance for Municipal 

Waste Combustors—apply. 

40 CFR Part 61, Subparts C & E —Standards were promulgated under authority 

of the CAA that limit the emission of beryllium and mercury from sewage sludge 

incinerators. The Part 503 sludge regulations require compliance with the Part 

61 beryllium and mercury emission standards. 

In general, the Part 503 regulations apply the following types of requirements to the three 

sewage sludge use or disposal practices: 

•	 Pollutant limits [9 pollutants under land application (40 CFR 503.13), 3 pollutants under 

surface disposal (40 CFR 503.23), and 7 pollutants under incineration (40 CFR 503.43)] 

• Pathogen and vector attraction reduction requirements 

• Management practices for siting and operation of sludge use or disposal activities 

• Minimum monitoring requirements 

• Specific recordkeeping and reporting requirements. 

A brief explanation of the requirements that apply to each sewage sludge use or disposal 

practice is provided below. 

10-2

Chapter Ten Sewage Sludge (Biosolids) 

Land Application Requirements 

Pollutant Limits 

The regulations establish four types of limits that regulate 9 pollutants. Figure 10-1 illustrates 

which limits apply, based on the final sludge use; conversely, Figure 10-2 illustrates which 

requirements apply, based on the level of treatment achieved. 

•	 Ceiling Concentration Limits — Express these limits as milligram of pollutant per 

kilogram of sludge on a dry weight basis that can be land applied. 

•	 Cumulative Pollutant Loading Rates (CPLRs) — Express these limits as the total 

amount of pollutant (kilograms) in sludge that does not meet pollutant concentration 

limits that can be applied to an area (hectare) of land. When this loading rate is 

reached, no additional sludge can be applied to the site. 

•	 Pollutant Concentration Limits –- Express these limits as the monthly average 

concentration of pollutant milligram per kilogram of sludge on a dry weight basis. They 

apply to sewage sludge sold or given away in a bag or other container and as an 

alternative limit to CPLRs for bulk sewage sludge. 

•	 Annual Pollutant Loading Rates — Express these limits are the amount of pollutant 

(kilograms) in a bagged product that does not meet the monthly average pollutant 

concentration limits that can be applied in a 365-day period on an area (hectare) of land. 

This loading rate limits the amount of sewage sludge product sold or given away in a 

bag or other container on a dry weight basis that can be applied each year. 

All sewage sludge that is land applied under the requirements of the land application portion of 

Part 503 must meet the (Table 1) Ceiling Concentration Limits. However, appliers of sewage 

sludge that meets the “High Quality” (Table 3) Pollutant Concentration Limits do not need to 

track cumulative loadings of pollutants for this material, while appliers of material that does not 

meet the “High Quality” Table 3 values but does meet the Table 1 values are required to limit 

pollutant loadings from sewage sludge application to the (Table 2) Cumulative Pollutant 

Loading Rates (CPLRs). 

Sewage sludge products that are sold or given away by the facility or retailer in bags or other 

containers must meet the “High Quality” (Table 3) Pollutant Concentration Limits, or meet the 

(Table 1) Ceiling Concentration Limits and be applied at an annual sewage sludge product 

application rate that is based on the (Table 4) Annual Pollutant Loading Rate. 

Management Practices 

The five management practices in 40 CFR 503.14 are intended to supplement the pollutant 

limits and provide additional protection to endangered species and their habitats, surface water, 

wetlands, groundwater, and human exposure to the sludge. Four are applicable to bulk sludge; 

one is applicable to bagged or containerized sludge. 

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Chapter Ten Sewage Sludge (Biosolids) 

Operational Standards: Pathogen and Vector Attraction Reduction Requirements 

There are two categories of pathogen reduction requirements: Class A [40 CFR 503.15, 

503.32(a)] and Class B [40 CFR 503.15, 503.32(b)] (with associated public access and site use 

restrictions on the use of Class B sludge). 

•	 Class A requirements [40 CFR 503.32(a)] result in pathogens, at or below the detection 

limits of the methods ( at the time of regulatory development) and sewage sludge that 

may be used without site restrictions or limiting public access. 

•	 Class B requirements [40 CFR 503.32(b)] significantly reduce (but do not eliminate) the 

pathogens in the sludge and require a waiting period before the land on which the 

sludge was applied may be used for certain activities. 

Sludge that is sold or given away by the facility or retailer in a bag or other container must meet 

Class A requirements. Apply only Class A bulk sludge to lawns or home gardens. Apply only 

Class A or Class B bulk sewage sludge elsewhere (i.e., agricultural land, forest, or reclamation 

sites). 

Under Part 503, six alternative approaches are available for achieving Class A sludge. Three 

alternatives (with specific site restrictions for use of the treated sludge) are provided for 

achieving Class B sludge. 

EPA retained substantially the same pathogen reduction requirements in the Part 503 

regulation as were used as the basis of the Part 257 requirements. Therefore, among the 

alternatives to achieve Class B sludge is treatment using one of the Processes to Significantly 

Reduce Pathogens (PSRP). Similarly, Class A sludge may be achieved by using one of the 

Processes to Further Reduce Pathogens (PFRP). 

Land applied sludge is subject under the Part 503 regulations to vector attraction reduction 

requirements to reduce the characteristics of the sludge that attract disease vectors (i.e., 

insects that are capable of transporting infectious agents, ultimately to humans). Part 503 

requires compliance with one of eight vector attraction reduction treatment alternatives if the 

sludge will be sold or given away in a bag or other container [40 CFR 503.33(a)(3)]. Bulk 

sewage sludge applied to lawns or home gardens must also meet one of eight vector attraction 

reduction treatment alternatives [40 CFR 503.33(a)2)]. Bulk sewage sludge applied elsewhere 

must meet one of 10 treatment alternatives [40 CFR 503.33(a)1)]. 

Monitoring, Recordkeeping, and Reporting Requirements 

As with other NPDES provisions, while the permitting authority may reduce monitoring 

frequencies based upon consistent demonstrated performance for at least 2 years, Part 503 

requires a minimum monitoring frequency (e.g., once per year). (For example, a case might be 

made for the minimum monthly or quarterly monitoring requirements for a particular parameter 

by a larger facility to be reduced based upon consistent performance, but not below a minimum 

of once per year.) 

Part 503 recordkeeping requirements differ depending on the type of pollutant limits applied. 

Recordkeeping requirements, including certification statements specified in Part 503, are 

imposed on generators/preparers, while other specific recordkeeping requirements are imposed 

on appliers. The regulations require the facility to retain the specific information for 5 years, 

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Chapter Ten Sewage Sludge (Biosolids) 

except that some information on applicable cumulative pollutant loading rates must be retained 

by the facility indefinitely. 

While all facilities must maintain records, only a subset must report under the Part 503 

regulations. Those facilities that must report at least once per year are listed below. 

• Class I sludge management facilities 

• POTWs with a design capacity equal to or greater than 1 Million Gallons per Day (MGD) 

• POTWs serving a population of 10,000 or more. 

Surface Disposal Requirements 

Surface Disposal includes monofills (sewage sludge-only landfills), dedicated disposal surface 

application sites, (e.g., where sewage sludge pollutants may be applied under controlled 

conditions at higher than the agronomic rate for disposal purposes even though there may also 

be beneficial use aspects), as well as piles or mounds, and impoundments or lagoons where 

the sewage sludge remains on the land beyond 2 years unless it can be affirmatively 

documented that such operations are “treatment” or “temporary storage” rather than permanent 

disposal sites. 

Pollutant Limits 

The 40 CFR 503.23 regulates three pollutants. Limits apply to sewage sludge that is placed on 

or in a surface disposal site that does not have a liner and leachate collection system. There 

are no pollutant limits on sewage sludge placed in sewage sludge units equipped with a liner 

and leachate collection system. The distance between the active sewage sludge unit and the 

site property line/boundary determine the specific pollutant limits that apply; the closer the 

distance to the boundary, the more stringent the limits (see Figure 10-3). An owner/operator 

can request site-specific pollutant limits; the permitting authority established these limits 

through a permit. 

Management Practices 

The 40 CFR 503.24 established a total of 14 management practice requirements. Many are 

one-time surface disposal site location restrictions. Others address operational activities (e.g., 

leachate and runoff collection systems, methane gas monitoring) and post-closure activities. 

Operational Standards 

Under the Surface Disposal requirements (40 CFR 503.25), sewage sludge must meet one of 

the Class A or Class B pathogen reduction alternatives unless the sewage sludge is covered 

with soil or other material daily. The inspector should note, however, that the Class B site 

restrictions only apply to land applied sewage sludge. Surface disposed sludge must also meet 

one of eleven vector attraction reduction alternatives. 

Monitoring, Recordkeeping, and Reporting Requirements 

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Chapter Ten Sewage Sludge (Biosolids) 

Regulations require monitoring and recordkeeping requirements (40 CFR 503.26 to 503.28), 

including certification statements, for the sludge generator or final preparer and/or the owner/ 

operator of the surface disposal site. Regulation require minimum monitoring frequencies 

based on the volume of sludge disposed. The facility must maintain all records for 5 years. 

The same classes of facilities identified under the land application section must report at least 

once per year. 

Incineration Requirements 

Pollutant Limits 

The regulations cover a total of seven pollutants in sewage sludge that is incinerated. Limits for 

five metals are calculated by the permitting authority based on site-specific factors using the 

equations specified in 40 CFR 503.43. Limits for the other two pollutants (mercury and 

beryllium) are derived from air emission standards promulgated under 40 CFR Part 61. These 

limits appear in the permit issued to the owner/operator of the sewage sludge incinerator. 

Operational Standards 

The 40 CFR 503 establishes an average monthly standard on the total hydrocarbons or carbon 

monoxide concentration in the exit gases of an incinerator to protect from excessive emissions 

of organic pollutants. 

Management Practices 

The seven management practices in 40 CFR 503.45 ensure that certain instruments are 

correctly installed, calibrated, operated, and maintained; that incinerator maximum combustion 

temperature and air pollution control equipment operating standards are established; and that 

endangered species and their habitats are protected. The specific management practice 

requirements should be established by the permitting authority based on site-specific factors 

and should appear in the incinerator's permit. 

Monitoring, Recordkeeping and Reporting Requirements 

The 40 CFR 503.47 and 503.48(a), imposes monitoring requirements for sewage sludge to be 

incinerated on the owner/operator of the incinerator. The 40 CFR 503.46 to 503.48 requires 

monitoring (a) of sewage sludge for pollutant (i.e., seven metals) concentrations; (b) of 

incinerator stack exit gases for total hydrocarbon or, alternatively, carbon monoxide (CO), 

oxygen concentrations, and moisture content; and (c) of incinerator combustion temperatures 

and air pollution control equipment operating parameters. Monitoring requirements to 

demonstrate compliance with Part 61 beryllium and mercury standards are also likely to be 

imposed on owners/operators of sewage sludge incinerators (40 CFR 503.47(d)(e). 

Records required to be maintained by owners/operators of incinerators are specified both in 40 

CFR 503.47 and site-specific conditions in the NPDES or sludge permit. 

As specified in 40 CFR 503.48, the same classes of facilities identified under the land 

application section are required to report at least once per year. Reporting requirements are 

imposed on owners and operators of sewage sludge incinerators. 

10-6

Chapter Ten Sewage Sludge (Biosolids) 

Figure 10-1


Sludge Quality Requirements for Land Application Uses


10-7

Chapter Ten Sewage Sludge (Biosolids) 

Figure 10-2


Land Applied Sludge 


Requirements Based on Level of Treatment Achieved


10-8

Chapter Ten Sewage Sludge (Biosolids) 

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10-10

10. B. Sludge (Biosolids) Inspection 

Procedures 

Scope of Inspection Activities 

Inspectors should verify compliance with the following general activities: 

• Sludge monitoring, recordkeeping, and reporting 

• Sludge treatment operations 

• Sludge sampling and laboratory Quality Assurance (QA). 

EPA intends for the evaluation of sludge management activities to be incorporated into the 

existing inspection structure so that inspection resources can be used most efficiently. The 

inspector can identify and investigate problems that might contribute to noncompliance with 

sludge requirements during any inspection site visit. The Pretreatment Compliance Inspection 

(PCI), the Compliance Evaluation Inspection (CEI), and the Performance Audit Inspection (PAI) 

are the most likely vehicles for evaluating compliance with sludge requirements. Examples of 

how the NPDES inspector may use existing NPDES inspections when evaluating sludge 

requirements are presented below. 

•	 CSI—The Compliance Sampling Inspection (CSI) is used if the inspector decides that 

sludge sampling is necessary to determine compliance with applicable requirements. 

•	 CEI—The inspector has historically looked at sludge treatment as part of the 

Compliance Evaluation Inspection (CEI) because of its effect on wastewater treatment. 

This evaluation of sludge treatment should be expanded to include a review of sludge 

monitoring, reporting, and record-keeping, and a more comprehensive evaluation of the 

Operation and Maintenance (O&M) of sludge treatment processes, to evaluate 

compliance with sludge permit requirements. 

•	 PAI—The Performance Audit Inspection (PAI) may evaluate compliance with sludge 

monitoring requirements, and evaluate the permittee's sludge sampling and analytical 

procedures. 

While NPDES inspectors are not required to conduct an in-depth compliance assessment of 

sludge final use and disposal practices when such practices occur away from the treatment 

plant, it can help ascertain the vector reduction compliance status at these sites rather than at 

the Wastewater Treatment Plant (WWTP). In situations where final use and disposal 

requirements have been established in the facility's NPDES permit (e.g., management practices 

such as 10-meter buffer zones between the sludge application site and surface waters) and the 

activity is offsite, the inspector should verify compliance with those requirements through a 

records review at the facility. As part of a sampling inspection, the inspector may need to 

sample the sludge to determine compliance with pollutant limits. 

EPA intends to focus sludge inspection activities on those aspects of sludge management that 

the inspector can easily evaluate during an existing NPDES compliance or pretreatment 

inspection. Inspectors will rely on an evaluation of sludge treatment operations, the observation 

10-11

Chapter Ten Sewage Sludge (Biosolids) 

of onsite sludge storage and disposal activities, and the review of sludge monitoring and 

disposal records to identify actual and potential noncompliance with sludge requirements. 

Inspectors should document compliance or noncompliance with sludge final use or disposal 

requirements in accordance with standard NPDES compliance inspection procedures. An 

inspection checklist is useful for documenting that all necessary information has been collected. 

Inspection checklists are included at the end of this chapter. These checklists are based on the 

checklists in EPA's Guidance for NPDES Compliance Inspector: Evaluation of Sludge 

Treatment Processes (EPA November 1991) and Guidance for NPDES Compliance Inspector: 

Verifying Compliance with Sludge Requirements (EPA November 1991), as modified by EPA 

Region 8. The checklists should be used in conjunction with the checklist questions found in 

the 1991 guidance manuals. However, sludge permits may contain additional sludge permit 

conditions, based on case-by-case considerations, that are not included on the checklist. The 

inspector should identify additional permit requirements and verify compliance with these 

conditions as well. To accomplish this, it is recommended that the inspector expand the 

checklist, if necessary, to ensure that it is specific to the NPDES permit and the sludge final use 

or disposal activity. The inspector should complete the checklist and should incorporate his/her 

findings and conclusions in the final inspection report prepared for the facility. 

The NPDES compliance inspector should consult EPA's 1991 Guidance for NPDES 

Compliance Inspector: Evaluation of Sludge Treatment Processes when preparing to conduct a 

sludge inspection. This technical reference presents a detailed examination of sludge unit 

processes and also contains extensive technical checklists that summarize the most critical 

elements of sludge thickening, stabilization, conditioning, dewatering, and disinfection. A 

technical understanding of the proper design and operation of the sludge treatment processes 

is essential for conducting thorough and informed sludge inspections. 

Inspection Preparation 

On preparing for the inspection, the inspector should: 

•	 Review the NPDES Permit (or the facility's sludge permit, if applicable). When 

reviewing the NPDES permit file in preparation for the inspection, identify: 

- Permit conditions applicable to sludge including treatment; general requirements; 

management practices; and monitoring, reporting, and recordkeeping requirements 

- Any additional requirements in the NPDES permit that may reflect State regulations. 

Additionally, the NPDES permit may incorporate a separate State permit by 

reference, in which case the State permit is also enforceable under the Federal 

CWA. 

• Review sludge self-monitoring data 

• Become familiar with the sludge disposal practices used 

•	 Review appropriate Federal regulations (i.e., 40 CFR Part 503 Regulations, or Part 258 

if sludge is disposed of in a municipal solid waste landfill, and any other applicable State 

or local regulations) 

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Chapter Ten Sewage Sludge (Biosolids) 

•	 Review relevant guidance for background information and implementation procedures 

(e.g., guidelines on calculating agronomic rate, EPA's Process Design Manuals for Land 

Application of Municipal Sewage Sludge and Municipal Sludge Landfills, Control of 

Pathogens and Vector Attraction in Sewage Sludge) 

•	 Verify that records kept by the permittee help in evaluation of compliance with sludge 

requirements. 

Records Review 

The Part 503 sludge regulations contain recordkeeping and reporting requirements. The 

facility's NPDES or sludge permit may have additional recordkeeping or reporting requirements. 

The inspector should conduct an evaluation of the sludge records and reports found at the 

facility to determine compliance with these recordkeeping and reporting requirements. The 

inspector should use the procedures listed below for these routine inspections. If suspected 

violations are uncovered during the routine evaluation, a more intensive investigation should be 

conducted. 

The inspector should check in the records review process, the evaluation of compliance with 

sludge recordkeeping requirements on the following: 

• Does the facility have all required information available for review? 

• Does the facility address all regulated pollutants and sludge use and disposal practices? 

• Does the facility have all the current sludge information? 

•	 Does the facility maintain sludge records for at least 5 years (commencing July 20, 

1993)? 

•	 Does the facility’s information contained in the sludge records support the data 

submitted to the permitting authority? 

• Does the facility’s records indicate areas needing further investigation? 

The inspector should also identify whether violations of sludge-related permit requirements 

(e.g., concentration limits and/or management practices) have been reported to the control 

authority, as required by the permit. Finally, the inspector should verify that the permittee has 

notified EPA of any changes to sludge use or disposal practices. 

Evaluation Procedures 

The inspector should first review the permit and fact sheet and list all sludge recordkeeping 

requirements. Table 10-1 is a list of records that may be relevant for sludge. This list is 

supplemented by Table 10-2, which describes records relevant to the operation of specific 

sludge treatment unit processes. Throughout the inspection, compare the facility's operations 

with the permit conditions to verify that required permit activities for sludge are correct, current, 

and complete. 

10-13

Chapter Ten Sewage Sludge (Biosolids) 

An evaluation of sludge self-monitoring records and/or procedures involves the same elements 

as an evaluation of their wastewater monitoring data; however, there are some special 

considerations inherent in sludge sampling. In evaluating the permittee's records, inspectors 

should look for documentation regarding: 

•	 Regulated Pollutants—As identified in the NPDES permit or applicable Federal or State 

regulations. 

•	 Monitoring Frequency—As identified in the NPDES permit or applicable Federal or State 

regulations. The inspector should note that Part 503 establishes minimum monitoring 

frequencies based on the quantity of sewage sludge used or disposed of. 

•	 Sample Location—The appropriate sampling point is the last treatment process the 

sludge goes through before leaving the treatment plant for use or disposal. For 

example, if digested sludge is land applied, the sludge should be sampled as it is 

transferred from the digester to the truck prior to being hauled offsite. Table 10-3 

identifies sludge sampling points appropriate for the various types of treated sludge. 

•	 Sample Types—Grabs or composites may be appropriate depending on the situation, 

but it is important to note that a grab sample from a lagoon, drying bed, compost pile, or 

truck must consist of numerous samples collected from various places in the lagoon, 

bed, pile, or truck and must be combined to make a representative sample. 

•	 Sample Volume—If evaluating the sample collection process or taking samples, the 

inspector must ensure that the container is not filled completely. Some space should be 

left to allow for expansion of the sample due to gas production. Rapid cooling of the 

sample will also reduce gas production. (Refer to Appendix L for specific sample 

volumes.) 

•	 Sample Containers—Sample containers are generally the same types as those used for 

collection of wastewater samples, except that sludge sampling containers should be 

wide mouth bottles. (Refer to Appendix L for a description of the appropriate container 

material.) 

• EPA Sample Identification Methods—Same as for wastewater sampling. 

•	 Preservation and Holding Times—The primary difference in sludge preservation is that 

samples should not be chemically preserved in the field because the sludge matrix 

makes it difficult to thoroughly mix the preservative into the sample. However, samples 

should be iced. (Refer to Appendix L.) 

• Chain-of-custody—Same as for wastewater sampling. 

• Quality Control—Same as for wastewater sampling. 

•	 Analytical procedures used by lab—The analytical methods used for sludge are different 

from those used for wastewater. Approved analytical methods are listed in Part 503 (40 

CFR 503.8). For example, Part 503 requires that analyses for inorganic pollutants use 

the procedures in Test Methods for Evaluating Solid Waste, Physical/Chemical 

Methods, EPA publication SW-846. The inspector should note the information recorded 

regarding sample handling and analysis at the laboratory and verify that it is correct. If 

10-14

Chapter Ten Sewage Sludge (Biosolids) 

evaluating the laboratory, the procedures are the same as those followed in a PAI. The 

inspector should look at: 

– Analytical procedures 

– Laboratory services 

–	 Instruments and equipment 

� Calibration 

� Maintenance 

– Supplies 

–	 Quality Assurance/Quality Control (QA/QC) 

� Precision and accuracy of measurement process 

� Data handling and reporting 

� Records retention 

� Personnel qualifications. 

•	 Analytical Results—Verify that results documented in the files are consistent with those 

reported. 

The inspector should verify that reporting requirements are fulfilled according to the permit and 

applicable regulations. The NPDES permit may or may not have specific reporting 

requirements; however, the Part 503 sludge standards have specific reporting requirements 

that apply regardless of whether they appear in the NPDES permit. The May 1989 revisions to 

the NPDES regulations established required permit conditions regarding notification of change 

and at least annual reporting of sludge monitoring results. As NPDES permits are reissued, 

they will contain, at a minimum, these standard conditions as well as conditions specified in Part 

503. Based on the applicable requirements, the inspector should verify that: 

• Reports contain all required information 

• Reports are submitted at the required frequency 

• Data are reported in Discharge Monitoring Report (DMR) or other approved form. 

Inspectors should review unit operation records to verify compliance with pathogen and vector 

attraction reduction requirements. Tables 10-4, 10-5, and 10-6 list the records and operating 

requirements for the Part 503 Class A pathogen reduction alternatives, the Class B pathogen 

reduction alternatives, and the vector attraction reduction options, respectively. Inspectors are 

not expected to review each monitoring record, but rather to verify that records are being 

maintained and are available for review. If a permittee has problems meeting either its 

pathogen or vector attraction reduction requirements (e.g., fecal coliform or percent volatile 

solids reduction), the inspector should review treatment operating records to identify potential 

noncompliance with the particular operating requirements specified in Part 503 for the particular 

pathogen and vector reduction process employed by the permittee. For example, an inspector 

might check a treatment facility's pH or temperature records to determine whether the sludge 

has been maintained at the appropriate pH or temperature for the required duration during 

treatment. 

The inspector should verify that records are available for all disposal practices: 

• Volume of sludge disposed of 

• Sludge quality data 

•	 Specific records appropriate for demonstrating compliance with the general 

requirements, management practices, and operational standards. 

10-15

Chapter Ten Sewage Sludge (Biosolids) 

The inspector should verify whether records are maintained in accordance with permit 

requirements. The May 1989 NPDES regulatory revisions created a mandatory permit 

condition requiring that sludge records be kept for 5 years. The Part 503 regulations establish 

specific recordkeeping requirements for each party involved in the sewage sludge use or 

disposal process. 

Facility Site Review 

Inspection of Solids Handling Unit Processes 

Sludge processing arguably poses the greatest challenges in wastewater treatment from the 

standpoints of design, operation, and maintenance. 

When conducting the walk-through visual inspection of the facility, the inspector should be 

aware of, and look for, physical conditions that are indicative of potential or existing problems. 

Some of the more common indicators of potential problems are listed in Table 10-7. The 

presence of these conditions may warrant a more in-depth inspection of the sludge treatment 

processes. A checklist is provided at the end of this chapter to assist the inspector during the 

facility site review. The questions on this checklist are sludge-specific and should be asked in 

conjunction with the Facility Site Review checklist. In addition, many of the questions in the 

NPDES checklist relate to the overall operation of the facility and therefore, can also be applied 

to sludge evaluations (e.g., treatment units properly operated and maintained). The inspector 

should look for conditions that indicate potential or existing problems. If the inspector finds 

conditions that are a potential problem, this may trigger a more detailed evaluation. EPA has 

developed guidance and checklists for conducting in-depth evaluations of each of the most 

common sludge treatment unit processes, Guidance for NPDES Compliance Inspectors: 

Evaluating Sludge Treatment Processes, November 1991. 

The inspector should determine whether the facility is operating its sludge treatment and 

disposal processes in a manner consistent with the requirements established in its NPDES 

permit. If the inspector discovers conditions at the facility that threaten public health or the 

environment (e.g., contaminating groundwater or surface water, exposing the public to 

pathogens or disease vectors, or compromising public safety), the inspector should inform the 

enforcement staff so that appropriate action can be taken. If knowing endangerment is 

discovered, the criminal investigations unit should be informed. 

Many large-scale operations are conducted outside, such as sludge drying, composting, 

temporary and long-term storage, and loading and hauling. Inspectors should note these 

outside operations' exposure to rainfall and runoff collection and treatment methods. If storm 

water collection devices have been constructed, the inspector should evaluate the performance 

and maintenance of these devices as well as their design capacity (e.g., the 10-year 24-hour 

storm event or the 25-year 24-hour storm event). Visual observations can detect obvious 

problems that may contribute to the contamination of surface water or groundwater such as 

erosion, breaches of dikes or berms, or cracks in the concrete or asphalt. The inspector should 

inquire as to whether the capacity of the collection devices has ever been exceeded during any 

storm event. 

The sludge loading area should be inspected to determine how the sludge is being hauled or 

transported. The inspector should note the size of the truckloads and the number of truckloads 

10-16

Chapter Ten Sewage Sludge (Biosolids) 

hauled over a 1-day period (or another time period). These figures are useful to the inspector 

in verifying the permittee's records and reports on the volume of sludge generated and 

disposed of. 

Sludge Storage 

The inspector should also verify that the permittee has adequate storage capacity for its sludge 

in the event that its preferred disposal method is interrupted for any reason (e.g., 

noncompliance with cumulative loading rates on the land application site). There are no 

Federal requirements specifying a minimal storage capacity; the appropriate capacity will vary 

depending on the amount of sludge generated and the facility's use or disposal option(s). 

Storage capacity should address normal, routine storage prior to disposal and should anticipate 

emergency conditions, such as: 

• Equipment malfunction 

• Inclement weather 

•	 Unanticipated loss of disposal site 

- Farmer decides to discontinue use of sewage sludge 

- Landfill violates requirements and may no longer accept sludge or is required to 

close. 

Some States have developed storage capacity requirements. If the permittee cannot dispose 

of its sludge in the preferred manner, it should have either adequate storage capacity for its 

sludge or clearly established plans for alternative methods of disposal. 

Sampling and Laboratory Quality Assurance (QA) 

The sludge inspection should evaluate the nature, scope, and adequacy of sludge sampling 

and analysis conducted by the permittee. The most likely, existing inspection vehicle for 

conducting this evaluation is the PAI, since it involves a detailed assessment of the permittee's 

self-monitoring activities, including sample collection and laboratory analysis. The findings of 

the sampling and laboratory QA review should be summarized and included in the final 

inspection report for the facility. 

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Chapter Ten Sewage Sludge (Biosolids) 

Sampling Procedures and Techniques 

The inspector's evaluation of the permittee's sludge sampling procedures will address similar 

criteria as those evaluated in the context of wastewater sampling. The sampling procedure 

elements that should be evaluated during the inspection include: 

•	 Sample collection techniques 

- Selection of representative sampling sites 

- Sample types 

- Sample volume 

- Sample containers 

• EPA sample identification methods 

• Sample preservation and holding time 

• Chain-of-custody and shipment of samples 

•	 Quality Control (QC) 

- Duplicates 

- Blanks 

• Data handling and reporting. 

A detailed discussion on evaluating these elements can be found in Chapter Five. While many 

of these elements are evaluated using the same criteria, regardless of the media being 

sampled, sludge sample collection techniques and sample preservation are different. The 

inspector should review EPA's sewage sludge sampling video and refer to EPA's 1989 POTW 

Sludge Sampling and Analysis Guidance Manual for detailed information regarding sludge 

sampling procedures. Table 10-3 of this document summarizes appropriate sample locations. 

Appendix L lists sample containers, preservation techniques, and holding times as a quick 

reference for the inspector. In addition to these references, a few special sludge sampling 

considerations are described below. 

•	 Equipment. The equipment used to collect sludge samples is different from that used to 

collect wastewater samples. The automatic composite samplers used to collect wastewater 

cannot be used to collect sludge samples because the high solids content of the sludge 

fouls the tubing. The type of equipment used to collect samples of soil or other solid waste 

material is more appropriate for the collection of sludge samples. Stainless steel buckets, 

trowels, and augers are typically used to collect solid sludge cake. Graduated glass or 

plastic pitchers or cylinders, or plastic or stainless steel buckets are used to collect liquid 

sludge samples. 

•	 Sample Location. If the permit does not identify a specific sludge sampling location, the 

inspector must select one. (See EPA's sewage sludge sampling video for an overview of 

this process.) EPA's 1989 POTW Sludge Sampling and Analysis Guidance Manual states 

that for purposes of enforcement, sludge samples must come from the treatment unit 

process immediately prior to sludge disposal or end use. Often, the last unit process is one 

of the dewatering processes described in the accompanying technical guidance. 

Table 10-3, from EPA's 1989 Sampling and Analysis Guidance Manual, suggests 

appropriate sampling points for a variety of unit processes. 

10-18

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-1


Records Relevant for Sludge Operations


Sludge Use/Disposal Records 

� Volume 

� Type of use and/or disposal options used 

� Use/disposal sites 

� Loading rates of pollutants (e.g., agronomic ) at each land application site 

Sludge Operating Records


� Daily operating log


� Equipment maintenance scheduled and completed


� Detention time, operating temperature, or pH to evaluate pathogen reduction


Sludge Monitoring Records


� Constituents/pollutants in sludge


� Mass of sludge generated and disposed of (in dry metric tons per year)


Sludge Sampling and Analytical Data


� Dates, times, and locations of sampling


� Sampling protocols and analytical methods


� Results of analyses


� Dates and times of analyses


� Name(s) of analysis and sampling personnel


Sludge Laboratory Records 

� Calibration and maintenance of equipment 

� Laboratory bench sheets or logs and calculations 

� Quality Assurance/Quality Control (QA/QC) records 

10-19

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-2


Operating Records for Specific Unit Processes


THICKENING PROCESSES 

Gravity Thickening Dissolved Air Flotation Centrifuge 

� Overflow volume/rate 

� Influent flow 

� Percent solids 

- Sludge feed 

- Thickened sludge 

- Overflow 

� Sludge blanket de pth 

� Sludge feed rate 

� Recycle flow 

� Daily operating time 

� Percent solids 

- Sludge feed 

- Thickened sludge 

- Subnatant 

� Floating sludge dep th 

� Air flow rate 

� Retention tank press ure 

� Percent solids ca pture 

� Detention time 

� Air to solid ratio 

� Influent sludge flows 

� Volume cake produced 

� Percent solids 

- Sludge feed 

- Centrate 

- Sludge cake 

� Daily operating time 

STABILIZATION PROCESSES (Pathogen and/or Vector Attraction Reduction) 

Aerobic Digestion Anaerobic Digestion Incineration 

� Air supply 

� Solids retention time 

� Temperature 

� DO level 

� pH 

� Feed sludge 

- TS, TVS, and pH 

- Flow rate 

� Digested sludge 

- SOUR 

- TS, TVS, and pH 

- Flow rate 

� Supernatant 

- Flow rate and BOD 

- TSS and ph 

� Detention time 

� Temperature 

� pH and alkalinity 

� Gas production an d quality 

� Volatile acids 

� Feed sludge 

- TS, TVS, and pH 

- Flow rate 

� Digested sludge 

- TS, TVS, and pH 

- Flow rate 

� Supernatant 

- Flow rate and BOD 

- TSS and pH 

� Cleaning frequency 

� Operating schedu le 

� Sludge feed 

- Solids content 

- Feed rate 

- Volatile solids 

� Combustion temp erature 

� Sludge residence time 

� Fuel flow 

� Off-gas oxygen content 

� Air feed rate 

� Emission control equipment 

- Pressure drop 

� Type of fuel 

� Volume of ash produced 

� Stack gas monitoring 

Heat Temperature Composting Chemical 

Conditioning/Stabilization 

� Temperature/time 

� Pressure 

� Detention time 

� Feed sludge 

- TS and TVS 

- Flow rate 

- Percent solids 

� End product volatile solids 

� Oxygen concentration 

� Temperature and time 

� Turning frequency 

� Percent sludge solids 

� Type and amount of bulking 

agent(s) 

� Header pressure 

� Chemical types and dosage 

� Mixing 

� pH 

� Temperature 

Electron Irradiation 

� Sludge feed rate 

� Electron dosage 

� Temperature 

Gamma Irradiation 

� Sludge feed rate 

� Gamma ray source strength 

10-20

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-2


Operating Records for Specific Unit Processes 

(Continued) 

DEWAT ERING PROCESS 

Vacuum Filter Pressure Filter Belt Filter Press 

� Sludge feed 

- Total solids 

� Sludge cake 

- Total solids 

� Filtrate 

- Flow 

- BOD 

- TSS 

� Maintenance 

� Spare parts 

� Sludge feed percent solids 

� Sludge cake percent solids 

� Volume of sludge processed 

� Cycle length 

� Volume condition ing chemicals 

� Filtrate 

- Flow 

- BOD 

- TSS 

� Loading rate 

� Operating speed 

� Feed slurry 

- Total solids and flow 

� Dewatered sludge 

- Total solids 

- Flow 

� Filtrate and wash water 

- BOD and SS 

- TSS and flow 

� Preventive maintenance 

� Polymer 

Drying Bed Drying Lagoons Heat Drying 

� Sludge loading rate 

� Quantity in bed 

� Depth of sludge in bed 

� Date deposited 

� Detention time 

� Ambient temperature 

� Drying bed construc tion (i.e., 

lined) 

� Undertrain destination 

� Percent solids of the sludge 

feed and of the dewatered 

sludge 

� Sludge loading rate 

� Percent solids 

- Sludge 

- Decant 

� Quantity in lagoon 

� Depth in lagoon 

� Date deposited 

� Drying time 

� Rainfall 

� Operating schedu le 

- Start-up 

- Shut down 

� Sludge feed rate 

� Percent solids 

- Sludge feed 

- Dried/Pelletized product 

� Fuel consumption 

� Air flow 

� Drying temperature 

� Detention time 

� Stack gas monitoring 

- Oxygen 

- Particulates 

- Carbon monoixde 

- Carbon dioxide 

LEGEND: 

DO 

TS ids 

TVS ile Solids 

BOD 

TSS ids 

SS ds 

SOU R cific Oxyg en Up take R ate 

= Dissolved Oxygen 

= Total Sol

= Total Volat

= Biochemical Oxygen Demand 

= Total Suspended Sol

= Suspended Soli

= Spe 

Table 10-3


Sludge Sampling Points


Sludge Type Sampling Point 

10-21

Chapter Ten Sewage Sludge (Biosolids) 

Anaerobically digested Sample from taps on the discharge side of positive 

displacement pumps. 

Aerobically digested	 Sample from taps on the discharge lines from pumps. If batch 

digester is used, sample directly from the digester. Two 

cautionary notes regarding this practice: 

•	 If aerated during sa mpling , air entrains in the sam ple. 

Volatile organic compounds may purge with escaping air. 

•	 W hen aeration is shut off, solids s eparate rapidly in welldigested sludge. 

Thickened	 Sample from taps on the discharge side of positive displacement 

pumps. 

Heat treated	 Sample from taps on the discharge side of positive 

displacement pumps after decanting. Be careful when sampling 

heat treatment sludge bec ause of: 

• High tendency for solids separation 

•	 High temperature of samples (frequently >60°C) can cause 

problems with certain sample containers due to cooling and 

subsequent contraction of entrained gases. 

Dewa tered by be lt filter press, plate Sample from sludge cake discharge chute and conveyor.


and frame press, centrifuge, or


vacuum filter press Alternatively, sample from collection container or storage bin for


the dewatered sludge; sample from many locations within the 

storage bin and at various depths, collect equal samples from 

each point, and combine them to form one sample of the total 

storage bin. 

Dewatered or air dried in drying 

beds, or bin or truck bed 

Divide bed into four quadrants, collect equal sample volume from 

the center of each quadrant, and combine them to form one 

sample of the total bed. Each grab sample should include the 

entire depth of the sludge (down to the sand). 

Composted Collect fu ll core sam ples from random ly selected s ites in the pile. 

Sample directly from front-end loader or other conveyance 

device as the sludge is being loaded into trucks to be hauled 

awa y. 

10-22

Chapter Ten Sewage Sludge (Biosolids) 

� Sample Collection Techniques. Obtaining a representative sample of sludge is difficult 

when the sludge is not flowing through a pipe or along a conveyer. To obtain a 

representative sample of sludge from a sludge bed or lagoon, a compost pile, or a truck, 

several samples have to be taken from various places in the pile and "combined" to make 

a representative sample. 

•	 Sample Preservation. Samples of solid sludge are not usually preserved in the field 

because it is difficult to thoroughly mix the preservative throughout the sludge sample. It 

is best to preserve sludge samples that are high in solids at the laboratory. The 

appropriate field preservative outlined in Appendix L is to chill the sample to 4°C. Note, 

some exemptions do exist such as a sample for the Specific Oxygen Uptake Rate 

(SOUR) should be kept at the same temperature as the aerobic digestor and analyzed 

within 30 minutes of sample. 

Laboratory Analysis and Quality Assurance 

During a PAI, the inspector is already conducting an in-depth evaluation of the permittee's 

laboratory analytical techniques and QA/QC procedures. The following elements are evaluated 

during this inspection: 

•	 Permittee sample handling procedures in the laboratory 

• Laboratory analysis techniques 

- Permittee laboratory analytical procedures (Analytical methods specified by 40 

CFR Part 503 or other methods established in the permit) 

- Laboratory services 

- Instruments and equipment 

- Supplies 

•	 QA/QC 

- Precision and accuracy of the measurement process 

- Data handling and reporting 

- Sludge records retention (for 5 years) 

- Personnel qualifications. 

Again, many of these elements are evaluated according to the same criteria regardless of the 

sample being analyzed. The inspector is referred to Chapter Seven and the 1990 NPDES 

Compliance Monitoring Inspector Training Module on Laboratory Analysis for general guidance 

on inspecting the permittee's laboratory procedures. There are some differences in sample 

preparation and analytical techniques for sludge with which the inspector should be familiar. 

In conducting the sludge component of the PAI, the inspector should closely evaluate the 

permittee's sample preparation procedures. The sludge matrix is more complex and variable 

than the wastewater matrix; therefore, the laboratory's development of sample preparation 

techniques is of particular concern. 

The NPDES permit may require the permittee to analyze sludge for conventionals, inorganic 

pollutants, metals, and pathogens (depending on the ultimate sludge disposal practice). For 

example, sludge that is going to be land applied will be analyzed for 9 metals and nitrogen to 

determine the appropriate application rate. Table 10-8 lists the constituents required to be 

monitored by Part 503. 40 CFR 503.8 contains a listing of approved analytical methods and 

10-23

Chapter Ten Sewage Sludge (Biosolids) 

volatile solids reduction calculations that must be used for monitoring sludge quality. 

analytical methods for metals are not the same as those used for the analysis of wastewater. 

Appendix L contains the required analytical method, the maximum allowable sample holding 

times, sample preservation techniques, sample containers, sample preparation methods, and 

additional comments that may be pertinent to the analytical method. 

The inspector should keep the following points in mind when reviewing the permittee's lab and 

analytical results: 

• The Part 503 standards are expressed on a dry weight basis. lts for 

sludge are typically reported in one of two forms, wet weight (i.e., mg/L) or dry weight 

(i.e., mg/kg). for mg/Kg units that are wet weight rather than dry weight. 

The laboratory should be providing the results on a dry weight basis. 

the laboratory results are reported on a wet weight basis (i.e., in mg/L), the results for 

each pollutant in each sample must be recalculated to determine the dry weight 

concentration. To accomplish this conversion, the percent total solids in the sludge 

sample must be known. lab must analyze the sample for percent solids 

using Method 2540G of Standard Methods, 18th Edition. 

The following equation can be used to determine the dry weight concentration 

because the equation uses the assumption that the specific gravity of water and 

sewage sludge are both equal to one. s assumption holds true only when 

the solids concentration in the sludge is low. eight concentration 

may vary slightly from the actual concentration as the solids content increases 

because the density of the sewage sludge may no longer be equal to that of water. 

This concern does not arise when the solids content of sludge is usually low. 

aware of this potential problem and may make a determination regarding this matter at 

a later date. 

Determine the pollutant concentration on a dry weight basis using the following 

abbreviated conversion:1 

where PC = Pollutant concentration 

A unit conversion is incorporated into the equation. 

• For metals, a common analytical error is that labs conduct the metals analyses using 

analytical methods developed for water and wastewater. l methods for water 

and wastewater are found in Standard Methods, while the solid waste analytical 

methods are found in Test Methods for Evaluating Solid Wastes (EPA SW-846). 

sludge samples, all metals must be analyzed by SW-846 methods. 

The 

Laboratory resu

Watch out 

In the event that 

Thus, the

However, thi

The calculated dry w

EPA is 

Analytica

For 

If you find non1

Analytical Methods Used in the National Sewage Sludge Survey. August 1988. U.S. EPA Office of 

Water Regulations and Standards (WH-552), Industrial Technology Division, Washington, DC. 

10-24

Chapter Ten Sewage Sludge (Biosolids) 

detects for the metal concentrations, in general the laboratory is not following the 

method requirement of digesting equivalent to 1gm dry weight of solid. 

•	 Also for metals, note that more than one SW-846 method is provided for each 

pollutant. The difference between the methods is usually the equipment used [i.e., 

direct aspiration, furnace, or Inductively Coupled Plasma (ICP) scan] and the level of 

detection desired. Each of the three methods is EPA-approved, but certain sample 

characteristics may require one to be used instead of another. 

•	 SW-846 Method 3050 or equivalent, is the required preparation method for all metals 

except mercury (using equivalent to 1 gram dry weight). 

•	 In contrast to the metals, many of the additional inorganic parameters [e.g., nitrite, 

Total Kjeldahl Nitrogen (TKN), etc.] require methods that are found in Standard 

Methods for the Examination of Water and Wastewater. There are several reasons for 

this, one being that there is no method for the parameter that is specific to solid waste. 

10-25

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-4 

Recordkeeping Requirements for Class A 

Pathogen Reduction Alternatives 

Alternative A1—Time and Temperature 

• Analytical results for density of Salmonella sp. bacteria or fecal coliform (most probable 

number) 

• Sludge temperature 

• Time (days, hours, minutes) temperature maintained 

Alternative A2—Alkaline Treatment 

• Analytical results for density of Salmonella sp. bacteria or fecal coliform (most probable 

number) 

• Sludge pH 

• Time (hours) pH maintained above 12 (at least 72 hours) 

• Sludge temperature 

• Percent solids in sludge after drying (at least 50 percent) 

Alternative A3—Analysis and Operation 

• Analytical results for density of Salmonella sp. bacteria or fecal coliform (most probable 

number) 

•	 Analytical results for density of enteric viruses (plaque forming unit/4 grams total solids) 

prior to pathogen reduction and, when appropriate, after treatment 

•	 Analytical results for density of viable helminth ova (number/4 grams total solids) prior to 

pathogen reduction and, when appropriate, after treatment 

•	 Values or ranges of values for operating parameters to indicate consistent pathogen 

reduction treatment 

Alternative A4—Analysis Only 

• Analytical results for density of Salmonella sp. bacteria or fecal coliform (most probable 

number) 

• Analytical results for density of enteric viruses (plaque forming unit/4 grams total solids) 

• Analytical results for density of viable helminth ova (number /4 grams total solids) 

10-26

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-4 

Recordkeeping Requirements for Class A 

Pathogen Reduction Alternatives 

(Continued) 

• Heat Drying 

-	 Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Moisture content of dried sludge <10 

percent 

- Logs documenting temperature of sludge 

particles or wet bulb temperature of exit 

gas exceeding 80°C 

• Thermophilic Aerobic Digestion 

-	 Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Dissolved oxygen concentration in 

digester >1 mg/L 

- Logs documenting temperature 

maintained at 55-60°C for 10 days 

• Heat Treatment 

- Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Logs documenting sludge heated to 

temperatures > 180°C for 30 minutes 

• Pasteurization 

- Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Temperature maintained at or above 70°C 

for at least 30 minutes 

Alternative A5—Processes to Further Reduc

• Composting 

- Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Description of composting method 

- Logs documenting temperature 

maintained at or above 55°C for 3 days if 

within vessel or static aerated pile 

composting method 

- Logs documenting temperature 

maintained at or above 55°C for 15 days if 

windrow compost method 

- Logs documenting compost pile turned at 

least five times during the 15day period, if 

windrow compost method 

• Gamma Ray Irradiation 

- Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Gamma ray isotope used 

- Gamma ray dosage at least 1.0 megarad 

- Ambient room temperature log 

• Beta Ray Irradiation 

- Analytical results for density of Salmonella 

sp. bacteria or fecal coliform (most 

probable number) 

- Beta ray dosage at least 1.0 megarad 

- Ambient room temperature log 

e Pathogens (PFRP) 

Alternative A6—PFRP Equivalent 

• Operating parameters or pathogen levels as necessary to demonstrate equivalency to the 

PFRP 

• Analytical results for density of Salmonella sp. bacteria or fecal coliform (most probable 

number) 

10-27

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-5 

Recordkeeping Requirements for Class B 

Pathogen Reduction Alternatives 

Alternative B1—Fecal Coliform Count 

• Number of samples collected during each monitoring event 

• Analytical results for density of fecal coliform for each sample collected 

Alternative B2—Processes to Significantly Reduce Pathogens (PSRP) 

• Aerobic Digestion 

- Dissolved oxygen concentration 

- Volatile solids content before and after digestion 

- Mean residence time of sludge in digester 

- Logs showing temperature was maintained for sufficient period of time (ranging from 60 

days at 15°C to 40 days at 20°C) 

•	 Air Drying 

- Description of drying bed design 

- Depth of sludge on drying bed 

- Drying time in days 

- Daily average ambient temperature 

•	 Anaerobic Digestion 

- Volatile solids content before and after digestion 

- Mean residence time of sludge in digester 

- Temperature logs of sludge in digester 

•	 Composting 

- Description of composting method 

- Daily temperature logs documenting sludge maintained at 40°C for 5 days 

- Hourly readings showing temperature exceeded 55°C for 4 consecutive hours 

•	 Lime Stabilization 

- pH of sludge immediately and then 2 hours after addition of lime 

Alternative B3—PSRP Equivalent 

• Operating parameters or pathogen levels as necessary to demonstrate equivalency to 

PSRP 

10-28

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-6


Recordkeeping Requirements for Vector Attraction 

Reduction Sludge Processing Options 

Option 1—Volatile Solids (VS) Reduction 

• Volatile solids concentration of raw and 

final sludge streams (mg/kg) 

• Calculations showing 38 percent reduction 

in volatile solids 

Options 2 and 3—Bench-Scale VS 

Reduction 

• Description of bench-scale digester 

• Time (days) that sample was further 

digested in benc h-scale digest er (30 days 

for aerobically and 40 days for 

anaerobically digested sludge) 

• Temperature logs showing temperature 

maintained at 20°C for aerobically or 

between 30°C and 37°C for anaerobically 

digested sludge 

• Volatile solids concentration of sludge 

(mg/kg ) before and af ter bench-scale 

digestion 

Option 4—Specific Oxygen Uptake Rate 

• Dissolved oxygen readings for sludge 

sample over 15-minute intervals (mg/L) 

• Temperature logs showing test was 

corrected to 

• Total solids for sludge sample (g/L) 

• SOUR calculations (mg/g) 

20°C 

Option 5—Aerobic Processing 

(Thermophilic Aerobic Digestion/ 

Composting) 

• Sludge detention time in 

digester/composting 

• Temperature logs showing average 

temperature above 45°C and minimum 

temperature above 40°C for 14 

consecutive days 

Options 6—Alkaline Treatment 

• Logs demonstrating hours pH of sludge/ 

alkaline mixture was maintained (12 for 2 

hours and 11.5 for an additional 22 hours) 

• Amount of alkaline added to sludge (lbs or 

gals) 

• Amount of sludge treated 

Options 7 and 8—Drying 

• Results of percent solids (dry weight) test 

• Presence of unstabilized solids generated 

during primary treatment 

10-29

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-7


Sludge Handling Process Evaluation


General Indicators of Problems 

• Inadequate sludge removal from clarifiers or thickeners 

• Poor dewatering characteristics of thermal treated sludge 

• Thickened sludge too thin 

• Fouling of overflow weirs on gravity thickeners 

• Air flotation skimmer blade binding on beaching plate 

• Substantial down-time of sludge treatment units 

• Sludge disposal inadequate to keep treatment system in balance 

• Mass balance inappropriate (ratio of sludge wasted should be 0.65-0.85 lbs of sludge per lb 

of BOD removed) 

• Sludge decant or return flows high in solids* 

• Odors 

• Improper loading rates 

Anaerobic Digestion Problems 

• Inoperative mechanical or gas mixers 

• Inoperative sludge heater or low temperature* 

• Floating cover of digester tilting 

• Inadequate gas production* 

• Inoperative gas burner 

• Supernatant exuding sour odor from either primary or secondary digester* 

• Excessive suspended solids in supernatant 

• Supernatant recycle overloading the WWTP 

• pH problems* 

Aerobic Digestion Problems 

• Excessive foaming in tank* 

• Objectionable odor in aerobically digested sludge* 

• Insufficient dissolved oxygen in digester 

• Digester overloaded 

• Clogging of diffusers in digester 

• Mechanical aerator failure in digester 

• Inadequate supernatant removal from sludge lagoons 

• Solids accumulation in tank 

*Indicates serious problems with the sludge handling process. 

10-30

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-7 

Sludge Handling Process Evaluation 

(Continued) 

Sludge Dewatering Problems 

Drying Beds 

• Poor sludge distribution on drying beds 

• Vegetation in drying beds (unless reed design) 

• Dry sludge remaining on drying beds 

• Inadequate drying time on drying beds* 

• Some unused drying beds 

• Dry sludge stacked around drying beds where runoff may enter navigable waters 

• Filtrate from sludge drying beds returned to front of plant 

Centrifuge 

• Excessive solids in fluid phase of sample after centrifugation* 

• Inadequate dryness of centrifugal sludge cake* 

• Excessive vibration or other mechanical problems 

Filter Press 

• High level of solids in filtrate from filter presses or vacuum filters* 

• Thin filter cake caused by poor dewatering 

• Vacuum filter cloth binding 

• Low vacuum on filter 

• Improperly cleaned vacuum filter media 

• Sludge buildup on belts and/or rollers of filter press 

• Excessive moisture in belt filter press sludge cake* 

• Difficult cake discharge from filter presses 

• Filter cake sticks to solids-conveying equipment of filter press 

• Frequent media binding of plate filter press 

• Sludge blowing out of filter press 

• Insufficient run time of sludge dewatering equipment 

*Indicates serious problems with the sludge handling process. 

10-31

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-7 

Sludge Handling Process Evaluation 

(Continued) 

Sludge Stabilization Problems 

Lagoon 

• Objectionable odor from sludge lagoon 

• Damage to dikes around sludge drying lagoons 

• Unlined sludge lagoons 

• Sludge lagoons full, overflowing sludge back to plant or to natural drainage 

• Deep rooted vegetation on dikes or berms 

Composting 

• Piles that give off foul odor 

• Inoperable blower 

• Temperature does not reach 122-140°F (50-60°C) 

• Uncontrolled storm water runoff 

Heat Drying/Pelletizing 

• Excess moisture in sludge feed 

• Insufficient air flow or drying temperature achieved 

• Inadequate drying of final product (excess moisture in final product) 

• Excess odors associated with treatment area 

• Excess odors associated with treated product 

Alkaline Stabilization 

• Insufficient amount of lime (or other alkaline additive) used to assure pH is raised 

sufficiently 

• Inadequate mixing provided to assure good contact of lime (or other alkaline additive) 

with sludge solids 

• pH problems* 

• Excess odors associated with treatment area 

• Excess odors associated with treated product 

• Excessive lime dust around treatment equipment 

Incineration 

• Objectionable odors associated with treatment area 

• Evidence of excessive dust (ash) around unit 

• Visible smoke or dust exhaust from unit 

• Lack of compliance with air permit parameters 

• Spilling or leaking sludge from dewatered sludge transfer equipment 

*Indicates serious problems with the sludge handling process. 

10-32

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-7 

Sludge Handling Process Evaluation 

(Continued) 

Sludge Disposal Problems 

• Sludge constituents not analyzed before disposal 

• Sludge not transported in appropriate and approved vehicle 

• Surface runoff of sludge at land application site 

• Liquid sludge (i.e., less than 10 percent solids) applied to landfill site 

• Sludge fails paint filter test 

• Inadequate coverage of sludge in subsurface plow injection system 

• Objectionable odors generated at land application site* 

• Slow drying of soil-sludge mixture in subsurface injection system 

• Sludge ponding at land application sites 

• Flies breeding, vectors, and/or odors at landfill site 

• Inadequate burial of sludge at landfill site 

• Excessive erosion at sludge sites 

• Sludge disposed of in nonpermitted sites 

• Disposal not in accordance with Federal, State, or local regulations 

• Sludge lagoons full and overflowing* 

• Inadequate runoff control at landfill or land application sites 

*Indicates serious problems with the sludge handling process. 

10-33

�

Chapter Ten Sewage Sludge (Biosolids) 

Table 10-8


Pollutants Monitored for Land Application, Surface Disposal, and Incineration


Pollutant Land Application 

Arsenic �

Beryllium 

Cadmium �

Chromium �

Copper �

Lead �

Mercury �

Molybdenum �

Nickel � �

Selenium �

Zinc �

Nitrogen series �

Surface Disposal 

(unlined units) Incineration 

�

�

�

�

�

�

�

Organism to Be Monitored Allowable Level in Sludge 

Fecal Coliform(1) 1,000 Most Probable Number (MPN) per gram (Class A) of 

total solids (dry weight) 

Salmonella sp.(1) bacteria (in 

lieu of fecal coliform) 

3 MPN per 4 grams total solids (dry weight) 

Enteric Viruses(2) Less than one plaque-forming unit per 4 grams total solids 

(dry weight) 

Viable Helminth(2) Ova Less than one viable helminth ovum per 4 grams of total 

solids (dry weight) 

Fecal Coliform(3) Less than 2 × 106

 MPN or less than 2 × 106

 colony-forming 

units per gram of total solids (dry weight) (expressed as 

geometric mean of the results of 7 individual samples) 

(1)All Part 503 Class A Alternatives 1, 2, 3, 4, 5, 6


(2)Class A Alternatives 3 and 4 only


(3)Class B, Alternative 1


10-34

10. C. References and Sludge 

Inspection Checklist 

References 

I. GENERAL 

Clark, J.W., W. Wiessman and M. Hammer, Water Supply Pollution Control. (Harper and Row 

Publishers, 1977). 

Code of Federal Regulations. Standards for the Use or Disposal of Sewage Sludge. 40 CFR 

Part 503, FR 9387. 

Culp, G.L., and N. Folks Heim. January 1978. Field Manual for Performance Evaluation and 

Troubleshooting at Municipal Wastewater Treatment Facilities. U.S. Environmental 

Protection Agency, EPA 430/9-78-001. 

Hinrichs, D.J. Inspectors Guide for Evaluation of Municipal Wastewater Treatment Plants. April 

1979. U.S. Environmental Protection Agency, 430/9-79-010. 

Metcalf and Eddy Inc. Wastewater Engineering: Treatment Disposal/Reuse. (McGraw-Hill 

Book Company, 1979). 

Steel, E.W., and T.J. McGhee, Water Supply and Sewerage. (McGraw-Hill Book Company, 

1979). 

U.S. Congress. March 1985. Overview of Sewage Sludge and Effluent Management. Office of 

Technology Assessment, C/R-36b/#10. 

U.S. Environmental Protection Agency. January 1975. Process Design Manual for Suspended 

Solids Removal. EPA 625/1-75-0032. 

U.S. Environmental Protection Agency. April 1976. Municipal Sludge Management: EPA 

Construction Grants Program. Office of Water Program Operations, EPA 430/9-76/009. 

U.S. Environmental Protection Agency. October 1977. Municipal Sludge Management: 

Environmental Factors. Office of Water Program Operations, EPA 430/9-77/004. 

U.S. Environmental Protection Agency. 1978. Operations Manual, Sludge Handling and 

Conditioning. Office of Water Program Operations, EPA 430/9-78-002. 

U.S. Environmental Protection Agency. September 1979. Process Design Manual for Sludge 

Treatment and Disposal. Municipal Environmental Research Laboratory, EPA 625/1-79-

011. 

U.S. Environmental Protection Agency. February 1980. Evaluation of Sludge Management 

Systems. Office of Water Program Operations, EPA 430/9-80-001, MCD-61. 

U.S. Environmental Protection Agency. September 1984. Use and Disposal of Municipal 

Wastewater Sludge. Intra-Agency Sludge Task Force, EPA 625/10-84-003. 

10-35

Chapter Ten Sewage Sludge (Biosolids) 

U.S. Environmental Protection Agency. July 1985. Summary of Environmental Profiles and 

Hazard Indices for Constituents of Municipal Sludge. Office of Water Regulations and 

Standards. 

U.S. Environmental Protection Agency. 1987. Advanced Waste Treatment — Field Study 

Training Program. 

U.S. Environmental Protection Agency. September 1994. A Plain English Guide to the EPA 

Part 503 Biosolids Rule. EPA 831-B-94-001. 

U.S. Environmental Protection Agency. December 1994. A Guide for Land Appliers on the 

Requirements of the Federal Standards for the Use or Disposal of Sewage Sludge, 40 

CFR Part 503. EPA/831-B-93-002b. 

U.S. Environmental Protection Agency. September 1995. A Guide to the Biosolids Risk 

Assessments for the EPA Part 503 Rule. EPA 832-B-93-005. 

U.S. Environmental Protection Agency. December 1999. Proposed Rule Revising the 

Standards for Use and Disposal of Biosolids. EPA 822-F-99-005. 

U.S. Environmental Protection Agency. September 2000. Biosolids Technology Fact Sheet 

Alkaline Stabilization of Biosolids. EPA 832-F-00-052. 

U.S. Environmental Protection Agency. September 2000. Biosolids Technology Fact Sheet 

Centrifuge Thickening and Dewatering. EPA 832-F-00-053. 

U.S. Environmental Protection Agency. September 2000. Biosolids Technology Fact Sheet 

Belt Filter Press. EPA 832-F-00-057. 

II. SAMPLING SLUDGE QUALITY 

U.S. Environmental Protection Agency. August 1989. POTW Sludge Sampling and Analysis 

Guidance Document. Office of Water Enforcement and Permits. 

U.S. Environmental Protection Agency. August 1988. Sampling Procedures and Protocols for 

the National Sewage Sludge Survey. Office of Water Regulations and Standards. 

U.S. Environmental Protection Agency. September 1990. Analytical Methods for the National 

Sewage Sludge Survey. Office of Water Regulations and Standards. 

U.S. Environmental Protection Agency. November 1991. Guidance Manual for NPDES 

Compliance Inspector: Evaluation of Sludge Treatment Processes. EPA 833/B-91-100. 

U.S. Environmental Protection Agency. November 1991. Guidance Manual for NPDES 

Compliance Inspector: Verifying Compliance with Sludge Requirements. 

U.S. Environmental Protection Agency. 1993. Sewage Sludge Sampling Techniques Video. 

10-36

Chapter Ten Sewage Sludge (Biosolids) 

III. PATHOGENS 

U.S. Environmental Protection Agency. July 2003. Control of Pathogens and Vector Attraction 

in Sewage Sludge. Office of Research and Development, EPA 625/R-92/013. 

U.S. Environmental Protection Agency. September 1989. Control of Pathogens in Municipal 

Wastewater Sludge. Center for Environmental Research Information, EPA 625/10-89/006. 

U.S. Environmental Protection Agency. December 1973. Pathogen Risk Assessment 

Feasibility Study. Office of Research and Development, EPA 670/2-73/098. 

IV. LAND APPLICATION 

Loeht, R.C. Pollution Control for Agriculture. Academic Press Inc., 1984. 

National Research Council. July 2002. Biosolids Applied to Land: Advancing Standards and 

Practices. 

U.S. Environmental Protection Agency. August 1993. Preparing Sewage Sludge for Land 

Application or Surface Disposal; A Guide for Preparers of Sewage Sludge on the 

Monitoring, Recordkeeping, and Reporting Requirements of the Federal Standards for the 

Use or Disposal of Sewage Sludge in 40 CFR Part 503. Office of Water, EPA 831 B-93-

002a. 

U.S. Environmental Protection Agency. Land Application of Sewage Sludge; A Guide for Land 

Appliers on the Recordkeeping and Reporting Requirements of the Federal Standards for 

the Use and Disposal of Sewage Sludge Management in 40 CFR Part 503. 

U.S. Environmental Protection Agency. October 1983. Land Application of Municipal Sludge, 

Municipal Environmental Research Laboratory, EPA 625/1-83/016. 

U.S. Environmental Protection Agency. November 1976. Application of Sewage Sludge to 

Cropland; Appraisal of Potential Hazards of the Heavy Metals to Plants and Animals. 

Office of Water Program Operations, EPA 430/9-76/013. 

U.S. Environmental Protection Agency. June 1978. Applications of Sludge on Agricultural 

Land. Municipal Construction Division, Office of Research and Development, EPA 600/ 

2-78/131b. 

U.S. Environmental Protection Agency. June 1978. Sewage Disposal on Agricultural Soils: 

Chemical and Microbiological Implications. Office of Research and Development, EPA 

600/2-78/131b. 

U.S. Environmental Protection Agency. October 1981. Land Treatment of Municipal 

Wastewater. EPA Center for Environmental Research Information, EPA 625/1-81-013. 

U.S. Environmental Protection Agency. September 1993. A Guide to the Federal EPA Rule for 

Land Application of Domestic Septage to Non-Public Contact Sites. (Agricultural Land, 

Forests, and Reclamation Sites) Discussed in Relationship to Existing State Rules and 

Other Federal Regulations of Septage. EPA 832-B-92-005. 

10-37

Chapter Ten Sewage Sludge (Biosolids) 

U.S. Environmental Protection Agency. December 1994. Land Application of Sewage Sludge: 

A Guide for Land Appliers on the Requirements of the Federal Standards for the Use and 

Disposal of Sewage Sludge, 40 CFR Part 503. EPA 831-B-93-002b. 

V. LANDFILLING 

U.S. Environmental Protection Agency. May 1994. Surface Disposal of Sewage Sludge; A 

Guide for Owners/Operators of Surface Disposal Facilities on the Monitoring, 

Recordkeeping, and Reporting Requirements of the Federal Standards for the Use and 

Disposal of Sewage Sludge in 40 CFR Part 503. 

U.S. Environmental Protection Agency. October 1978. Municipal Sludge Landfills. 

Environmental Research Information Center, Office of Solid Waste, EPA 625/1-78/010, 

SW-705. 

VI. DISTRIBUTION AND MARKETING 

U.S. Environmental Protection Agency. August 1985. Composting of Municipal Wastewater 

Sludges. EPA Center for Environmental Research Information, EPA 625/4-85-014. 

U.S. Environmental Protection Agency. June 1981. Composting Processes to Stabilize and 

Disinfect Municipal Sewage Sludge. Office of Water Program Operations, EPA 430/9-81-

011, MCD-79. 

VII. INCINERATION 

U.S. Environmental Protection Agency. September 1985. Municipal Wastewater Sludge 

Combustion Technology. EPA Center for Environmental Research Information, EPA 

625/4-85-015. 

VIII. MISCELLANEOUS 

U.S. Environmental Protection Agency. September 1987. Dewatering Municipal Wastewater 

Sludges, Office of Research and Development. EPA 625/1-87/014. 

U.S. Environmental Protection Agency. December 1973. Odors Emitted From Raw and 

Digested Sewage Sludge. Office of Research and Development, EPA 670/2-73/098. 

U.S. Environmental Protection Agency. October 1982. Process Design Manual for Dewatering 

Municipal Wastewater Sludges. Office of Research and Development, EPA 625/1-82-014. 

U.S. Environmental Protection Agency. April 1986. Radioactivity of Municipal Sludge. Office 

of Water Regulations and Standards. 

U.S. Environmental Protection Agency. Most recent Test Methods for Evaluating Solid Waste, 

Physical/Chemical Methods. EPA SW-846. 

10-38

Chapter Ten Sewage Sludge (Biosolids) 

U.S. Environmental Protection Agency. 1990. NPDES Compliance Monitoring Inspector 

Training Module on Laboratory Analysis. 

U.S. Environmental Protection Agency. July 2000. Guide to Field Storage of Biosolids. EPA 

832-B-00-007 

10-39

Chapter Ten Sewage Sludge (Biosolids) 

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10-40

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST 

A. PERMIT VERIFICATION 

Yes No N/A 1. Are 40 CFR Part 503 sludge use and disposal requirements 

contained in a curr ent NPDES permit , in a separate "sludge only" 

NPDES permit, in a RCRA Subtitle C permit, or in a CAA permit? 

[503.3(a)(1) or (2)] (1) 

2. Sludge use and disposal practice(s): 

Yes No N/A a. Land Application ____ [503.10] 

Bulk Sewage Sludge ____ [503.11(e)] 

Bulk Material Derived from Sewage Sludge ____ [503.11(e)] 

Or 

Sold or Given Away in a Bag or Other Container ____ [503.11(e)] 

Yes No N/A b. Surface Disposal ____ [503.20] 

Yes No N/A c. Sewage Sludge Incineration ____ [503.40] 

Yes No N/A d. Onsite or Offsite Storage ____ [503.9(y)] 

Date storage began ____ ended ____ 

(Maximum time allowed: 2 years from February 19, 1993) 

Yes No N/A e. Other 

(list)____________________________________________ 

Yes No N/A 3. Each sludge use or disposal practice is permitted? [503.3(a)(1)] (1) 

Yes No N/A 4.	 Notification is given to EPA/State of new or different sludge disposal 

method? [Permit] 

Yes No N/A

Comments: 

5. Number and location of disposal sites/activities are as described in 

the permit or fact sheet or land application plan (40 CFR Part 501)? 

[Permit] 

10-41

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued)


B. RECORDKEEPING AND REPORTING EVALUATION


Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

No N/A 

No N/A 

No N/A 

Yes No N/A 

Yes No N/A 

Yes	 No N/A 

No N/A 

No N/A 

1. Self-monitoring data are available for all regulated pollutants? 

[503.17], [503.27], [503.43] 

2. Pathogen and vector attraction reduction method description and 

certification statement available? 

3. Records are available for all use or disposal practices? 

[503.27], [503.47] 

4. Accurate records of sludge volume or mass are maintained, when 

appropriate? ] 

5. Monitoring and analyses are performed more often than required by 

permit? in the permittee's self-monitoring 

report? mit] 

6. Unit operations records verify compliance with pathogen and vector 

attraction reduction requirements, when appropriate? 15], 

[503.25] 

7. Self-monitoring is conducted at the frequency specified in the 

permit, in 503.16 Table 1 (land application), or in 503.26 Table 1 

(surface disposal)? [503.16], [503.26] or [503.46 Table 1 

(incineration)] (Production dependent 0-289 mtpy: 1/yr., 290-1499 

mtpy: 500-14999 mtpy: 000 mtpy and greater, 

1/mo.) mtpy-metric ton per year 

8. Facility reports sludge monitoring data at the freq uency specified in 

the permit? I facilities, total design flow >1 mgd, or 

serving >10,000 people) [503.18], [503.28], [503.48] 

9. Sludge records are maintained for at least 5 years? 

[503.27], [503.47] 

10. Sludge data are reported on Discharge Monitoring Report (DMR) or 

approved form? 

11. Sludge records are adequate to assess compliance with annual 

and/or cumulative pollutant loading rates or other established permit 

limits? 03.13(a) (2) (i)], [503.13(a) (4) (ii)] 

[503.17], [503.27] 

[503.17], 

[503.25], [503.47

If so, results are reported 

[Per

[503.

1/qtr., 1 1⁄2 mo., 15

(Only for Class 

[503.17], 

[Permit] 

[5

Yes 

Yes 

Comments: 

10-42

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

C. SLUDGE SAMPLING AND ANALYSIS EVALUATION 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

1. Sludge samples are taken at locations specified in the permit? 

[Permit] 

2. Sludge sample locations are appropriate for obtaining 

representative samples? 

3. Sampling and analysis are conducted for parameters specified in 

the permit or in 40 CFR Part 503? [Permit], [503.13], [503.23], 

[503.46] 

4. Sample collection procedures 

[503.8(a)] 

Yes No N/A a. Adequate sample volumes are obtained? 

Yes No N/A b. Proper preservation techniques are used? 

Yes No N/A c. Containers conform to appropriate analytical method specified in 

40 CFR 503.8? 

Yes No N/A d. Samples analyzed in the appropriate time frames in accordance 

with 40 CFR 503.8? 

Yes No N/A 5. Are results reported on a dry weight basis? 503.13], [503.23], 

[503.43] 

[

(Dry weight concentration = 


Wet weight concentration/Decimal fraction of solids)


e.g. A sludge containing 20 mg/l Cu and having 5% solids.


Dry weight Cu (mg/kg) = 20 mg/1 = 400 mg/kg

0.05 

Yes No N/A 

Yes No N/A 

Yes No N/A 

6. Sample is refrigerated subsequent to compositing? 

7. Chain-of-custody procedures are employed? 

8. Analytical methods used are approved methods of 40 CFR 503.8? 

Comments: 

10-43

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

D. UNIT PROCESSES 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 5. Solids handling operation adequate to manage volume of sludge? 

Comments: 

Gene

1. Sludge process control parameters maintained as appropriate? 

2. Adequate equipment redundancy (e.g., back-up units)? 

3. Adequate sludg e storage capacity? 

4. Contingency plan for sludge disposal practice? 

ral Sludge Processes 

Yes No N/A 

Dryin Thickener, Centrifuge, and Dissolved Air Floatation 

1. Is primary unstabilized sludge fed to the thickener, centrifuge or 

drying bed? 

g Beds, Gravity

If yes, list percentage of unstabilized sludge ______________. 

Yes No N/A 

Yes	 No N/A 

Yes No N/A

Yes No N/A 

2. What is the average % solids of the sludge before thickening, drying 

or centrifuging? after? ___________ % 

3. Is sludge mixed with other materials before or after thickening? 

4. For sludge containing unstabilized solids, is the percent solids 

greater than 90% prior to mixing with other materials? 

5. For sludge containing no unstabilized solids, is the percent solids 

greater than 75% prior to mixing with other materials? 

____________ % 

Comments: 

10-44

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

D. UNIT PROCESSES (Continued) 

Yes No N/A 

Anae n 

1. Sludge fed to digester(s) includes: 

___Primary ary 

2. Digester(s) operating mode: te rate 

3. Digester(s) are operated at proper temperature [mesophilic: 95°F 

(35°C) and thermophilic: C)? 

___Second ___Combined 

___high ra ___ low

131°F (55°

robic Digestio

Yes 

List operating mode: ___ mesophilic ___ thermophilic 

No N/A 4. Temperature monitoring location and frequency sufficient to 

demonstrate compliance with Class B pathogen reduction 

requirements for PSRP? 

Yes 

Average Temperature: ____°C or °F 

No N/A 5. Solids Retention Time (SRT) or Mean Cell Residence time (MCRT) 

calculated properly?* 

Yes No N/A 6.	 SRT or MCRT sufficient to demonstrate compliance with Class B 

pathogen reduction requirements for PSRP? 

Average SRT or MCRT: ____days 

*For batch operated digesters with no recycle: 

SRT or MCRT = Mass of solids in digester, kg

Solids removed, kg/day 

This formula can be used to estimate SRT or MCRT for all digester 

systems. For calculating SRT or MCRT for other system 

configurations, use the WEF Manual of Practice or other 

references. Always write down the calculation used by the facility 

no matter what the configuration is. 

Comments: 

10-45

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

D. UNIT PROCESSES (Continued) 

Aerobic Digestion 

Yes No N/A 

1. Sludge fed to digester(s) includes: 

___Primary ary 

2. Digester(s) operating mode: te rate 

3. Digester(s) are operated at proper temperature [cryophilic: <50°F 

(<10°C), mesophilic: 0-108°F (10-42°C), and thermophilic: 

>108°F (42°C)]? 

___Second ___Combined 

___high ra ___ low

5

List operating mode:


___ cryophilic ___ mesophilic ___ thermophilic


Yes No N/A 4. Temperature monitoring location and frequency sufficient to 

demonstrate compliance with Class B pathogen reduction 

requirements for PSRP or with Class A pathogen reduction 

requirements for PFRP (Thermophilic aerobic digestion only)? 

Average Temperature: ____°C or °F 

Yes No N/A 5. Solids Retention Time (SRT) or Mean Cell Residence time (MCRT) 

calculated properly?* 

Yes No N/A 6.	 SRT or MCRT sufficient to demonstrate compliance with Class B 

pathogen reduction requirements for PSRP or with Class A 

pathogen reduction requirements for PFRP (Thermophilic digestion 

only)? 

Average SRT or MCRT: ____days 

Yes No N/A 7. Aerobic conditions verified through dissolved oxygen monitoring? 

*For batch operated digesters with no recycle: 

SRT or MCRT = Mass of solids in digester, kg

Solids removed, kg/day 

This formula can be used to estimate SRT or MCRT for all digester 

systems. For calculating SRT or MCRT for other system 

configurations, use the WEF Manual of Practice or other 

references. Always write down the calculation used by the facility 

no matter what the configuration is. 

Comments: 

10-46

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

D. UNIT PROCESSES (Continued) 

Composting 

Yes No N/A 

Yes No N/A 

Frequency of turnings? ____________________ 

1. Type of composting performed:

____ In vessel ____ St atic piles ____ W indrows 

2. Type of sludge composted:

____ Primary ____ Secondary ____ Combined 

3. Is the moisture content monitored? 

4. Is compost mixed? od? __________________ Meth

Yes No N/A 

Yes No N/A 

Yes No N/A 7. Are total and total volatile solids monitored? 

5. Is oxygen content monitored? 

6. Is temperature monitored? 

8. Active phase ____ days 

Yes 

Curing phase ____ days 

No N/A 

Yes No N/A 

No N/A 

9. Is site runoff treated? 

10. Temperature monitoring location and frequency sufficient to 

demonstrate compliance with Class B pathogen reduction 

requirements for PSRP or with Class A pathogen reduction 

requirements for PFRP? 

11. Temperature and/or oxygen monitoring sufficient to determine 

compliance with vector attraction reduction requirements? 

Where? ______________ 

Yes 

Comments: 

10-47

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

E. LAND APPLICATION OF SEWAGE SLUDGE 

Yes No N/A 1. Sewage sludge or material derived from sewage sludge is land 

applied to: 

Agricultural Land ______ Forest ______


Reclamation Site ______ Lawn or Home Garden ______


Public Contact Site (park, etc.) ______


Yes 

Yes 

No N/A 

No N/A 

2. Do monitoring results show pollutant concentrations below values 

shown in 40 CFR 503.13(b)(1) Table 1? 03.13(a)(1)] (2) 

3. Do monitoring results show pollutant concentrations below values 

shown in 40 CFR 503.13(b)(3)? (3) 

4. Classifications of Sewage Sludge with respect to Pathogens: 

[503.30] (4) 

[5

Class A ______ Class B ______ Unknown ______ 

Yes No N/A 5. Are Class A Pathogen reductions requirements met? [503.15(a)] (4) 

6.	 Indicate which method is used to meet Class A requirements: 

[503.32(a)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and Time/Temperature requirements. [503.32(a)(3)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and pH requirements. [503.32(a)(4)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and enteric viruses or helminth ova reduction 

requirements. [503.32(a)(5)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and enteric viruses or helminth ova density 

requirements. [503.32(a)(6)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and Process to Further Reduce Pathogens (PFRP). 

[503.32(a)(7)] and [503 Appendix B] (5) 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and equivalent PFRP. [503.32(a)(8)] and [503 Appendix 

B] (5) 

Yes No N/A 7. Are Class B Pathogen reduction requirements met? [503.32(b)] (4) 

8. Indicate which method(s) is used to meet Class B requirements: 

___ Geometric mean of seven Fecal Coliform samples with <2,000,000 

MPN/g total solids or <2,000,000 Colony Forming Units/g total 

solids. [503.32(b)(2)] 

___ Treated by Process to Significantly Reduce Pathogens (PSRP). 

[503.32(b)(3)] and [503 Appendix B] (5) 

Treated by equivalent PSRP. [503.32(b)(4)] and [503 Appendix B] (5) 

10-48

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

E. LAND APPLICATION OF SEWAGE SLUDGE (Continued) 

Yes No N/A 9. For Class B sludge which is land applied, are Site Restrictions 

practiced? [503.32 (b)(5)] (4) 

Yes No N/A 10. Indicate Site Restrictions practiced where applicable: 

___ Food crops (above ground) are harvested >14 months after 

application of sewage sludge? [503.32(b)(5)(i)] 

___ Food Crops (below ground) are harvested >20 months after 

application of sewage sludge when sludge stays on land for >4 

months prior to incorporation into soil? [503.32(b)(5)(ii)] 

___ Food Crops (below ground) are harvested >38 months after 

application of sewage sludge when sludge stays on land for <4 

months prior to incorporation into soil? [503.32(b)(5)(iii) 

___ Food Crops, feed crops, and fiber crops are harvested >30 days 

after application of sewage sludge? [503.32(b)(5)(iv)] 

___ Animal grazing allowed on land only >30 days after application of 

sewage sludge? [503.32(b)(5)(v)] 

___ Turf grown on land where sewage sludge was applied placed on 

high public expose land or lawn is harvested >1 year after 

application of sewage sludge? [503.32(b)(5)(vi)] 

___ Public access is restricted to land with a potential for high public 

exposure for 1 year? [503.32(b)(5)(vii)] 

___ Public access is restricted to land with a potential for low public 

exposure for 30 days? [503.32(b)(5)(viii)] 

Yes No N/A 

Yes No N/A 

11. Is a Vector Attraction Reduction method practiced? [503.15(c)] (6) 

12. Indicate Vector Attraction Reduction method: 03.33(b)] [5

___ 38% Volatile Solids Reduction. [503.33(b)(1)] (7) 

___ 40 day test - Volatile Solids reduced <17%. [503.33(b)(2)] 

(Anaerobic Digestion Only) 

___ 30 day test - Volatile Solids reduced <15%. [503.33(b)(3)]

(Aerobic Digestion Only) 

___ Specific Oxygen Uptake Rate (SOUR) <1.5 mg/hr/gm TS @ 20°C. 

[503.33(b)(4)] 

___ Aerobic Process for >14 days @ >40°C with average sludge 

temperatures >45°C. [503.33(b)(5)] 

___ pH >12 for 2 hours and pH >11.5 for 22 hours [503.33(b)(6)] 

___ Sludge (with no unstabilized solids) contains >75% Total Solids 

prior to mixing with other materials. [503.33(b)(7)] 

___ Sludge (contains unstabilized solids) contains >90% Total Solids 

prior to mixing with other materials. )(8)] [503.33(b

10-49

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

E. LAND APPLICATION OF SEWAGE SLUDGE (Continued) 

___ Subsurface Injection. [503.33(b)(9)] 

Yes 

Yes 

___ Soil Incorporation. [503.33(b)(10)] 

No N/A 

No N/A 

13. Are general requirements (503.12) and management practices 

(503.14) applied for sludge not meeting Table 3 pollutant 

concentrations, Class pathogen reduction requirements, and vector 

attraction reduction methods? [503.10], [503.12], [503.14] 

14. Indicate management practices where applicable: 

___ No threatened or endangered species present or critical habitat 

affected at the location(s) where bulk sludge is applied. 

___ Bulk sludge not applied to frozen or snow covered ground. 

___ Bulk sludge applied >10 meters from waters of the U.S. 

___ Bulk sludge applied at a rate equal to or less than agronomic rate. 

___ Label affixed on bag or information sheet provided to user of sold 

and given away sludge indicating name of sludge preparer, 

application instructions, and maximum annual whole sludge 

application rate. 

Yes No N/A 15. Indicate general requirements practiced where applicable: 

___ Sludge is not applied to a site where the cumulative pollutant 

loading or annual application rate has been reached. 

___ Notification given to the sludge applier regarding total nitrogen 

content of the sludge. 

___ Sufficient information required to comply with 40 CFR Part 503 is 

given to preparers/appliers/land owners. 

___ Written notification given to permitting authority (including States) 

regarding the location of land application sites, appropriate NPDES 

permit numbers. 

Yes No N/A 

Comments: 

16. Description of how management practices are met for each land 

application site available? 

10-50

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

Land Application Footnotes 

(1) 

Permits are not required. 03 is self-implementing. 03 does not cover industrial sludges or grit and screenings. Part 5 Part 5

(2) 503.13(b)(1), Table 1 values must be met to land apply sludge: 

Table 1 (mg/kg) 

Arsenic 75 Lead 840 Nickel 420 

Cadmium 85 Mercury 57 Selenium 100 

Copper 4300 Molybdenum 75 Zinc 7500 

(3)	 503.13(b)(3), Table 3 must be met for any sludge applied to a lawn or home garden. For 

bulk sludge, Table 3 must be met or the sludge is subject to cumulative loading limits in 

503.13(b)(2). For sewage sludge sold and given away in a bag or other container, Table 3 

must also be met or the sludge is subject to annual pollutant loadings in 503.13(b)(4). This 

also signals that additional recordkeeping requirements of 503.12 and 503.17 apply. 

Table 3 (mg/kg) 

Arsenic 41 Lead 300 Selenium 100 

Cadmium 39 Mercury 17 Zinc 2800 

Copper 1500 Nickel 420 

(4)	 Class A requirements must be met when bulk sludge is land applied to a lawn or home 

garden, or when sewage sludge is sold or given away in a bag or other container. Also, 

Class A requirements or Class B requirements combined with appropriate site restrictions 

must be met for when bulk or bulk material derived from sludge is applied to agricultural 

land, reclamation site, forest, or public contact site. 

(5) 

Process to Significantly Reduce Pathogens (PSRP) includes Aerobic Digestion, Air Drying, Anaerobic Digestion, Composting, and Lime Stabilization. Process to Further Reduce 

Pathogens (PFRP) includes Composting, Heat Drying, Heat Treatment, Thermophilic 

Aerobic Digestion, Beta Ray Irradiation, Gamma Ray Irradiation, and Pasteurization. Each 

process has required operating conditions to demonstrate compliance. See 503 Appendix 

B and Unit Process Checklists. 

(6) 

One of the methods 503.33(b)(1)-(10) must be used when land applying bulk sewage sludge to agricultural land, forest, a public contact site, or a reclamation site. One of the 

methods 503.33(b)(1)-(8) must be met when land applying bulk sludge to a lawn or home 

garden, or when sewage sludge or derived material is sold or given away in a bag or other 

container. 

(7) 

Volatile solids reduction through the sludge treatment train [only] is generally calculated using the Van Kleek equation. : 

Other Variations of this formula are presented in the document Environmental Regulations 

and Technology-Control of Pathogens and Vector Att raction in Sewage Sludge, EPA625/R-92/013. ment for specific calculations. 

http://www.epa.gov/ORD/NRMRL/Pubs/1992/625R92013.html 

See docu Website: 

10-51

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

F. SURFACE DISPOSAL 

Yes 

Yes 

Yes 

No N/A 1. Does each Surface Disposal Unit (SDU) have a liner and leachate 

collection system? 

No N/A 

No N/A 

Yes No N/A 

Yes No N/A 

2. Smallest distance from active SDU boundary to property boundary is 

______ ft. 

3. For an active SDU (property boundary is greater that 150 meters from 

SDU) and without a liner or leachate collection system, do monitoring 

results show pollutant concentrations below values shown in 40 CFR 

503.23(a)(1) Table 1? [503.23(a)(1)] (1) 

4. For an active SDU without a liner and leachate collection system 

(property boundary is less than 150 meters from SDU), do monitoring 

results show pollutant concentrations below values shown in 40 CFR 

503.23(a)(2) Table 2? 03.23(a)(1)] (2) 

5. Are management practices employed? [503.24] 

6. List management practices where applicable: 

[5

___ No threatened or endangered species present or critical habitat 

affected at the location where bulk sludge is surface disposed. 

___ Surface disposal unit shall not restrict flow of base flood. 

___ If in seismic impact zone, design will withstand recorded horizontal 

ground acceleration. 

___ Located > 60 meters from any fault displaced in Holocene time. 

___ Not located in unstable area or wetlands. 

___ Runoff collection and treatment with 25-year 24-hour storm runoff 

event storage capacity. 

___ Leachate collection system operated and maintained for 3 years 

after closure of the surface disposal unit. 

___ Leachate treated and disposed of in accordance with applicable 

requirements, i.e., NPDES permit. 

___ Methane is contained under covered units at a concentration less 

than 25% of the LEL for methane. 

___ Methane is contained under a final cover placed on a closed unit 

maintained at a concentration less than 25% of the LEL for methane 

for three years after closure. 

___ Methane concentration at the property line is maintained at a 

concentration less than the LEL for methane for three years after 

closure of the unit. 

___ No feed or food crops grown on active unit. (3) 

___ No animal grazing allowed on active unit. (3) 

10-52

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

F. SURFACE DISPOSAL (Continued) 

___ Public access res tricted for the period of tim e while a unit is active 

and for three years after last active unit in a site closes. 

___ Sludge placed in an active unit does not contaminate groundwater 

aquifers. (4) 

Yes No N/A 7. Classification of Sewage Sludge with respect to Pathogens: [503.30] 

Class A ______ Class B ______ Unknown ______ 

Yes No N/A 8. Are Class A Pathogen reductions requirements met? [503.15(a)] (5) 

9. Indicate which method is used to meet Class A requirements: 

[503.32(a)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and Time/Temperature requirements. [503.32(a)(3)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and pH requirements. [503.32(a)(4)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and enteric viruses or helminth ova reduction 

requirements. [503.32(a)(5)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and enteric viruses or helminth ova density 

requirements. [503.32(a)(6)] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and Process to Further Reduce Pathogens (PFRP). 

[503.32(a)(7)] and [503 Appendix B] 

___ Fecal Coliform <1000 MPN/g total solids, or Salmonella <3 MPN/4 g 

total solids, and equivalent PFRP. [503.32(a)(8)] and [503 Appendix 

B] (7) 

Yes No N/A 10. Are Class B Pathogen reduction requirements met? [503.32(b)] (5) 

11. Indicate which method(s) is used to meet Class B requirements: 

___ Geometric mean of seven Fecal Coliform samples with <2,000,000 

MPN/g total solids or <2,000,000 Colony Forming Units/g total 

solids. [503.32(b)(2)] 

___ Treated by Process to Significantly Reduce Pathogens (PSRP). 

[503.32(b)(3)] and [503 Appendix B] (6) 

___ Treated by equivalent PSRP. [503.32(b)(4)] and [503 Appendix B] (6) 

Yes No N/A 

Yes No N/A 

12. Is a Vector Attraction Reduction method practiced? [503.25(b)] (7) 

13. Indicate Vector Attraction Reduction method: 03.33(b)] [5

___ 38% Volatile Solids Reduction. [503.33(b)(1)] 

___ 40 day test - Volatile Solids reduced <17%. [503.33(b)(2)] 

(Anaerobic Digestion Only) 

10-53

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

F. SURFACE DISPOSAL (Continued) 

___ 30 day test - Volatile Solids reduced <15%. [503.33(b)(3)] 

(Aerobic Digestion Only) 

___ Specific Oxygen Uptake Rate (SOUR) <1.5 mg/hr/gm TS @ 20°C. 

[503.33(b)(4)] 

___ Aerobic Process for >14 days @ >40°C with average sludge 

temperatures >45°C. [503.33(b)(5)] 

___ pH >12 for 2 hours and pH >11.5 for 22 hours [503.33(b)(6)] 

___ Sludge (with no unstabilized solids) contains >75% Total Solids 

prior to mixing with other materials. [503.33(b)(7)] 

___ Sludge (contains unstabilized solids) contains >90% Total Solids 

prior to mixing with other materials. [503.33(b)(8)] 

___ Subsurface Injection. [503.33(b)(9)] 

___ Soil Incorporation. [503.33(b)(10)] 

___ Sludge covered with soil or other material at the end of the day. 

[503.33(b)(11)] 

Yes No N/A 

Yes No N/A 

Comments: 

14. Have any SDUs been closed? 

15. Has facility subm itted closure an d post closure plan for any active 

SDU 180 days prior to closing? [503.22(c)] 

10-54

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

Surface Disposal Footnotes 

(1) 

Table 1 of 503.23(a)(1) must be met for all sludge placed in an active surface disposal unit with a distance of greater than 150 meters from the boundary of the surface disposal unit to 

the property line. 

accordance with 503.23(b). 

Site-specific limits can also be set by the permitting authority in 

Table 1 (mg/kg - dry weight basis) 

Arsenic 73 Chromium 600 Nickel 420 

(2)	 Table 2 of 503.23(a)(2) must be met for all sludge placed in an active surface disposal unit 

with a distance of less than 150 meters from the boundary of the surface disposal unit to 

the property line. Site-specific limits can also be set by the permitting authority in 

accordance with 503.23(b). 

Table 2 (mg/kg - dry weight basis) 

Distance between unit boundary Pollutant Concentration (mg/kg)

and property line (m) 

Arsenic Chromium Nickel 

0 to less than 25 30 200 210 

25 to less than 50 34 220 240 

50 to less than 75 39 260 270 

75 to less than 100 46 300 320 

100 to less than 125 53 360 390 

125 to less than 150 62 450 420 

(3) Unless specific approval from the permitting authority has been obtained by the facility. 

(4)	 Facility must have results of groundwater monitoring study developed by a qualified 

groundwater scientist or a certification from a qualified groundwater scientist to 

demonstrate no contamination. 

(5) 

Facility must meet Class A pathogen reduction requirements of 503.32(a) or Class B 503.32(b)(2) through (b)(4) unless vector attraction reduction method 503.33(b)(11), 

covering sludge at the end of the day, is used. 

(6) 

Process to Significantly Reduce Pathogens (PSRP) includes Aerobic Digestion, Air Drying, Anaerobic Digestion, Composting, and Lime Stabilization. Process to Further Reduce 

Pathogens (PFRP) includes Composting, Heat Drying, Heat Treatment, Thermophilic 

Aerobic Digestion, Beta Ray Irradiation, Gamma Ray Irradiation, and Pasteurization. Each 

process has required operating conditions to demonstrate compliance. See 503 Appendix 

B and Unit Process Checklist. 

(7) 

Facility must meet vector attraction reduction requirements of 503.33(b) to surface dispose sludge. 

10-55

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

G. SEWAGE SLUDGE INCINERATION 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

No N/A 

No N/A 

No N/A 

Yes No N/A 

Yes No N/A 

1. Does the incinerator meet the definition of a sewage sludge 

incinerator? 

2. Do sewage sludge monitoring results show pollutant concentrations 

below permit limits? 

3. Does THC monitoring show concentrations below 100 ppm (monthly 

average)? 

4. Are there instruments installed that continuously measure and record 

THC (or alternatively CO), oxygen concentration, moisture content, 

and combustion temperatures? 

5. Is the THC instrument calibrated as required by 503.45 (once every 

24-hour period using propane) or the permit? 

6. Are the other instruments calibrated as required by the permit? 

7. Are the instruments operated and maintained as specified by the 

permit? 

8. How many times was the incinerator operated at above the maximum 

combustion temperature specified in the permit? ________________ 

For how long was the incinerator in operation above the maximum 

combustion temperature? ________________ 

Yes No N/A 9. How many times was the incinerator operated outside the range of 

the air pollution control devices operating parameters specified in the 

permit? ________________ 

For how long was the incinerator in operation outside the ranges? 

________________ 

Yes No N/A 10. Are the following records maintained: 

Yes No N/A	 Concentration of lead, arsenic, cadmium, chromium, and nickel in the 

sewage sludge fed to the sewage sludge incinerator. 

Yes No N/A THC concentrations in the exit gas. 

Yes No N/A	 Information that indicates NESHAP for beryllium in Subpart C of 40 

CFR Part 61 are met. 

Yes No N/A	 Information that indicates NESHAP for mercury in Subpart E of 40 

CFR Part 61 are met. 

Yes No N/A	 Combustion temperatures, including maximum combustion 

temperature. 

Yes No N/A Values for air pollution control device operating parameters. 

Yes No N/A Oxygen concentration. 

Yes No N/A Information used to measure moisture content in the exit gas. 

Yes No N/A Sewage sludge feed rate.

10-56

Chapter Ten Sewage Sludge (Biosolids) 

SLUDGE INSPECTION CHECKLIST (Continued) 

G. SEWAGE SLUDGE INCINERATION (Continued) 

Yes No N/A 

Yes No N/A Dispersion factor for the site. 

Yes No N/A 

Yes No N/A Risk specific concentration for chromium (if applicable). 

Stack height of incinerator. 

Control efficiency for lead, arsenic, cadmium, chromium, and nickel. 

Yes No N/A	 Calibration and maintenance log for the instruments used to measure 

THC (or CO), oxygen concentration, moisture content, and 

combustion temperatures. 

Yes No N/A Are these records maintained for 5 years? 

Yes No N/A 11. Have all instances of noncompliance been reported as specified by 

the permit? 

Comments: 

10-57

Chapter Ten Sewage Sludge (Biosolids) 

This page intentionally left blank. 

10-58

11. STORM WATER 

Contents Page 

A. Background and History ............................................... 11-1


Regulation Overview (40 CFR 122.26) ................................ 11-1


B. Storm Water Discharges Associated with Industrial Activity 

(Not Including Construction) ..................................... 11-7


Applicability (Who is Covered) ...................................... 11-7


Permit Applications for Storm Water Discharges Associated With Industrial 


Activity ........................................................ 11-9


Storm Water Pollution Prevention Plan Requirements/Office Review ........ 11-11


SWPPP Implementation/In the Field ................................ 11-13


Monitoring (including Self-Inspections) ............................... 11-14


C.	 Storm Water Discharges Associated with Construction Activity ................ 11-20


Applicability (Who is Covered) ..................................... 11-20


Permit Applications for Storm Water Discharges Associated With 


Construction Activity ............................................. 11-22


Storm Water Pollution Prevention Plan Requirements ................... 11-23


SWPPP Implementation/In the Field ................................ 11-25


D. Storm Water Discharges From Municipal Separate Storm Sewer Systems ........ 11-30


Applicability (Who is Covered) ..................................... 11-30


Permit Applications for Storm Water Discharges From Municipal Separate 


Storm Sewer Systems ........................................... 11-31


Storm Water Management Program (SWMP) Development .............. 11-33


SWMP Implementation/In the Field ................................. 11-37


E. References ........................................................ 11-39


List of Tables 

11-1 Summary of Storm Water Permitting Regulations ....................... 11-3


11-2 NPDES Storm Water Permit Application and Issuance Deadlines ........... 11-4


11-3 Summary of Federal Permit Requirements Under the NPDES Storm Water 


Program ....................................................... 11-5


11-4 Important SIC Codes for Storm Water Discharges ...................... 11-15


11-i 
Chapter Eleven Storm Water 

List of Figures 

11-1 Industrial Categories Associated With Industrial Activity .................. 11-17 

11-2 Site-Specific Industrial Storm Water BMPs ............................ 11-19 

11-3 Site-Specific Construction Storm Water BMPs ......................... 11-28 

Associated Appendices 

P. NPDES Industrial Storm Water Investigation and Case Development Worksheet 

(Industrial) 

Q. Industrial Source Control BMP Questions 

R. . NPDES Industrial Storm Water Investigation and Case Development Worksheet

(Construction) 

S. Construction Control Source BMP Questions 

T. Notice of Intent (NOI) Form 

U. Rain Zones of the United States 

V. Typical “C” Coefficients


W. Notice of Termination (NOT) Form 


X. No Exposure Certification Form


11-ii 
11. A. Background and History 

Regulation Overview (40 CFR 122.26) 

In addition to materials in this chapter, inspectors must be familiar with Chapter 1 -

"Introduction" & Chapter 2 - "Inspection Procedures." 

The 1972 amendments to the Federal Water Pollution Control Act (also known as the Clean 

Water Act or CWA) prohibited the discharge of any pollutants to navigable waters from a point 

source unless the discharge was 

authorized by a National Pollutant 

Discharge Elimination System 

(NPDES) permit. At the time of the 

1972 amendments to the CWA, 

sewage treatment plant outfalls and 

industrial process wastewater were 

easily identified as point sources 

responsible for contributing to the 

degradation of water quality. However, 

as pollution control measures were 

instituted, it became evident that more 

diffuse sources, such as agricultural 

and storm water runoff, were also 

contributing to the problem. In 

response to this concern, the Water 

Quality Act (WQA) of 1987 added 

Section 402(p) to the CWA and 

required the Environmental Protection 

1987 Amendments to CWA 


402(p) Municipal and industrial storm water discharges


(1) General rule - prohibits permits for discharges composed 

entirely of storm water prior to October 1, 1994 with some 

exceptions 

(2) Exceptions - Identifies five types of storm water 

discharges that are to be permitted prior to October 1, 1994 

(3) Permit requirements - identifies permitting approach for 

industrial and municipal storm water discharges 

(4) Permit application requirements - identifies application 

requirements for industrial and municipal storm water 

discharges 

(5) Studies - identifies requirement for report to Congress on 

other sources of storm water discharges 

(6) Regulations - requires regulations for permitting other 

types of storm water discharges to protect water quality 

Agency (EPA) to establish a comprehensive two-phased approach to address storm water 

discharges. 

In response to section 402(p)(2) of the Act, Phase I Storm Water regulations were promulgated 

on November 16, 1990 (55 FR 47990). The regulations specified that the following five storm 

water discharges must apply for a NPDES permit: 

(A) A discharge subject to a NPDES permit before February 4, 1987 

(B) A discharge associated with industrial activity (including construction activities >5 

acres) 

(C) A discharge from a municipal separate storm sewer system serving a population of 

250,000 or more (large MS4s) 

(D) A discharge from a municipal separate storm sewer system serving a population of 

100,000 or more but less than 250,000 (medium MS4s) and 

(E)	 A discharge that an NPDES permitting authority determines to be contributing to a 

violation of a water quality standard or a significant contributor of pollutants to waters 

of the United States. 

Consistent with Section 402(p)(6) of the Act, EPA Promulgated Phase II Storm Water 

regulations on December 8, 1999 (64 FR 68722). The Phase II regulations are designed to 

protect water quality from other types of storm water discharges not already covered by Phase I 

regulation. Phase II adds regulated small municipal separate storm sewers systems (MS4s) 

11-1

Chapter Eleven Storm Water 

and small construction (disturbing between 1 and 5 acres) to those entities required to obtain 

permit coverage for storm water discharges. 

Storm water regulations are codified primarily in 40 CFR 122.26 but also are addressed in 

several other locations in the Federal regulations. A summary of these sections is provided in 

Table 11-1. The storm water regulations apply to discharges both to waters of the United 

States and to municipal separate storm sewer systems (MS4s). Storm water discharges 

to sanitary sewer systems or to combined sewer systems are not covered by the storm 

water regulations. 

EPA’s NPDES Storm Water Program focuses on three distinct types of regulated entities: 

industrial facilities, construction sites, and municipal separate storm sewers systems (MS4s). 

For clarity, the remainder of this chapter discusses these three types of permitted entities 

separately. Two tables are attached as additional references: Table 11-2 NPDES Storm Water 

Permit Application and Issuance Deadlines; and Table 11-3, Summary of the Federal Permit 

Requirements Under the NPDES Storm Water Program. 

Regarding Table 11-2, Section 402(p)(4) of the CWA identifies specific deadlines for the 

issuance or denial of all storm water permits. However, since EPA was unable to promulgate 

its regulations by the statutory deadline, the regulations require issuing or denying all storm 

water permits within one year of the permit application regulatory deadline consistent with 

Congress' intent. Section 402(p)(4) also specifies that permits shall provide for compliance as 

expeditiously as practicable, but in no event later than 3 years after the permit issuance date. 

11-2

Chapter Eleven Storm Water 

Table 11-1


Summary of Storm Water Permitting Regulations


40 CFR 122 - EPA Administered Permit Programs: The National Pollutant Discharge Elimination 

System 

122.1 Purpose and scope


122.21 Application for a permit


122.22 Signatories to permit applications and reports


122.26(a) Permit requirements


122.26(b) Definitions


122.26(c) Application requirements for storm water discharges associated with industrial activity


122.26(d) Application requirements for large and medium municipal separate storm sewer discharges


122.26(e) Application deadlines


122.26(f) Petitions


122.26(g) Conditional exclusion for “no exposure” of industrial activities and materials to storm water


122.28 General permits


122.30 What are the objectives of the storm water regulations for small MS4s?


122.31 As a Tribe, what is my role under the NPDES storm water program?


122.32 As an operator of a small MS4, am I regulated under the NPDES storm water program?


122.33 If I am an operator of a regulated small MS4, how do I apply for an NPDES permit and when do


I have to apply?


122.34 As an operator of a regulated small MS4, what will my NPDES MS4 storm water permit require?


122.35 As an operator of a regulated small MS4, may I share the responsibility to implement the


minimum control measures with other entities?


122.36 As an operator of a regulated small MS4, what happens if I don’t comply with the application


requirements in 122.33 through 122.35?


122.37 Will the small MS4 storm water program regulations at 122.32 through 122.36 and 122.35 of


this chapter change in the future?


122.42 Additional conditions applicable to specified categories of NPDES permits


122.44 Establishing limitations, standards, and other permit conditions


122.62 Modifications or revocation and reissuance of permits


40 CFR Part 123 - State Program Requirements 

123.25 Requirements for permitting


123.35 As the NPDES permitting authority for regulated small MS4s, what is my role?


40 CFR Part 124 - Procedures for Decision making 

124.52 Permits required on a case-by-case basis


Appendix E Rainfall zones of the United States 

Appendix F Incorporated places with populations greater than 250,000 according to latest decennial census 

by Bureau of Census 

Appendix G Incorporated places with populations greater than 100,000 and less than 250,000 according to 

latest decennial census by Bureau of Census 

Appendix H Counties with unincorporated urbanized areas with a population of 250,000 or more according 

to the latest decennial census by the Bureau of Census 

Appendix I Counties with unincorporated urbanized areas greater than 100,000, but less than 250,000 

according to the latest decennial census by the Bureau of Census 

11-3

Chapter Eleven Storm Water 

Table 11-2


NPDES Storm Water Permit Application and Issuance Deadlines


Type of Application/

Type of Discharge 

Permit Application Permit Coverage

Deadline 

Industrial Storm Water 

Individual Permit Application 

Existing facilities October 1, 1992 October 1, 1993 

New facilities 180 days prior to commencement 1 year after receipt of 

of indus trial activity com plete perm it 

application 

New construction facilities 90 days prior to commencement of 1 year after receipt of 

construction com plete perm it 

application 

General Permit Application1 

Existing facilities 

New facilities 

October 1, 1992 

90 days prior to commencement of 

discharge unless specific general 

permit specifies otherwise 

As specified in GP 

As specified in GP 

1

Facilities applying for general permits must submit notices of intent (NOIs), rather than permit applications. 

11-4

Chapter Eleven Storm Water 

Table 11-3


Summary of Federal Permit Requirements Under the NPDES Storm Water Program


Mun icipal Sepa rate Storm 

Sewer Systems (MS4s) 

Construction Activity Industrial Activity 

Phase I 

Requirem ents 

(November 16, 

1990) 

Medium and Large M S4s 

(122.26(d)) 

• sh adequate legal 

authority to control discharges 

to storm sewer, inspect, and 

enforc eme nt. 

• fy major storm water 

sources and locations of 

outfalls, and provide 

characterization data of 

discharges. 

• rm W ater 

Management Program: 

- Controls for residential and 

commercial activities 

- Illicit discharge detection and 

elimination program 

- Controls for municipal and 

industrial activities 

- Con struc tion s ite co ntrols 

• Assess control and perform 

fiscal analysis 

• Submit annual report 

Category (x) 

Construction Activity 

(5+Acres) 

CGP: 

• Storm Water 

Pollution Prevention 

Plan (SWPPP) 

- Site description 

- Description of 

BMPs for erosion 

and sediment, postconstruction storm 

water management, 

and other controls 

- Self-evaluation 

and recordkeeping 

Ten Categories of 

Industrial Activity 

(Categories (i)-(ix), 

(xi)) 

MSGP: 

• SWPPP 

- Site evaluation 

- Description of 

appropriate storm 

water management 

BMPs 

- Self-evaluation, 

monitoring, 

recordkeeping, and, 

in some 

circumstances, 

reporting 

• If discharging into a 

medium or large 

MS4, notify the MS4 

operator 

Establi

Identi

Develop Sto

11-5

Chapter Eleven Storm Water 

Table 11-3


Summary of Federal Permit Requirements Under the NPDES Storm Water Program


(Continued) 

Phas e II 

Requirem ents 

(December 8, 

1999) 

Regulated Small MS4 

• Storm Water Management 

Program: 

- Public education and 

outreach 

- Public pa rticipation effo rts 

- Illicit discharge detection and 

elimination program 

- Construction runoff control 

program for construction 

activity disturbing 1 acre or 

greater 

- Post-construction runoff 

control program for 

construction activity disturbing 1 

acre or greater 

- Good housekeeping/ 

pollution prevention for 

municipal operations 

• Conduct assessment of 

identified BMPs and 

measurable goals for each 

minimum control measure 

• Submit periodic program 

asses sme nt reports 

Small Construction 

Activity 

(�1 and <5 acres) 

• Sim ilar to c ateg ory 

(x) C ons truct ion A ctivity 

requirements abo ve 

• Small construction 

waivers requirement 

Industrial 

• Conditional no 

exposure waiver 

11-6

Chapter Eleven Storm Water 

11. B. 	Storm Water Discharges 

Associated with Industrial 

Activity 

(Not Including Construction) 

Applicability (Who is Covered) 

The storm water regulations identify 11 categories of facilities that are associated with industrial 

activity (40 CFR 122.26(b)(14)(i)-(xi)). EPA defines these categories of industrial activity using 

a combination of standard industrial classification codes and facility activities. A description of 

these 11 categories is provided in Figure 11-1. One of the 11 categories, category (x), 

construction activity, is discussed separately in Section 11.C because of the significant 

difference in site activity and requirements from the other 10 industrial categories. 

EPA estimates that nationwide more than 150,000 industrial facilities are required to obtain 

permit coverage for storm water discharges associated with industrial activity. 

The NPDES regulations, at 40 CFR 122.26(b)(14) define “storm water discharges associated 

with industrial activity.” Specifically, the phrase means “the discharge from any one 

conveyance which is used for collecting and conveying storm water and which is directly related 

to manufacturing, processing, or raw materials storage areas at an industrial plant.” For the 10 

categories of industries identified in 40 CFR 122.26(b)(14)(i)-(ix), and (xi), the term includes, but 

is not limited to, storm water discharges from the following: 

• Industrial plant yards 

•	 Immediate access roads and rail lines used or traveled by carriers of raw materials, 

manufactured products, waste material, or by-products used or created by the facility 

• Material handling sites 

• Refuse sites 

• Sites used to apply or dispose 

of process wastewaters (as Material handling activities include storage loading and 

defined at 40 CFR Part 401) unloading, transportation, or conveyance of any raw material, 

intermediate product, final product, by-product, or waste 

product. The term excludes areas located on plant lands

• Sites used for storage and separate from the plant’s industrial activities such as the 

maintenance of material office buildings and accompanying parking lots as long as the 

handling equipment drainage from the excluded areas is not mixed with storm 

water drained from any of the manufacturing, processing, or 

• Sites used for residual raw material storage areas. 

treatment, storage, or disposal 

11-7

Chapter Eleven Storm Water 

• Shipping and receiving areas 

• Manufacturing buildings 

•	 Storage areas (including tank farms) for raw materials and intermediate and finished 

products 

•	 Areas where industrial activity has taken place in the past and significant materials 

remain and are exposed to storm water. 

One of the first questions that must be answered by the inspector when evaluating the 

applicability of the storm water permitting regulations to a specific facility is whether the facility 

performs any industrial activities subject to the storm water permitting requirements. Often, this 

decision hinges upon the facility's primary SIC code, which is based on the primary activity 

occurring at the site. (See Table 11-4 for a list of primary SIC codes covered by the storm 

water permitting requirements.) Where multiple activities are conducted at a site, with each 

activity having a distinct SIC code, EPA recommends using the value of receipts or revenues 

with the activity generating the most revenue or employing the most people being the primary 

activity of the facility. If the SIC code for this primary activity is identified in 40 CFR 

122.26(b)(14), then the facility is subject to the storm water permitting requirements. If, 

however, the facility's primary activity is not included in 40 CFR 122.26(b)(14), the facility is not 

subject to the permitting requirements even if the facility conducts secondary activities that are 

identified therein. The approach is different for industrial sectors identified with narrative rather 

then SIC codes. In these instances, any activity performed that meets the narrative description 

is required to obtain permit coverage for those specific activities. For more information on 

compliance assistance for transportation, construction, auto recyclers, etc. go to 

www.assistancecenters.net. 

Exemption for Mining or Oil and Gas Facilities 

Storm water runoff from oil and gas exploration, production, processing, transmission, and 

treatment operations and mining operations are exempt from CWA permitting requirements 

provided that the runoff is not contaminated with, or does not come into contact with, any 

overburden, raw material, intermediate products, finished product, byproduct, or waste products 

located on the site of such operations. 

Federal regulations at 40 CFR §122.26(c)(1)(iii) specify that storm water discharges from oil 

and gas exploration, production, processing, or treatment operations, or transmission facilities 

do need permit coverage if the facility has had a discharge of storm water (A) resulting in the 

discharge of a reportable quantity for which notification is or was required pursuant to 40 CFR 

117.21, 40 CFR 302.6 or 40 CFR 110.6 or (B) that contributes to a violation of a water quality 

standard. 

Consistent with 40 CFR §122.26(c)(1)(iv), a discharge composed entirely of storm water from a 

mining operation is not required to submit a permit application unless the discharge has come 

into contact with any overburden, raw material, intermediate products, finished product, 

byproduct, or waste products located on the site of such operations. 

Note that the CWA exemption for oil, gas, and mining operations does not apply to construction 

activities related to those operations. Currently, construction activities at oil, gas and mining 

11-8

Chapter Eleven 

operations which exceed five acres, 

or are part of a larger common plan of 

development, are required to obtain 

permit coverage, either under a state 

or federal construction permit. 

Effective March 10, 2005, 

construction activities at oil, gas and 

mining operations which exceed one 

acre will be required to obtain permit 

Storm Water 

No exposure means all industrial materials and activities are 

protected by a storm resistant shelter to prevent exposure to 

rain, snow, snowmelt, and/or runoff. Industrial materials or 

activities include, but are not limited to, material handling 

equipment or activities, industrial machinery, raw materials, 

intermediate products, by-products, final products, or waste 

products. 

coverage. An informational brochure is available on EPA’s Region VI website on Stormwater 

Best Management Practices (BMP) titled “Your Oil and Gas Construction Activities May Need 

Coverage Under the Clean Water Act’s Stormwater Program!” 

Conditional No Exposure Exclusion 

The Phase II Conditional No Exposure Exclusion significantly expands the scope of the original 

no exposure eligibility requirements. Under the conditional no exposure exclusion, operators of 

industrial facilities in any of the 10 categories of "storm water discharges associated with 

industrial activity," have the opportunity to certify to a condition of "no exposure" if their 

industrial materials and operation activities are not exposed to storm water. As long as the 

condition of "no exposure" exists at a certified facility, the operator is excluded from NPDES 

industrial storm water permit requirements. The conditional no exposure exclusion replaces the 

previous “light industry” no exposure exemption included under the Phase I Storm Water 

Program. 

Permit Applications for Storm Water Discharges Associated With Industrial Activity 

Industrial facilities have two permit options for storm water discharges - coverage under (1) a 

general permit or (2) an individual permit. Most industrial facilities have permit coverage under 

a general permit because it is the most efficient permit option for permitting large number of 

facilities with similar discharge characteristics. Where EPA is the NPDES permitting authority, 

the Multi-Sector General Permit (MSGP), most recently issued on October 30, 2000 (65 FR 

64746), is the general permit available to facility operators. The MSGP covers 30 industrial 

sectors. Standard Industrial Classification (SIC) codes and narrative descriptions identify the 

industrial facilities within each of the 30 sectors. The EPA MSGP is available for use in areas 

only where EPA is the permitting authority. Similar general permits may be available in NPDES 

authorized states. Information related to general and individual permits is presented below. 

General Permit/Notice of Intent 

To apply for permit coverage under the MSGP, a facility operator must complete and submit to 

the appropriate NPDES permitting authority a Notice of Intent (NOI) form. The NOI requests a 

variety of basic facility information, including latitude/longitude of the facility, and information 

related to the Endangered Species Act and the National Historic Preservation Act. The 

deadline for submission of an NOI requesting coverage under the MSGP-2000 was January 29, 

2001 for existing sources. (The MSGP-2000 preamble and permit contain conflicting 

information regarding the deadline. EPA published a technical correction that contains the 

correct deadline of January 29, 2001 [66 FR 1675] January 9, 2001.) 

11-9

Chapter Eleven Storm Water 

Under EPA’s current MSGP, new facilities and those facilities that change ownership or 

operators must submit an NOI at least 48 hours prior to commencement of the industrial activity 

at the site or change in ownership/operator. 

To discontinue permit coverage, a facility operator must complete and submit to the appropriate 

NPDES permitting authority a Notice of Termination (NOT) form. The most recent version of 

the NOT form is available in Addendum E of the Federal Register containing the MSGP-2000. 

Individual Permits 

There are certain circumstances where a general permit is either not available or not applicable 

to a specific facility. Examples of when an individual permit is the only option include: 

� The NPDES permitting authority requires a facility operator to apply for individual permit 

coverage. 

� The facility operator is unable to certify eligibility with the conditions of the general permit. 

In these situations, a facility operator must obtain coverage under an individual permit that the 

NPDES permitting authority will develop with requirements specific to that facility. 

Establishing Eligibility 

Endangered Species Act 

EPA’s NOI requires the facility to certify that the 

industrial activity will not impact endangered or 

threatened species or designated critical habitats 

protected under the Endangered Species Act (ESA). 

This certification is unique to EPA’s NOI and is not a 

requirement of most NPDES-delegated States’ NOIs. 

All dischargers applying for coverage must provide 

application on the NOI form including: (1) whether there 

are listed species in proximity to the storm water or 

allowable non-storm water discharges or dischargerelated activity; (2) under which option of the MSGP they 

claim eligibility for permit coverage (outlined in 

Addendum A of the Final Reissuance of National 

Pollutant Discharge Elimination System (NPDES) Storm 

“Discharge-related activities’’ are 

defined to include activities which 

cause, contribute to or result in storm 

water and allowable non-storm water 

point source discharges, and measures 

such as the siting, construction and 

operation of BMPs to control, reduce or 

prevent pollution in the discharges. 

Discharge-related activities are included 

for compliance with ESA requirements 

to consider the effects of activities 

which are related to the activity which 

is permitted, i.e., the storm water and 

non-storm water discharges. 

Water Multi-Sector General Permit for Industrial Activities dated October 30, 2000), and (3) 

certification that their storm water and allowable non-storm water discharges and discharge 

related activities are not likely to jeopardize listed species, or certification that they are 

otherwise eligible for coverage due to a previous authorization under the ESA. Permittees 

should consult with state Fish and Wildlife Service (FWS) and National Marine Fisheries 

Service (NMFS) offices to make these determinations of eligibility. 

National Historic Preservation Act 

The National Historic Preservation Act (NHPA) requires Federal agencies to take into account 

the effects of Federal undertakings, including NPDES general permits. An applicant is eligible 

for permit coverage only if: (1) the applicant’s storm water discharges and BMPs to control 

storm water runoff do not affect a historic property, or (2) the applicant has obtained, and is in 

11-10

Chapter Eleven Storm Water 

compliance with a written agreement between the applicant and the State Historic Preservation 

Officer (SHPO) or Tribal Historic Preservation Officers (THPO) that outlines all measures to be 

taken by the applicant to mitigate or prevent adverse effects to the historic property. NHPA 

guidance and a list of SHPO and THPO addresses are included in Addendum B of the Final 

Reissuance of National Pollutant Discharge Elimination System (NPDES) Storm Water MultiSector General Permit for Industrial Activities dated October 30, 2000. An electronic listing of 

the “National Register of Historic Places,” as maintained by the National Park Service, can be 

accessed at http://www.nps.gov. 

Storm Water Pollution Prevention Plan Requirements/Office Review 

The operator (or applicant) must prepare a Storm Water Pollution Prevention Plan (SWPPP) for 

the facility before submitting a Notice of Intent for permit coverage. The SWPPP must be 

signed by a responsible corporate official such as a president, vice president, or general partner 

as identified in the MSGP. This SWPPP is to be kept at the facility at all times (or other local 

location accessible to the EPA, a State, Tribal or Territorial agency with jurisdiction over water 

quality protection; local government officials; or the operator of a MS4 receiving discharges 

from the site) and must be submitted for review when requested by EPA or by the operator of 

the municipal separate storm sewer system when the facility discharges to a municipal separate 

storm sewer. 

For large or complex facilities, the inspector should request a copy of the SWPPP prior to 

inspection to be more familiar with the facility during the inspection. Otherwise, the inspector 

will obtain a copy of and review the SWPPP or at least parts of the SWPPP during the 

inspection. At a minimum, the inspector should review the site map prior to conducting the field 

inspection to understand the site and the existing/planned storm water controls. Depending on 

the time available for the inspection and the size of the SWPPP, the inspector may need to 

complete the remaining portion of the SWPPP review only when he or she returns to the office. 

In reviewing the SWPPP, the inspector must evaluate whether it contains all of the required 

elements specified in the permit (e.g., the MSGP, the State General Permit in NPDES 

authorized States, or an individual permit issued to the facility). Typically, the MSGP requires 

that the SWPPP identify potential sources of pollution which may be reasonably expected to 

affect the quality of storm water discharges and describe and ensure implementation of 

practices used by the facility to reduce the pollutants in its storm water discharges. (Reviewing 

the SWPPP implementation is covered in the next section.) The MSGP-2000 lists the 

following specific items that must be included in the SWPPP: 

• Pollution Prevention Team - identifying individuals responsible for developing, 

implementing, maintaining, and revising the SWPPP 

. • Description of industrial activities at the facility 

• General location map depicting the facility and location of receiving waters 

•	 Legible site map indicating: 

- direction of storm water flow 

- location of existing structural Best Management Practices (BMPs) 

- location of all surface water bodies 

- location of potential pollutant sources and where significant materials are exposed to 

precipitation 

11-11

Chapter Eleven Storm Water 

- location where major spills or leaks have occurred


- locations of activities exposed to precipitation, including fueling stations, vehicle and


equipment maintenance and/or cleaning areas, etc. 

- locations of storm water outfalls and outline of areas draining to such outfalls 

- location and description of non-storm water discharges 

- location of activities exposed to precipitation to include processing and storage 

areas, access roads, etc. 

- location and source of runoff from adjacent property containing significant quantities 

of pollutants of concern. 

• Receiving waters and wetlands 

• Summary of potential pollutant sources 

• Areas of spills and leaks during prior three-year period 

• Summary of sampling data 

• Storm water controls to include a description of existing and planned BMPs. 

These items are detailed in Section 4.2 of the MSGP-2000, which covers the general 

requirements for a SWPPP. In addition, the MSGP contains sector-specific SWPPP 

requirements which are found in Section 6 of the MSGP. The NPDES Industrial Storm Water 

Worksheet found in Appendix P also lists these items. Finally, a State General Permit may 

contain additional items. The inspector must have the applicable State general permit for storm 

water discharges associated with industrial activities. 

NOTE: As defined in 40 CFR 122.26(b)(12), significant materials include, but are not limited to: 

raw materials; fuels; materials such as solvents, detergents, and plastic pellets; finished 

materials such as metallic products; raw materials used in food processing or production; 

hazardous substances designated under CFR Section 101(14) of the Comprehensive 

Environmental Response, Compensation, and Liability Act (CERCLA); any chemical the facility 

is required to report pursuant to Section 313 of Title III of Superfund Amendments and 

Reauthorization Act (SARA); fertilizers; pesticides; and waste products such as ashes, slag, 

and sludge that have the potential to be released with storm water discharges. 

The SWPPP may incorporate or may be incorporated into other plans that the facility prepared 

for other permits or programs including Spill Prevention Control and Countermeasure (SPCC) 

Plans, or BMP Programs. 

Additional Requirements for EPCRA 313 Facilities 

The MSGP also includes special requirements for facilities subject to reporting requirements 

under Emergency Planning and Community Right-to-Know (EPCRA) (also known as Title III of 

the Superfund Amendments and Reauthorization Act (SARA) of 1986). Potential pollutant 

sources for which the facility has reporting requirements under EPCRA 313 must be identified 

in the summary of potential pollutant sources in the facility’s SWPPP. 

11-12

Chapter Eleven Storm Water 

SWPPP Implementation/In the Field 

In the field, the inspector should verify that the map and description of potential pollutant 

sources in the SWPPP reflect current conditions. In addition, the inspector should verify that 

measures and controls described in the SWPPP, are being implemented as described in the 

SWPPP. These measures and controls will include items such as: 

• Good housekeeping or upkeep of industrial areas exposed to storm water 

• Preventive maintenance of storm water controls and other facility equipment 

•	 Spill prevention and response procedures to minimize the potential for and the impact of 

spills 

•	 Inspections of areas where industrial materials or activities are exposed to storm water, 

including evaluation of existing BMPs 

•	 Employee training on pollution prevention measures and controls and recordkeeping 

(described in detail below). 

The MSGP may also require that facilities: 

•	 Identify areas with a high potential for erosion and the stabilization measures or 

structural controls to be used to limit erosion in these areas 

•	 Implement traditional storm water management measures (e.g., oil/water separators, 

vegetative swales, detention ponds) where they are appropriate for the site. 

Implementation of SWPPPs requires facilities to implement BMPs and train employees on how


to carry out the goals of the SWPPP. The inspector should evaluate any implementation


schedules developed by the facility for carrying out the SWPPP (e.g., deadlines for putting


improved housekeeping measures into practice). The inspector should also determine whether


appropriate individuals have been assigned to implement the specific aspects of the SWPPP


and whether these individuals are aware of the requirements of that designation. If the SWPPP


requires installation of structural controls, the inspector should verify that the controls are in


place and in good working order or that the facility is on an appropriate schedule for


construction of the structural control measures. The inspector should also ensure that


management approves of the implementation schedule and strategy and is aware of the


SWPPP process.


In addition, employee training on the components and goals of the Storm Water Pollution


Prevention Plan must be performed at all levels of responsibility. The inspector should verify


that there are training programs and that the training focuses on spill prevention and response,


good housekeeping practices, materials management, and also, how to do inspections and


monitoring. 


Specific inspector questions, that may be appropriate at a given industrial site, are contained in


the NPDES Industrial Storm Water Worksheet found in Appendix P. Site-specific Best


Management Practices (BMPs) for industrial activities are summarized in Figure 11-2.


11-13

Chapter Eleven Storm Water 

Monitoring (including Self-Inspections) 

Self-Inspections 

The SWPPP must have provisions for two tiers of inspections to be performed by the facility. 

The first tier consists of quarterly visual examination of storm water discharges, looking for 

indications of storm water pollutants in the discharge. Quarterly visual monitoring is intended to 

determine the need for maintenance, good housekeeping, or other BMPs. The second tier of 

inspection is the comprehensive site evaluation, which requires qualified personnel to: 

• Look for evidence of pollutants entering the drainage system 

• Evaluate the performance of pollution prevention measures 

• Identify areas where the SWPPP should be revised to reduce the discharge of pollutants 

• Document both the routine inspections and the annual site evaluation in a report. 

The compliance site evaluation can be done less frequently than the routine inspection (but not 

less than once per year). The inspector should verify that documentation of both the routine 

inspections and the comprehensive site compliance evaluation is included in the SWPPP. 

Monitoring Requirements 

There are several distinct categories of monitoring requirements and numeric effluent 

limitations that the facility may be subject to under the MSGP-2000: (1) monitoring for numeric 

limitation, (2) benchmark monitoring, (3) biannual monitoring for metal mining facilities, and (4) 

specific monitoring by a State, Tribe, or Territory. The monitoring requirements and numeric 

limitations applicable to the facility depend on a number of factors including (1) the types of 

industrial activities generating storm water runoff from the facility, and (2) the State or Tribe 

where the facility is located. Depending on the facility’s sector (identified in MSGP Section 

1.2.1), different monitoring requirements and numeric limitations apply. The MSGP-2000 

established monitoring requirements only for certain classes of industrial sites. These 

requirements are based on analysis of the types of pollutants potentially discharged from the 

different industrial sectors. State NPDES permitting authorities are authorized to include more 

stringent monitoring conditions; therefore, the inspector should review the facility's permit to 

identify the site-specific requirements. 

For specific monitoring requirements, the inspector should review EPA’s most current MSGP 

(where applicable), the State NPDES permit, or the facility-specific individual permit. The 

permit will contain specific conditions as to the sample type, location, frequency, as well as the 

specific parameters that must be analyzed. If it is necessary for the inspector to collect 

samples, the inspector should refer to Chapter Five of this manual and to EPA’s Guidance

Manual for the Monitoring and Reporting Requirements of the NPDES Storm Water MultiSector General Permit, EPA 833-B-99-001, January 1999 for specific details on sampling and 

analyses. 

11-14

Chapter Eleven Storm Water 

Table 11-4


SIC Codes Regulated for Storm Water Discharges


SIC Description 

MINING 

10 Metal mining


12 Coal mining


13 Oil and gas extraction


14 Mining and quarrying or nonmetallic minerals, except fuels


MANUFACTURING 

20 

21 

22 

23 

24 

2434 

25 

26 

265 

267 

27 

28 

283 

285 

29 

30 

31 

311 

32 

323 

33 

34 

3441 

35 

36 

37 

373 

38 

39 

Food and kindred products


Tobacco products


Textile mill products


Apparel and other finished products made from fabrics and similar materials


Lumber and wood products, except furniture


Wood kitchen cabinets


Furniture and fixtures


Paper and allied products


Paperboard containers and boxes


Converted paper and paperboard products, except containers and boxes


Printing, publishing, and allied industries


Chemicals and allied products


Drugs


Paints, varnishes, lacquers, enamels, and allied products


Petroleum refining and related industries


Rubber and miscellaneous plastic products


Leather and leather products


Leather tanning and finishing


Stone, clay, glass, and concrete products


Glass products, made of purchased glass


Primary metals industry


Fabricated metal products, except machinery and transportation equipment


Fabricated structural metal


Industrial and commercial machinery and computer equipment


Electronic and other electrical equipment and components, except computer equipment


Transportation equipment


Ship and boat building and repairing


Measuring, analyzing, and controlling instruments; photographic, medical and optical goods; watches and clocks


Miscellaneous manufacturing industries


TRANSPORTATION, COMMUNICATIONS, ETC. 

40 Railroad transportation


41 Local and suburban transit and interurban highway passenger transportation


42 Motor freight transportation and warehousing


4221 Farm product warehousing and storage 

4222 Refrigerated warehousing and storage 

4225 General warehousing and storage 

43 United States Postal Service 

44 Water transportation 

45 Transportation by air 

WHOLESALE TRADE 

50 

5015 

5093 

51 

5171 

Wholesale trade - durable goods 

Motor vehicle parts, used 

Scrap and waste material 

Wholesale trade - nondurable goods 

Petroleum bulk stations and terminals 

11-15

Chapter Eleven Storm Water 

Figure 11-1 


Industrial Categories Associated With Industrial Activity


The eleven categories eng aging in industrial activity are described below. Descriptions of Standard 

Indu strial C lass ificatio n [SIC ] cod es ap plicab le to th e sto rm wate r regu lation s are prov ided in Tab le 

11-4. 

(i) Facilities subject to storm water effluent limitations guidelines, new source performance standards, 

or tox ic pollu tant e fflue nt sta nda rds u nde r 40 C FR s ubc hap ter N (exc ept fa cilities with to xic 

pollutant effluent standards which are exempted under category (xi) below; 

(ii) Facilities classified as SIC 24 (except 2434), 26 (except 265 and 267), 28 (except 283), 29, 311, 32 

(except 323), 33, 3441, and 373; 

(iii) Facilities classified as SIC 10 through 14 (mineral industry) including active or inactive mining 

operations (except for areas of coa l mining operations no longer me eting the definition of a 

reclamation area under 40 CFR 434.11(l) because the performance bond issued to the facility by 

the appropriate SMCRA authority has been released, or except for areas of non-coal mining 

operation s which have be en releas ed from applicab le State or F ederal re clam ation requ ireme nts 

after December 17, 1990) and oil and gas exploration, production, processing, or treatment 

operations, or transmission facilities that discharge storm water contaminated by contact with or 

that has come into contact with, any overburden, raw material, intermediate products, finished 

products, byproducts or waste products located on the site of such operations; (inactive mining 

ope ration s are min ing sit es th at are not b eing a ctively m ined, but w hich have an ide ntifiab le 

owner/operator; inactive mining sites do not include sites where mining claims are being 

maintained prior to disturbances associated with the extraction, beneficiation, or processing of 

mined materials, nor sites where minimal activities are undertaken for the sole purpose of 

maintaining a mineral claim); 

(iv) Hazardous waste treatment, storage, or disposal facilities, including those that are operating under 

interim status or a permit under subtitle C of RCRA; 

(v) Landfills, land application sites, and open dumps that receive or have received any industrial 

wastes (waste that is received from any of the facilities described under this subsection) including 

those that are subject to regulation under subtitle D of RCRA; 

(vi) Facilities involved in the recycling of materials, including metal scrapyards, battery reclaimers, 

salvage yards, and automobile junkyards, including but not limited to those classified as SIC 5015 

and 5093; 

(vii) Steam electric power generating facilities, including coal handling sites; 

11-16

Chapter Eleven Storm Water 

Figure 11-1


Industrial Categories Associated With Industrial Activity


(Continued)


(viii) 	Transportation facilities classified as SIC 40, 41, 42 (except 4221-25), 43, 44, 45, and 5171 which 

have vehicle maintenance shops, equipment cleaning operations, or airport deicing operations. 

Only th ose portions of the facility that are either involved in vehicle m aintenance (including vehicle 

rehabilitation, mechanical repairs, painting, fueling, and lubrication), equipment cleaning 

operation s, airport deicing o perations, or wh ich are otherwis e iden tified under para graphs (i)-(vii) 

or (ix)-(xi) of this section are associated with industrial activity; 

(ix) Treatment works treating domestic sewage or any other sewage sludge or wastewater treatment 

device or system, used in the storage, treatment, recycling, and reclamation of municipal or 

domestic sewage, including land dedicated to the disposal of sewage sludge that are located 

within the confines of the facility, with a design flow of 1.0 million gallons a day (mgd) or more, or 

required to have an approved pretreatm ent program un der 40 CFR Part 403. Not included are 

farm lands , dom estic gardens or lands us ed for sludge m anagem ent where sludg e is be neficially 

reused an d which are not physic ally loca ted in the confines of the facility, or areas that are in 

compliance with section 405 of the CWA; 

(x) Construction activity including clearing, grading and excavation activities except: operations that 

result in the disturbance of less than five acres of total land area which are not part of a larger 

common plan of development or sale; 

(xi) Facilities under SIC 20, 21, 22, 23, 2434, 25, 265, 267, 27, 283, 285, 30, 31 (except 311), 323, 34 

(except 3441), 35, 36, 37 (except 373), 38, 39, 4221-4225, (and which are not otherwise included 

within categories (i)-(x). 

11-17

Chapter Eleven Storm Water 

Figure 11-2


Site-Specific Industrial Storm Water BMPs


Flow Diversion Practices: version is practiced to channel storm water away from industrial 

activities to prevent storm water contact with industrial pollutants. tionally, flow diversion may be 

use d to c han nel po lluted storm wate r direc tly to a tre atm ent fa cility. 

Flow diversion practices include storm water con veyances (e.g., channels, gutters, drains, and sewers), 

diversion dikes, an d grade d areas and pav eme nt. 

Exposure Minimization Practices: ation is practiced to eliminate or minimize the 

contac t of storm water with in dustrial ac tivities and its po llutants. tact of stor m wa ter with 

pollutants is minimized, the costs of collecting and treating and storm water and the environmental 

releases that occur will be reduced. 

Exposure minimization practices include containment diking, curbing, drip pans, collection basins, 

sumps, covering, vehicle positioning, and loading and unloading by air pressure or vacuum. 

Mitigative Practices: acticed to clean up or recov er a sub stance (i.e., potential po llutant) 

before it comes in contact with storm water. Mitigation is a second step after pollution prevention. 

Mitigative practices include sweeping, shoveling, excavation practices, vacuum and pump systems, 

sorbents, and gelling agents. 

Other Preventative Practices: 

of storm water to industrial activities. ces may be either structural or procedural measures 

taken to reduce/eliminate exposure. 

Other preventative practices include preventative monitoring practices, dust control (land disturbances 

and demolition areas), dust control (industrial activities), signs and labels, security, area control 

procedures, and vehicle washing. 

Sediment and Erosion Prevention Practices: on prevention can be accomplished 

using seven general practices: ize soil exposure to storm water, keep runo ff 

from disturbed areas, stabilize disturbed soils, slow down runoff, provide drainage ways for runoff, and 

remove sediment from the runoff before it leaves the site. 

Sediment and erosion prevention practices include vegetative practices, structural erosion prevention, 

and sediment control practices. 

Infiltration Practices: ltration practices are measures that increase the infiltration of storm water 

runoff into the ground through the use of very porous soils. ltration practices may also reduce the 

velocity of storm water, thereby minimizing erosion potential of the runoff. 

Infiltration practices include vegetated filter strips, grassed swales, level spreaders, infiltration trenches, 

and porous pavements/concrete grids and modular pavements. 

Flow di

Addi

Exposure minimiz

If con 

Mitigation is pr 

Other preventative practices can be taken to limit/prevent the exposure 

These practi

Sediment and erosi

vegetate the site, minim 

Infi

Infi

11-18

11. C.	 Storm Water Discharges 

Associated with Construction 

Activity 

Applicability (Who is Covered) 

Construction activity plays a major role in the degradation of water quality. Construction 

activities are a major contributor of sediment discharges to our rivers, streams, and wetlands. 

In the 1998 National Water Quality Inventory, States reported that siltation is the largest cause 

of impaired water quality in rivers and streams and the third largest cause of impairment in 

lakes. Sediment-laden discharges can result in aquatic habitat destruction, and detrimental 

changes to hydrologic patterns, including increased natural stream flows and excessive 

flooding. Total suspended solids (TSS) concentrations from uncontrolled construction sites 

have been found to be more than 150 times greater than the concentration from undeveloped 

land. 

Large Construction Activity 

As mentioned earlier, the Phase I Rule identifies eleven categories of industrial activity in the 

definition of “storm water discharge associated with industrial activity” that must obtain an 

NPDES storm water discharge permit 

(see Section 11.B). Category (x) of 

this definition includes construction 

activity (including clearing, grading, 

and excavation) that results in a total 

land disturbance of 5 acres or greater. 

Disturbance of less than 5 acres are 

also regulated under category (x) if 

they are part of a “larger common plan 

of development of sale” with a planned 

disturbance of 5 acres or greater. 

Phase I construction activity is 

commonly referred to as “large” 

construction activity. The Phase I rule 

requires all operators of large 

construction activity to obtain a 

NPDES storm water discharge permit 

Construction activities can include road building, 

construction of residential houses, office buildings, industrial 

sites, or demolition. 

Land Disturbance means exposed soil due to clearing, 

grading, or excavation activities. 

Larger common plan of development or sale describes a 

situation in which multiple construction activities occurs on a 

contiguous area. 

An operator is the person or persons that has either 

operational control of construction project plans and 

specifications, or day-to-day operational control of activities 

necessary to ensure compliance with storm water permit 

conditions. 

before discharging storm water runoff to a municipal separate storm sewer system or waters of 

the United States, unless covered by the United States Army Corps of Engineers 404 permit. 

Small Construction Activity 

In 1992, the Court of Appeals for the Ninth Circuit remanded for further proceedings the portion 

of EPA’s Phase I storm water regulation related to category (x) construction activity (NRDC v. 

EPA, 966 F.2d) (9thCir. 1992). EPA responded to the court’s decision by designating under 

Phase II storm water discharges from construction site activities that ultimately will result in a 

11-19

Chapter Eleven Storm Water 

land disturbance of equal to or greater than 1 and less than 5 acres as “storm water discharges 

associated with small construction activity” (see 40 CFR 122.26(b)(15)). The Phase II rule 

specifies all operators of small construction must be covered under an NPDES storm water 

discharge permit by March 10, 2003 before discharging storm water runoff to a municipal 

separate storm sewer system or waters of the United States after that date. 

Construction activities disturbing less than 1 acre are also included in Phase II of the NPDES 

storm water program if they are part of a larger common plan of development or sale with a 

planned disturbance of equal to or greater than 1 acre and less than 5 acres, or if they are 

designated by the NPDES permitting authority. The NPDES permitting authority or EPA may 

designate construction activities disturbing less than 1 acre based on potential for contribution 

to a violation of a water quality standard or for significant contribution of pollutants to waters of 

the United States. 

Small Construction Waivers 

Small construction activity does not require permit coverage where the construction operator 

can certify one of two waivers. Small construction activities disturbing less than 1 acre that are 

designated by the permitting authority are not eligible for these waivers. Under the Phase II 

Rule, NPDES permitting authorities have the option of providing a waiver from Phase II 

coverage and requirements to operators of small construction activity who certify to one of two 

conditions: 

(1)	 Low predicted rainfall potential (i.e., activity occurs during a negligible rainfall period), 

where the rainfall erosivity factor (“R” in the Revised Universal Soil Loss Equation 

[RUSLE]) would be less than 5 during the period of construction activities; or 

(2) A determination that storm water controls are not necessary based on either: 

(A)	 A “total maximum daily load” (TMDL) that address the pollutant(s) of concern1

 for 

construction activities; or 

(B)	 An equivalent analysis for non-impaired waters that determines allocations are 

not needed to protect water quality based on consideration of instream 

concentrations, expected growth in pollutant concentrations from all sources, and 

a margin of safety. 

In order to qualify for the Rainfall Erosivity Factor Waiver, the construction site operator must 

determine the value of the rainfall erosivity factor - R factor in the RUSLE and then certify to the 

permitting authority that the factor is less than 5 during the period of construction. A 

construction site operator will need site-specific data to calculate the values for rainfall erosivity 

using RUSLE. Calculations may also be made online by going to that waiver section at: 

http://www.epa.gov/npdes/stormwater/cgp.cfm. 

In order to qualify for the Water Quality Waiver, the operator of the construction site would need 

to certify that the facility’s construction activity will take place, and the storm water discharges 

1

Pollutants of concern include sediment or a parameter that addresses sediment (such as total 

suspended solids, turbidity, or siltation) and any other pollutant that has been identified as a cause of 

impairm ent of a rec eiving waterbody. 

11-20 
Chapter Eleven Storm Water 

will occur, within the area covered by the TMDLs or equivalent analysis. A certification form is 

provided by EPA and would likely be provided by the NPDES permitting authority. 

Inspector should verify that the construction project qualifies for a waiver. 

Permit Applications for Storm Water Discharges Associated With Construction Activity 

Operators of both small and large construction activities must obtain coverage under a NPDES 

construction storm water permit. Where EPA is the NPDES permitting authority, the 

Construction General Permits (CGP) are the only permit option available. In areas where EPA 

is not the NPDES permitting authority, other types of construction storm water permits may be 

required, so it is important to check with the appropriate NPDES permitting authority. Many 

State NPDES permitting authorities have issued general permits for construction activities. 

State construction general permits will also be referred to as CGPs through-out the chapter. 

See www.cicacenter.org/swp2.html for list of state General Permits. 

General Permit/Notice of Intent 

As stated above, the CGP is the only general permit available to operators of large construction 

activities in areas where EPA is the NPDES permitting authority. The CGP for areas where 

EPA is the permitting authority is published in the Federal Register. Much like the industrial 

facilities that apply for general permits, operators of construction sites that apply for permit 

coverage under the CGP are required to complete, certify, and submit to the appropriate 

NPDES permitting authority a Notice of Intent (NOI) Form. The NOI requests a variety of 

information, including information related to the Endangered Species Act (similar to what is 

described in the Permit Applications for Storm Water Discharges Associated with Industrial 

Activity section of this chapter). In order to discontinue permit coverage, an operator of a 

construction activity must complete and submit to the appropriate NPDES permitting authority a 

Notice of Termination (NOT) Form upon satisfying the appropriate permit conditions described 

in the CGP. This permit presents operators with all requirements up front, allowing facility 

operators to become familiar with, and prepare for, activities such as storm water pollution 

prevention plan implementation and regular inspections, prior to applying for permit coverage. 

The key component of the CGP is the development and implementation of a construction storm 

water pollution prevention plan (SWPPP). For sites with multiple operators, EPA encourages 

these operators to develop one comprehensive SWPPP with specific requirements for each 

operator identified. Some of the other requirements include conducting regular inspections and 

reporting releases of reportable quantities of hazardous substances. Operators must also 

comply with local, State, or Tribal construction runoff control programs. 

NOIs must be submitted in the time frame specified in the applicable general permit (e.g., at 

least 7 days prior to commencement of construction.) Electronic filing of NOI’s (E-NOI) is now 

available for non-authorized states see http://cfpub.epa.gov/npdes/stormwater/enoi.cfm. 

EPA’s regulations allow permitting authorities to authorize discharges under general permit for 

small construction sites without submitting an NOI where the permitting authority finds that 

NOIs would be inappropriate. While EPA does not currently implement this allowance, some 

states have opted to regulate small construction that way (i.e. no NOI required). 

11-21

Chapter Eleven Storm Water 

Individual Permit (Phase II and Phase I) 

In the event that an operator of a small construction activity chooses to apply for an individual 

permit, or if the NPDES permitting authorities denies coverage under general permits and 

requires the operator to submit an individual NPDES permit application (based on information 

such as water quality data), or if any of the discharges of storm water associated with small 

construction activity identified in 40 CFR 122.26(b)(15) that are not authorized by the general 

permit, the operator is subject to the individual application requirements found at 

CFR122.26(c)(1)(ii). 

Establishing Eligibility 

Endangered Species Act 

EPA’s NOI requires certification that the construction activity will not impact endangered or 

threatened species protected under the Endangered Species Act (ESA). As mentioned above, 

this NPDES certification requirement is unique to EPA’s NOI. All dischargers applying for 

coverage must include in the application information on the NOI form: (1) whether listed species 

are in proximity to the storm water or allowable non-storm water discharges or dischargerelated activity; (2) under which option of the CGP they claim eligibility for permit coverage, and 

(3) certification that their storm water and allowable non-storm water discharges and discharge 

related activities are not likely to jeopardize listed species, or are otherwise eligible for coverage 

due to a previous authorization under the ESA. The permittee should consult with applicable 

state Fish and Wildlife service and National Marine Fisheries Service offices to make these 

determinations of eligibility. 

Storm Water Pollution Prevention Plan Requirements 

The Storm Water Pollution Prevention Plan as required in the CGP must be prepared prior to 

submission of the NOI. The construction project must comply with the provisions of the 

SWPPP throughout the construction period and must be signed by a responsible official such 

as the president, vice president, or general partner. The construction facility must keep the 

SWPPP on-site throughout the entire construction period. The SWPPP must be submitted for 

review only when requested by EPA, although some permitting authorities may require 

submission at the SWPPP along with the NOI. 

For large or complex construction sites the inspector should request a copy of the SWPPP prior 

to inspection to ensure familiarity with the site during the inspection. This may not always be 

possible where we want to ensure there is no advance notice of an inspection. Otherwise, the 

inspector will obtain a copy of and review the SWPPP or at least parts of the SWPPP during the 

inspection. At a minimum, the inspector will need to review the site map prior to conducting the 

field inspection to understand the site and the existing/planned storm water controls. 

Depending on the time available for the inspection and the size of the SWPPP, the inspector 

may need to complete the remaining portion of the SWPPP review when he or she return to the 

office. 

11-22

Chapter Eleven Storm Water 

In reviewing the SWPPP, the inspector must evaluate if it contains all of the required elements 

specified in the permit (either the most current EPA CGP, the applicable State permit in 

NPDES-authorized States, or an individual permit issued to the site). The CGP requires that 

the SWPPP identify potential sources of pollution which may reasonably be expected to affect 

the quality of storm water discharges and describe and ensure implementation of practices 

which the operator will use to reduce the pollutants in its storm water discharges. (Reviewing 

the SWPPP implementation is covered in the next section.) The following items are required 

typically in the SWPPP: 

• A description of the nature of the construction activity 

• A sequence (schedule) of major construction activity 

• An estimate of the total area of the site and of the area to be disturbed 

• Any existing data on the quality of storm water discharge from the site 

• The name of the receiving water 

• Any information on the type of soils at the site 

•	 A site map indicating drainage patterns and slopes after grading activities are complete, 

areas of soil disturbance, areas which will not be disturbed, the location of stabilization 

measures and structural and non-structural controls, locations of offsite material, waste, 

borrow, equipment storage areas, and surface waters at the discharge outfalls 

•	 Location and description of any discharge associated with industrial activity other than 

construction 

• Copy of permit requirements 

•	 Information on listed endangered or threatened species or critical habitat in proximity to 

site 

• Measures and controls to prevent or minimize pollution of storm water. 

Typically, measures and controls must include the following three (3) types: 

(1) Erosion and Sediment Controls 

Construction phase erosion and sediment controls should be designed to retain 

sediment onsite to the extent practicable and all control measures must be selected, 

installed, and maintained in accordance with manufacturer's specifications and good 

engineering practices. In addition, practices must be included for interim and permanent 

stabilization for the site, including a schedule of when the practices will be implemented. 

When construction activities temporarily or permanently cease on a portion of the site, 

stabilization measures must be initiated by the 14th day for erosion control. However, if 

the site will be redisturbed within 21 days this requirement is waived. 

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Chapter Eleven Storm Water 

A site with more than 10 disturbed acres of common drainage must provide a 

temporary/permanent sediment basin with 3,600 cubic feet of storage per acre drained. 

When a sediment basin is not attainable, the SWPPP should identify all equivalent 

sediment controls. 

The SWPPP must include a description of structural practices to divert flows from 

exposed soils, store flows or otherwise limit runoff and the discharge of pollutants from 

exposed areas of the site to the degree attainable. 

(2) Storm Water Management 

The permittee must consider installing measures (storm water detention 

structures, infiltration measures, etc.) to control pollutants after construction is 

complete (i.e., post-construction). Velocity dissipation devices must be installed 

in outfall channels to prevent erosion. 

(3) Other Controls 

The SWPPP must ensure that construction waste is not carried by storm water 

into the receiving waters. Measures must be taken to prevent construction 

vehicles from tracking soil off the construction site and to reduce the dust 

generation at the construction site. The operator must comply with State and/or 

local sanitary sewer or septic system regulations. 

Where State and local programs for sediment and erosion control, storm water management, or 

site permits exist, the operator must certify that the SWPPP reflects and is in compliance with 

the requirements of the applicable State or local program. 

This SWPPP must also specify that operator personnel must inspect the construction site at 

least once every 7 days or at least every 14 days and within 24 hours of a rainfall of 0.5 inches 

or more. Areas with sites that have been finally stabilized or sites that are located in arid (i.e., 

less than 10 inches of rain per year) or semi-arid (10 to 20 inches of rain per year) areas must 

be inspected at least once a month. The inspector must prepare a report documenting his/her 

findings on the conditions of the controls and stabilized areas. The inspector should verify that 

documentation of the routine inspections is included in the SWPPP. 

The worksheet provided in Appendix R can be use to evaluate specific elements of the Storm 

Water Pollution Prevention Plan for construction activities. 

SWPPP Implementation/In the Field


Are They Doing What The SWPPP Indicates? 


When conducting the field inspection of a construction site, inspector should note several items:


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Chapter Eleven Storm Water 

•	 The opening conference with the owner/operator is extremely important. Often 

at larger residential construction sites, there will be multiple builders side-by-side 

with no delineation between them but each one of them is responsible for one or 

more aspects of SWPPP implementation. It is also important to identify the 

permittee and or co-permittees and their respective responsibilities under the 

permit. In some cases, the permittee is the developer who then passes along 

responsibility for aspects of the SWPPP implementation to the individual 

builders. 

•	 It is absolutely necessary to review the site map before conducting the inspection 

because if the inspector does not know the site boundaries, it is difficult to 

identify and evaluate the runoff potential. 

•	 Review construction sequence and BMP sequence given in the SWPPP - verify 

that these have been met. 

•	 The closing conference provides an opportunity to describe deficiencies found 

and identify areas of concern (e.g., parts of a SWPPP missing; inspections not 

being done; silt fence not installed; discharge to a storm drain, etc...). Given the 

transient nature of most construction sites it is important to share information 

with the site owner/operator as quickly as possible (e.g., prior to issuance of final 

inspection report) so that any environmental harm can be minimized. 

In the field, the inspector should verify that the description of potential pollutant sources in the 

SWPPP reflects current conditions. In addition, the inspector should verify that measures and 

controls described in the SWPPP are being implemented as described in the SWPPP. 

Implementation of SWPPPs require facilities to implement BMPs and train employees on how 

to carry out the goals of the SWPPP. The inspector should evaluate any implementation 

schedules developed by the facility for carrying out the SWPPP (e.g., deadlines for putting 

improved housekeeping measures into practice). The inspector should also determine whether 

appropriate individuals have been assigned to implement the specific aspects of the SWPPP 

and whether these individuals are aware of the requirements of that designation. If the SWPPP 

calls for the installation of structural controls, the inspector should verify that the controls are in 

place and in good working order or that the facility is on an appropriate schedule for 

construction of the structural control measures. The inspector should also ensure that 

management approves of the implementation schedule and strategy and is aware of the 

SWPPP process. 

An example of problems that an inspector may observe during a construction site inspection 

includes: 

• Failure to self-inspect 

•	 Silt fences improperly located, falling over, or ripped so that the fence is not 

functioning properly 

•	 Poor housekeeping: oil stains on soil; over turned drums, uncovered pails 

containing liquids; cluttered equipment storage with leaking fluids; fuel tanks with 

no containment 

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Chapter Eleven Storm Water 

•	 Storm drain inlets: covered with sediment/debris; ruptured gravel bags with loss 

of gravel into drain; no protection 

• Trackout pads: filled with soil and not effective; dirt on roads. 

• No cement washout 

A worksheet that can help guide the inspector through the field inspection is presented in 

Appendix R. Site-specific BMPs for construction activities are summarized in Figure 11-3. 

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Chapter Eleven Storm Water 

Figure 11-3


Site-Specific Construction Storm Water BMPs


Stabilization Practices: Stabilization is practiced to control erosion due to unvegetated areas. 

Stabilization reduces erosion po tential in four ways: (1) by shielding the soil surface from direct erosive 

impact of raindrops, (2) by improving the soil's water storage porosity and capacity, (3) by slowing the 

runoff and allowing the sediment to drop out or deposit; and (4) by physically holding the soil in place 

with plant roots. Vegetative (e.g., grasses, trees, or shrubs) covers are the most comm on type of 

stabilization. 

Stabilization practices include temporary seeding, mulching, geotextiles, chemical stabilization, 

permanent seeding and planting, buffer zones, preservation of natural vegetation, sod stabilization, 

strea m bank stabilization, soil retaining measures, and dust control. 

Structural Erosion and Sediment Control Practices: Structural erosion and sediment control diverts 

storm water flows away from exposed areas, conveys runoff, prevents sediments from moving offsite, 

and reduces the erosive forces of runoff waters. 

Structural erosion and sediment control practices include earth dikes, drainage swales, interceptor 

dikes and swales, temporary stream crossing, temporary storm drain diversion, pipe slope drains, 

subsurface drains, silt fence, gravel or stone filter berm, storm drain inlet protection, sediment trap, 

temporary sediment basin, outlet protection, check dams, surface roughening, and gradient terraces. 

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11-28

11. D.	 Storm Water Discharges From 

Municipal Separate Storm 

Sewer Systems 

Applicability (Who is Covered) 

In addition to regulating discharges from the 11 categories of sites with industrial activities, the 

storm water program regulates discharges from municipal separate storm sewer systems 

(MS4s). 

The November 16, 1990, regulations identify a two-part storm water permit application process 

for medium (serving a population of 100,000 or more, but fewer than 250,000) and large 

(serving a population of more than 250,000) MS4s in 40 CFR 122.26(d), pursuant to 

402(p)(2)(C)-(D) of the CWA. The regulations identify 220 cities and counties that meet this 

requirement (and allow for case-by-case designations of other municipal storm sewers to be 

included in these systems). In addition to the designated counties and cities, other entities may 

be regulated such as Departments of Transportation or flood control districts. To date, a total 

of approximately 1,000 entities (cities, counties, DOTs, etc.) are covered under 270 permits 

nationwide. Part 1 applications for municipal storm sewer systems were due to EPA on 

November 18, 1991, (large systems) and May 18, 1992 (medium systems). Part 2 applications 

for these permittees were due to EPA on November 16, 1992, (large systems) and May 17, 

1993 (medium systems). No new medium or large MS4s will be permitted under the Phase I 

requirements. All future MS4s are to obtain permit coverage under the Phase II regulations. 

The Phase II Final Rule, published in the Federal Register on December 8, 1999, requires 

NPDES permit coverage for storm water discharges from certain regulated small MS4s. Only a 

select subset of small MS4s, referred to as regulated small MS4s, require an NPDES storm 

water permit. Small MS4s are defined as any MS4 that is not a medium or large MS4 covered 

by Phase I of the NPDES Storm Water Program. Regulated small MS4s are defined as all 

small MS4s located in "urbanized areas" (UAs) as defined by the Bureau of the Census, and 

those small MS4s located outside of a UA that are designated by NPDES permitting authorities. 

A small MS4 can be designated by the permitting authority as a regulated small MS4 in one of 

two ways. One, the small MS4 located outside of a UA is designated as a regulated small MS4 

by the NPDES permitting authority because its discharges cause, or have the potential to 

cause, an adverse impact on water quality. Two, the small MS4 located outside of a UA 

contributes substantially to the pollutant loadings of a physically interconnected MS4 regulated 

by the NPDES storm water program. Note: The NPDES permitting authority was required to 

designate small MS4s meeting the designation criteria by December 9, 2002, or by December 

8, 2004, if a watershed plan is in place. 

Waivers 

Permitting authorities may waive “automatically designated” Phase II dischargers if the 

dischargers meet the necessary criteria. Two waiver options are available to operators of 

automatically designated small MS4s if discharges do not cause, or have the potential to cause 

water quality impairment. Note: the waivers are granted by the NPDES authority. The operator 

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Chapter Eleven Storm Water 

of the regulated small MS4 cannot determine that the facility meets the waiver criteria. If the 

permitting authority is not proactive in assessing small MS4s for potential waivers, an operator 

may petition for a waiver assessment. If a permitting authority decides to grant waivers, it must 

have done so by December 9, 2002, to coincide with the expected issuance of the small MS4 

general permit. If the permit authority chooses to phase in permit coverage based on a 

comprehensive watershed plan, then regulated small MS4s may be waived on the same 

schedule. The phase-in of permit coverage and waivers is to be completed no later than March 

8, 2007. 

The first waiver option applies where: 

(1) the jurisdiction served by the system is less than 1,000 people; 

(2)	 the system is not contributing substantially to the pollutant loadings of a physically 

interconnected regulated MS4; and 

(3)	 if the small MS4 discharges any pollutants identified as a cause of impairment of any 

water body to which it discharges, storm water controls are not needed based on 

wasteload allocations that are part of an EPA approved or established “total 

maximum daily load” TMDL that addresses the pollutant(s) of concern. 

The third criterion of this waiver option need only be met if the small MS4 is discharging into a 

impaired water body and the discharge contains a pollutant or pollutants cause the impairment 

(i.e., the “pollutants of concern”). 

The second waiver option applies where: 

(1) the jurisdiction served by the system is less than 10,000 people; 

(2)	 an evaluation of all waters of the U.S. that receive a discharge from the system 

shows that storm water controls are not needed based on wasteload allocations that 

are part of the EPA approved or established TMDL that addresses the pollutant(s) of 

concern or an equivalent analysis; and 

(3)	 it is determined that future discharges from the small MS4 do not have the potential 

to result in exceedences of water quality standards. 

The NPDES permitting authority is required to periodically review any waivers granted to MS4 

operators to determine whether any information required for granting the waiver has changed. 

Minimally, such a review needs to be conducted once every five years. 

Permit Applications for Storm Water Discharges From Municipal Separate Storm Sewer 

Systems 

Permits must be obtained for all discharges from large, medium, and regulated small municipal 

separate storm sewer systems (and designated others as determined on a case-by-case basis). 

The permitting authority may issue one system-wide permit covering all discharges from 

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Chapter Eleven Storm Water 

municipal separate storm sewer systems or issue distinct permits for appropriate categories of 

discharges. Also, the permitting authority may issue permits for other municipal separate storm 

sewer systems on a system-wide or categorical basis. EPA did not develop baseline general 

permits for storm water discharges from municipal separate storm sewer systems, because of 

the differing nature of discharges from municipal separate storm sewer systems in different 

parts of the country and the varying water quality impacts of municipal storm sewer discharges 

on receiving waters. Based on permit application requirements, these permits will likely 

address applicability, legal authority, source identification, discharge characterization, 

management programs, control and impact assessments, and financial commitments. In many 

instances, these permits will be unique to the individual permittee; therefore, a definitive 

discussion of the permit requirements for the municipal separate storm sewer system 

permittees is not possible. 

Unlike the Phase I program that primarily utilizes individual permits for medium and large MS4s, 

the Phase II approach allows operators of regulated small MS4s to choose from as many as 

three permitting options: (1) general permits, (2) individual permits, or (3) modification of an 

existing Phase I Individual Permit (Co-Permittee Option). It must be noted that the NPDES 

permitting authority reserves the authority to determine which options are available to the 

regulated small MS4s. Operators of “automatically designated” regulated small MS4s in 

urbanized areas submit their Notices of Intent within 90 days of permit issuance. Operators of 

regulated small MS4s designated by the permitting authority must submit their permit 

applications within 180 days of notice. Full implementation of MS4's program is required within 

5 years of permit issuance. 

General permits for regulated small MS4s are strongly encouraged by EPA. The Phase II 

program has been designed specifically to accommodate a general permit approach. General 

permits prescribe one set of requirements for all applicable permittees. General permits are 

drafted by the NPDES permitting authority, then published for public comment before being 

finalized and issued. A NOI serves as the application for the general permit. The regulated 

small MS4 operator complies with the permit application requirements by submitting an NOI to 

the NPDES permitting authority that describes the storm water management program, including 

best management practices (BMPs) and measurable goals. The operator has the flexibility to 

develop an individualized storm water program that addresses the particular characteristics and 

needs of its system, provided the requirements of the general permit are satisfied. Permittees 

also can choose to share responsibilities for meeting the Phase II program requirements. 

Those entities choosing to do so may submit jointly with the other municipalities or 

governmental entities an NOI that identifies who will implement which minimum measures 

within the area served by the MS4. 

Individual permits are required for Phase I medium and large MS4s, but not recommended by 

EPA for Phase II program implementation. Individual permits prescribe a particular set of 

requirements for a particular permittee or a group of co-permittees. Individual permits require 

the submission of a more comprehensive application than an NOI that is submitted under a 

general permit. Once the permit application is received, an individual permit is drafted by the 

NPDES permitting authority, then published for public comment before being finalized and 

issued. The Phase II rule allows a regulated small MS4 to submit an individual application for 

coverage under either the Phase II MS4 program (see 122.34) or the Phase I MS4 program 

(see 122.26(d)). For individual coverage under Phase II, the permittee must follow Phase II 

application requirements and provide an estimate of square mileage served by the system and 

any additional information requested by the NPDES permitting authority. The permittee electing 

to apply for coverage under Phase I program must follow the permit application requirements 

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Chapter Eleven Storm Water 

detailed at 122.26(d). The NPDES permitting authority may allow more than one regulated 

entity to apply for an individual permit (i.e., co-permittees). 

Two permitting options tailored to minimize duplication of effort can be incorporated into both 

the general permit and the individual permit by the NPDES permitting authority. First, the 

permitting authority can recognize in the permit that another governmental entity is responsible 

under an NPDES permit for implementing any or all minimum measures. Responsibility for 

implementation of the measure(s) would rest with the other governmental entity, thereby 

relieving the permittee of its responsibility to implement that particular measure(s). Second, the 

NPDES permitting authority can include conditions in a general permit that direct a permittee to 

follow the requirements of an existing qualifying local program rather than the requirements of a 

minimum measure. A qualifying local program is defined as a local, State, or Tribal municipal 

storm water program that imposes requirements that are equivalent to those of Phase II MS4 

minimum measures. The permittee remains responsible for the implementation of the minimum 

measure through compliance with the qualifying local program. 

The operator of a regulated small MS4 could participate as a limited co-permittee in a 

neighboring Phase I MS4's storm water management program by seeking a modification of the 

existing Phase I individual permit. A list of Phase I medium and large MS4s can be obtained 

from the EPA Office of Wastewater Management (OWM) or downloaded from the OWM, web 

site at http://www.epa.gov/npdes. The permittee must follow Phase I permit application 

requirements (with some exclusions). The permittee must comply with the applicable terms of 

the Phase I individual permit rather than the minimum control measures in the Phase II Final 

Rule. 

A summary of the permit application deadlines is presented in Table 11-3. The Transportation 

Act of 1991 modified the application deadlines for industrial activities owned or operated by 

municipalities (i.e., types of industrial activities covered by MSGP). The Phase II Rule required 

industrial activities operated by municipalities with populations less than 100,000 to obtain 

permit coverage to no later than March 10, 2003, (unless the NPDES permitting authority 

chooses to phase-in permit coverage on a watershed basis and establishes other deadlines). 

As such, all industrial activities defined in 122.26(b)(14) are now required to obtain coverage, 

unless waived. 

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Chapter Eleven Storm Water 

Storm Water Management Program (SWMP) Development 

Phase I Completed as Part of the Permit Application 

The storm water management program (SWMP) is considered to be the most important 

requirement of a MS4 permit. Existing structural and non-structural prevention and control 

measures on discharges from municipal separate storm sewers must be described in Part 1 of 

the permit application. 

The discussion that follows provides a general discussion of SWMP requirements for MS4s. 

The inspector will have to review the facility's permit for specific considerations. Each MS4 

covered by a permit must develop a SWMP, tailored to system-specific conditions and designed 

to control the amount of pollutants in storm water discharges from the system. The permitting 

authority has the right to review and request changes in the SWMP. Summaries of necessary 

components of these programs for MS4s are provided below for both large- and medium-size 

municipalities. 

Management programs must describe priorities for implementing controls and should be based 

on the following four requirements: 

1.	 Describe structural and source control measures to be implemented during the life of 

the permit to reduce pollutants from runoff from commercial and residential areas that 

is discharged from the MS4s. The description must be accompanied by an estimate of 

the expected reduction of pollutant loads and a proposed schedule for implementing 

such controls. At a minimum, the description should include: 

• Maintenance activities and a maintenance schedule for structural controls. 

•	 Planning procedures to develop, implement, and enforce controls to reduce 

discharges from areas of new development and significant redevelopment after 

construction is complete. 

•	 Practices for operating and maintaining public streets, roads, etc., and procedures 

for reducing the impact as a result of deicing activities. 

•	 Procedures to ensure that flood management projects assess the impacts on the 

water quality of receiving water bodies and that existing structural flood control 

devices have been evaluated if retrofitting is possible for additional pollutant 

removal. 

•	 Program to monitor pollutants in runoff from operating or closed municipal 

landfills or other treatment, storage, or disposal facilities for municipal waste, that 

identifies priorities and procedures for inspections and establishing and 

implementing control measures for such discharges. 

•	 Program to reduce to the MEP pollutants in discharges from the application of 

pesticides, herbicides, and fertilizers. This may include educational activities, 

permits, certifications, and other measures for commercial applicators and 

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Chapter Eleven Storm Water 

distributors, and controls for application in public right-of-ways and at municipal 

facilities. 

2.	 Describe programs, including a schedule, to detect and remove (or to require the 

discharger to the municipal separate storm sewer system to obtain a separate NPDES 

permit for) illicit discharges and improper disposal into the storm sewer. At a 

minimum, the proposed program should include: 

•	 Inspection procedures, to implement and enforce an ordinance, order, or similar 

means to prevent illicit discharges to the municipal separate storm sewer system 

•	 Procedures to conduct on-going field screening activities during the life of the 

permit 

•	 Procedures to be followed to investigate portions of the separate storm sewer 

system that indicate a reasonable potential of containing illicit discharges or other 

sources of non-storm water 

•	 Procedures to prevent, contain, and respond to spills that may discharge into the 

municipal separate storm sewer 

•	 Program to promote, publicize, and facilitate public reporting of the presence of 

illicit discharges or water quality impacts associated with discharges from MS4s 

•	 Educational activities, public information activities, and other appropriate activities 

to facilitate the proper management and disposal of used oil and toxic materials 

• Controls to limit infiltration of seepage from municipal sanitary sewers to MS4s. 

3.	 Describe programs to monitor and control pollutants in storm water discharges to 

municipal systems from municipal landfills; hazardous waste treatment, disposal, and 

recovery facilities; industrial facilities that are subject to section 313 of SARA Title III; 

and industrial facilities that the municipal permit applicant determines are contributing a 

substantial loading to the MS4s. The program should include: 

•	 Priorities and procedures for inspections and establishing and implementing 

control measures for such discharges 

•	 Monitoring program for storm water discharges associated with industrial facilities 

identified in 3., to be implemented during the term of the permit, including the 

submission of quantitative data. 

4.	 Describe programs to implement and maintain structural and non-structural best 

management practices to reduce pollutants in storm water runoff from construction 

sites to the municipal separate storm sewer system. This program should include: 

•	 Procedures for site planning that incorporate consideration of potential water 

quality impacts 

• Requirements for non-structural and structural best management practices 

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Chapter Eleven Storm Water 

•	 Procedures for identifying priorities for inspecting sites and enforcing control 

measures that consider the nature of the construction activity, the topography, and 

the characteristics of soils and receiving water quality 

• Appropriate educational and training measures for construction site operators. 

Phase II Completed as Part of the Permit Application or Notice of Intent 

The Phase II regulations require regulated small MS4s to develop SWMPs similar, but not 

identical, to those developed by medium/large MS4s. Consistent with the requirements for 

medium/large MS4 requirements, small MS4 permits require at a minimum that the permittee 

develop, implement, and enforce a SWMP designed to reduce the discharge of pollutants from 

the MS4 to the maximum extent practicable (MEP), to protect water quality, and to satisfy the 

appropriate water quality requirements of the Clean Water Act. Slightly different from the Phase 

I requirements, the Phase II requirements for SWMPs include the six minimum control 

measures described below: 

(1) Public education and outreach on storm water impacts that distribute educational materials 

to the community or conduct equivalent outreach activities about the impacts of storm water 

discharges on water bodies and the steps that the public can take to reduce pollutants in storm 

water runoff. 

(2) Public involvement/participation on storm water controls, at a minimum, complying with 

State, Tribal and local public notice requirements. 

(3) Illicit discharge detection and elimination program that includes: 

S a storm sewer system map, showing the location of all outfalls and the names and location 

of all waters of the United States that receive discharges from those outfalls; 

S an ordinance or other regulatory mechanism, that effectively prohibits non-storm water 

discharges into the storm sewer system 

S appropriate enforcement procedures and actions; 

S a plan to detect and address non-storm water discharges, including illegal dumping, to the 

system; and 

S outreach that informs public employees, businesses, and the general public of hazards 

associated with illegal discharges and improper disposal of waste. 

(4) Construction site storm water runoff control program to reduce pollutants in any storm water


runoff to your small MS4 from construction activities that result in a land disturbance of greater


than or equal to one acre. The program must include the development and implementation of,


at a minimum:


S an ordinance or other regulatory mechanism to require erosion and sediment controls, as


well as sanctions to ensure compliance; 

S requirements for construction site operators to implement appropriate erosion and 

sediment control best management practices; 

S	 requirements for construction site operators to control waste such as discarded building 

materials, concrete truck washout, chemicals, litter, and sanitary waste at the construction 

site that may cause adverse impacts to water quality; 

S procedures for site plan review which incorporate consideration of potential water quality 

impacts; 

S procedures for receipt and consideration of information submitted by the public, and 

S procedures for site inspection and enforcement of control measures. 

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Chapter Eleven Storm Water 

(5) Post-construction storm water management program in new development and 

redevelopment for projects that disturb greater than or equal to one acre, including projects less 

than one acre that are part of a larger common plan of development or sale, that discharge into 

the MS4. The controls must include strategies which include a combination of structural and/or 

non-structural best management practices (BMPs) appropriate for the community; use an 

ordinance or other regulatory mechanism to address post-construction runoff from new 

development and redevelopment projects to the extent allowable under State, Tribal or local 

law; and ensure adequate long-term operation and maintenance of BMPs. 

(6) Pollution prevention/good housekeeping for municipal operations that includes a training 

component and has the ultimate goal of preventing or reducing pollutant runoff from municipal 

operations. Your program must include employee training to prevent and reduce storm water 

pollution from activities such as park and open space maintenance, fleet and building 

maintenance, new construction and land disturbances, and storm water system maintenance. 

As part of the small MS4 NOI submission to the permitting authority, the MS4 is required to 

submit the BMPs that will be implemented for each of the six minimum control measures listed 

above. In addition, the NOI must identify the measurable goals for each of the BMPs, including, 

as appropriate, the months and years in which the MS4 will take the required actions, including 

interim milestones and the frequency of the action. The NOI must also identify the person or 

persons responsible for implementing or coordinating the SWMP. 

SWMP Implementation/In the Field 

The inspector should verify that the storm water management program is being implemented as 

appropriate to meet the current circumstances in the municipality. Implementation of 

management programs requires facilities to implement a variety of control measures, programs, 

procedures, and training of various individuals on how to carry out the goals of the program. 

The inspector should evaluate any implementation schedules developed by the municipality for 

carrying out the program and determine whether appropriate individuals have been assigned to 

implement the specific aspects of the program and if these individuals are aware of the 

requirements of that designation. The inspector should evaluate the municipality’s inspection 

and enforcement program for industrial facilities and construction sites. In addition, the 

inspector should verify whether the municipality’s dry weather screening program is being 

implemented according to the permit schedule. If the program calls for the installation or 

maintenance of structural controls, the inspector should verify that the controls are in place and 

in good working order or that the facility is on an appropriate schedule for construction of the 

structural control measures. 

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11-37

11. E. References 

API. August 1989. "Suggested Procedure for Development of Spill Prevention Control and 

Countermeasure Plans," American Petroleum Institute Bulletin D16, Second Edition. 

APWA. 1989. Urban Storm Water Management, Special Report No. 49. American Public 

Works Association Research Foundation. 

Arapahoe County. April 8, 1988. "Erosion Control Standards." prepared by Kiowa Engineering 

Corporation. 

Commonwealth of Pennsylvania. April 1990. Erosion and Sediment Pollution Control Program 

Manual, Pennsylvania Department of Environmental Resources, Bureau of Soil and Water 

Conservation. 

Commonwealth of Virginia. 1980. Virginia Erosion and Sediment Control Handbook, Virginia 

Department of Conservation and Historical Preservation, Division of Soil and Water 

Conservation, Second Edition. 

County of Fairfax. 1990 and 1987 Editions. "Check List For Erosion and Sediment Control 

Fairfax County, Virginia." 

MWCOG. July 1987. Controlling Urban Runoff: A Practical Manual for Planning and 

Designing Urban BMPs," Department of Environmental Programs, Metropolitan 

Washington Council of Governments. 

Northern Virginia Planning District Commission. August 1987. BMP Handbook for the 

Occoquan Watershed, prepared for Occoquan Basin Nonpoint Pollution Management 

Program. 

Salt Institute. 1987. The Salt Storage Handbook, A Practical Guide for Storing and Handling 

Deicing Salt. Alexandria, Virginia. 

Santa Clara Valley Nonpoint Source Pollution Control Program. Automotive-Related Industries, 

BMPs for Industrial Sanitary Sewer Discharges and Storm Water Pollution Control. 

State of Maryland. April 1983. 1983 Maryland Standards and Specifications for Soil and 

Erosion and Sediment Control. Maryland Water Resources Administration, Soil 

Conservation Service, and State Soil Conservation Committee. 

State of North Carolina. September 1, 1988. Erosion and Sediment Control Planning and 

Design Manual. North Carolina Sedimentation Control Commission, Department of 

Natural Resources and Community Development, and Agricultural Extension Service. 

State of Wisconsin. June 1990. Wisconsin Construction Site Best Management Practice 

Handbook. Wisconsin Department of Natural Resources, Bureau of Water Resources 

Management, Nonpoint Source and Land Management Section. 

Thron, H. and O.J. Rogashewski. 1982. "Useful Tools for Cleaning Up." Hazardous Material & 

Spills Conference. 

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Chapter Eleven Storm Water 

U.S. Environmental Protection Agency. CZARA NPS Guidance. 

U.S. Environmental Protection Agency. December 1991. "Draft - A Current Assessment of 

Urban Best Management Practices. Techniques for Reducing Non-point Source Pollution 

in the Coastal Zone." EPA Office of Wetlands, Oceans and Watersheds, prepared by 

Metropolitan Washington Council of Governments. 

U.S. Environmental Protection Agency. June 26, 1991. "Draft Construction Site Storm Water 

Discharge Control, An Inventory of Current Practices." EPA Office of Water Enforcement 

and Permits, prepared by Kamber Engineering. 

U.S. Environmental Protection Agency. June 1987. "Draft Report on Best Management 

Practices for the Control of Storm Water From Urbanized Areas." Science Applications 

International Corporation. 

U.S. Environmental Protection Agency. April 20, 1990. "Draft Sediment and Erosion Control, 

An Inventory of Current Practices." EPA Office of Water Enforcement and Permits, 

prepared by Kamber Engineering. 

U.S. Environmental Protection Agency. April 1991. Guidance Manual for the Preparation of 

NPDES Permit Applications for Discharges Associated with Industrial Activity. 

EPA-505/8-91-002. 

U.S. Environmental Protection Agency. April 1991. Guidance Manual for the Preparation of 

NPDES Permit Applications for Discharges From Municipal Separate Storm Water 

Systems. EPA-505/8-91-003A. 

U.S. Environmental Protection Agency. January 1993. "Investigation of Inappropriate Pollutant 

Entries into Storm Drainage Systems, A User's Guide. EPA/600/R-92/238. 

U.S. Environmental Protection Agency. December 1979. NPDES Best Management Practices 

Guidance Document. Industrial Environmental Research Laboratory, Cincinnati, Ohio, 

prepared by Hydroscience, Inc., EPA 600/9-79-0451. 

U.S. Environmental Protection Agency. March 1992. NPDES Storm Water Program Question 

and Answer Document. Office of Wastewater Enforcement and Compliance, Permits 

Division. 

U.S. Environmental Protection Agency. July 1993. NPDES Storm Water Program Question 

and Answer Document: Volume II. Office of Wastewater Enforcement and Compliance, 

Permits Division. 

U.S. Environmental Protection Agency. October 1989. Pollution Prevention in Printing and 

Allied Industries: Saving Money Through Pollution Prevention. Office of Research and 

Development, Pollution Prevention Office. 

U.S. Environmental Protection Agency. January 1992. Pollution Prevention Training 

Opportunities in 1992. EPA/560/8-92-002. (A comprehensive listing of pollution 

prevention resources, documents, courses, and programs, including names and phone 

numbers, is contained in a new annual EPA publication. Copies of this document may be 

obtained by calling the PPIC/PIES support number at (703) 821-4800.) 

11-39

Chapter Eleven Storm Water 

U.S. Environmental Protection Agency. October 1973. Process, Procedure, and Methods to 

Control Pollution Resulting from All Construction Activity. EPA Office of Air and Water 

Programs, PB-257-318. 

U.S. Environmental Protection Agency. July 1991. Staff Analysis. Storm Water Section. 

U.S. Environmental Protection Agency. September 1992. Storm Water Management for 

Industrial Activities, Developing Pollution Prevention Plans and Best Management 

Practices. EPA-832-R-92-006. 

U.S. Environmental Protection Agency. September 1992. Storm Water Management for 

Construction Activities, Developing Pollution Prevention Plans and Best Management 

Practices. EPA-832-R-92-005. 

U.S. Environmental Protection Agency. July 1992. Storm Water Sampling Guidance 

Document. EPA 833-B-92-001. 

U.S. Environmental Protection Agency. July 1988. Waste Minimization Opportunity 

Assessment Manual. Hazardous Waste Engineering Research Laboratory. 

U.S. Environmental Protection Agency. September 1997. Checklist for No-Exposure 

certification for NPDES Stormwater Permitting. 

U.S. Environmental Protection Agency. February 1998. Guidance Manual for Implementing 

Storm Water Management Programs - Volume I - Planning and Administration. EPA 833-

B-00-001. 

U.S. Environmental Protection Agency. January 1999. Guidance Manual for the Monitoring 

and Reporting Requirements of the NPDES Storm Water Multi-Sector General Permit. 

EPA 833-B-99-001. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Internal Reporting. EPA 832-F-99-020. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Materials Inventory. EPA 832-F-99-021. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Non-Storm Water Discharges. EPA 832-F-99-022. 

U.S. Environmental Protection Agency. September 1999. Storm Water O&M Fact Sheet 

Preventative Maintenance. EPA 832-F-99-004. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Record Keeping. EPA 832-F-99-005. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Spill Prevention Planning. EPA 832-F-99-071. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Storm Water Contamination Assessment. EPA 832-F-99-024. 

11-40

Chapter Eleven Storm Water 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Dust Control. EPA 832-F-99-003. 

U.S. Environmental Protection Agency. September 1999. Storm Water Management Fact 

Sheet Coverings. EPA 832-F-99-009. 

U.S. Environmental Protection Agency. September 1999. Storm Water O&M Fact Sheet Catch 

Basin Cleaning. EPA 832-F-99-011. 

U.S. Environmental Protection Agency. September 1999. Storm Water Technology Fact Sheet 

Bioretention. EPA 832-F-99-012. 

U.S. Environmental Protection Agency. September 1999. Storm Water Technology Fact Sheet 

Flow Diversion. EPA 832-F-99-014. 

U.S. Environmental Protection Agency. September 1999. Storm Water Technology Fact Sheet 

Hydrodynamic Separators. EPA 832-F-99-017. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule - An 

Overview. EPA 833-F-00-001. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Conditional No Exposure Exclusion for Industrial Activity. EPA 833-F-00-015. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Construction Site Runoff Control Minimum Control Measure. EPA 833-F-00-008. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule - Illicit 

Discharge Detection and Elimination Minimum Control Measure. EPA 833-F-00-007. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule - Low 

Rainfall Erosivity Waiver. EPA 833-F-00-014. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Permitting and Reporting: The Process and Requirements. EPA 833-F-00-011. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Pollution Prevention/Good Housekeeping Minimum Control Measure. EPA 833-F-00-010. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule - Post 

Construction Runoff Control Minimum Control Measure. EPA 833-F-00-009. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Public Participation/Involvement Minimum Control Measures. EPA 833-F-00-006. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Small Construction Program Overview. EPA 833-F-00-013. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II - Compliance 

Assistance Guide. EPA 833-R-00-002. 

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Chapter Eleven Storm Water 

U.S. Environmental Protection Agency. January 2000. Guidance Manual for Conditional 

Exclusion from Storm Water Permitting Based On “No Exposure” of Industrial Activities to 

Storm Water. EPA 833-B-00-001. 

U.S. Environmental Protection Agency. January 2000. Storm Water Phase II Final Rule -

Small MS4 Storm Water Program Overview. EPA 833-F-00-002. 

Washington State. January 23, 1992. "Draft Storm Water Management Manual for the Puget 

Sound Basin." Washington State Department of Ecology. 

Washington State. July 29, 1991. "Standards for Storm Water Management for the Puget 

Sound Basin," Chapter 173-275 WAC. Washington State Department of Ecology. 

Regulations/Notices 

Federal Register (55 FR 47990). November 16, 1990. National Pollutant Discharge Elimination 

System (NPDES) Permit Application Requirements for Storm Water Discharges - Final 

Rule. 

Federal Register (56 FR 12098). March 21, 1991. Application Deadline for Group 

Applications–Final Rule; Application Deadline for Individual Applications - Proposed Rule. 

Federal Register (56 FR 40948). August 16, 1991. NPDES General Permits and Reporting 

Requirements for Storm Water Discharges Associated With Industrial Activity-Proposed 

Rule. 

Federal Register (56 FR 50548). November 5, 1991. Application Deadline; Final Rule and 

Proposed Rule. 

Federal Register (57 FR 11394). April 2, 1992. Application Deadlines, General Permit 

Requirements and Reporting Requirements-Final Rule. 

Federal Register (57 FR 41176). September 9, 1992. Final NPDES General Permits for Storm 

Water Discharges from Construction Sites; Notice. 

Federal Register (57 FR 44412). September 25, 1992. Final NPDES General Permits for 

Storm Water Discharges from Construction Sites; Notice. 

Federal Register (57 FR 41236). September 9, 1992. Final NPDES General Permits for Storm 

Water Associated with Industrial Activity; Notice. 

Federal Register (57 FR 44438). September 25, 1992. Final NPDES General Permits for 

Storm Water Associated with Industrial Activity; Notice. 

Federal Register (57 FR 41344). September 9, 1992. National Pollutant Discharge Elimination 

System, Request for Comment on Alternative Approaches for Phase II Storm Water 

Program; Proposed Rule. 

11-42

Chapter Eleven Storm Water 

Federal Register (57 FR 60444). December 18, 1992. Permit Issuance and Permit 

Compliance Deadlines for Phase I Discharges; Final Rule. 

Federal Register (58 FR 19427). April 14, 1993. NPDES General Permit for Storm Water 

Discharges Associated with Industrial Activity Located in the Commonwealth of Puerto 

Rico; Notice. 

Federal Register (60 FR 50804). September 29,1995. Final National Pollutant Discharge 

Elimination System Storm Water Multi-sector General Permit for Industrial Activities; 

Notice. 

Federal Register (64 FR 68721). December 8, 1999. NPDES Regulations for Revision of the 

Water Pollution Control Program Addressing Storm Water Discharges; Final Rule. 

Federal Register (65 FR 64746). October 30, 2000. Final Reissuance of National Pollutant 

Discharge Elimination System (NPDES) Storm Water Multi-Sector General Permit for 

Industrial Activities; Notice of Final NPDES General Permit. 

Federal Register (68 FR 39087). July 1, 2003. Final National Pollutant Discharge Elimination 

System (NPDES) General Permit for Storm Water Discharges From Construction 

Activities; Notice of Final Issuance. 

Soon to be Available 

Your Oil and Gas Construction Activities May Coverage Under the Clean Water Act’s 

Stormwater Program! 

Managing Your Environmental Obligations: A Start to Finish Cost and Responsibility Planning 

Guide for the Construction and Development Industries 

Managing Your Environmental Responsibilities: A Planning Guide for the Construction and 

Development Industries 

11-43

12. COMBINED SEWER OVERFLOWS 

Contents Page 

A. Background and History of the CSO Policy ................................. 12-1


B. CSO Inspection Procedures ............................................. 12-5


Preparation ....................................................... 12-5


Onsite Records Review .............................................. 12-7


Interviews ........................................................ 12-7


Facility Site Inspection ............................................... 12-8


C.	 References and Checklist ............................................. 12-15


References ...................................................... 12-15


CSO Evaluation Checklist ........................................... 12-16


List of Tables 

12-1. Nine Minimum CSO Controls .......................................... 12-3


12-2. Elements of the Long-Term CSO Control Plan ............................ 12-3


12-3. CSO Records .................................................... 12-10


12-4. CSO Interview Questions ........................................... 12-12


Related Websites 

Office of Wastewater Management (OWM) Homepage: http://www.epa.gov/owm 

12-i 
Chapter Twelve Contents 

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12-ii 
12. A.	 Background and History of 

the CSO Policy 

In addition to materials in this chapter, inspectors must be familiar with Chapter 1 -

"Introduction" & Chapter 2 - "Inspection Procedures". 

As defined in the CSO Control Policy, a combined sewer system (CSS) is “a wastewater 

collection system owned by a state or municipality [as defined by Section 502(4) of the Clean 

Water Act] which conveys sanitary wastewater (domestic, commercial and industrial 

wastewaters) and storm water through a single-pipe system.” During precipitation events (e.g., 

rainfall or snowmelt), the volume of sanitary wastewater and storm water runoff entering CSSs 

often exceeds the capacity of the system to transport the combined wastewaters to the publiclyowned treatment works (POTWs). When this happens, these systems are designed to 

overflow directly to surface waters. These overflows are combined sewer overflows (CSOs). 

Some CSOs occur infrequently; others, with every precipitation event. Because CSOs contain 

raw sewage and contribute pathogens, solids, debris, and toxic pollutants to receiving waters, 

CSOs can create serious public health and water quality concerns. CSOs have caused or 

contributed to beach closures, shellfish bed closures, contamination of drinking water supplies, 

and other environmental and public health problems. 

Approximately 772 communities in the U.S. have CSSs that have 9,471 permitted CSO outfalls 

that are regulated by 859 NPDES permits. CSOs are point sources subject to NPDES permit 

requirements including the technology-based and water quality-based requirements of the 

Clean Water Act (CWA). CSOs are not subject to the secondary treatment requirements that 

are applicable to POTWs., but are subject to BAT/BCT requirements based upon a BPJ case 

by case determination. 

EPA’s 1994 CSO Control Policy (59 FR 18688, April 19, 1994) “represents a comprehensive 

national strategy to ensure that municipalities, permitting authorities, water quality standards 

authorities and the public engage in a comprehensive and coordinated effort to achieve cost 

effective CSO controls that ultimately meet appropriate health and environmental objectives.” 

Under the Policy, CSO communities were expected, through requirements in their NPDES 

permit or in another enforceable mechanism, to: 

•	 Implement nine minimum controls (NMC) that may be considered minimum BAT/BCT, 

based on the permitting authority. These NMC are measures that can reduce CSOs 

and their water quality impacts without significant engineering studies or major 

construction. CSO communities were expected to implement the NMC by January 1, 

1997 

•	 Develop a long-term CSO control plan (LTCP) generally within 2 years of NPDES permit 

issuance or the issuance date of another enforceable mechanism requiring the CSO 

community to develop a LTCP 

•	 Implement the LTCP. Implementation of the individual CSO controls may be phased 

based on the relative importance of adverse impacts of the CSOs on water quality 

standards, priority projects identified in the LTCP, and on the permittee’s financial 

capability 

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Chapter Twelve Combined Sewer Overflows 

• Implement a post-construction compliance monitoring program. 

Permitting and enforcement authorities are expected to take enforcement action against dry


weather CSO discharges.


As outlined in the CSO Policy, the nine minimum CSO controls are listed in Table 12-1 and the


elements of the LTCP are listed in Table 12-2. The major approach to CSO control, outlined in


EPA's CSO Control Policy, is to:


•	 Eliminate CSOs to sensitive areas wherever possible (where not possible, provide 

treatment). 

•	 Coordinate the review and revision of water quality standards with development of longterm CSO control plans. 

•	 Evaluate a reasonable range of alternatives that could achieve the necessary level of 

control/treatment, and select the controls to be implemented based on cost/ 

performance evaluations. 

•	 Develop an implementation schedule based on the relative impacts on WQS and 

designated uses, on the priority of projects identified in the LTCP, and on the permittee's 

financial capability. 

• Maximize treatment of wet weather flows at the POTW. 

Since the CSO Control Policy was published, EPA has released guidance documents on the 

following six implementation areas: long-term control plans, the nine minimum controls, 

screening and ranking, funding options, permit writing, and financial capability and schedule 

development (see the References section and/or the CSO Website 

(http://www.epa.gov/npdes/cso) for more information). 

In the Consolidated Appropriations Act for Fiscal Year 2001, P.L. 106-554, Congress amended 

the Clean Water Act by adding Section 402(q) to require, among other things, that all permits, 

orders, and decrees issued to control CSOs, after enactment of the Consolidated 

Appropriations Act, shall conform to EPA’s 1994 CSO Control Policy. EPA and State NPDES 

permitting authorities should refer to Section IV, Expectations for Permitting Authorities, of the 

Policy. This section of the policy presents the major elements that should be in NPDES permits 

to implement the Policy and ensure protection of water quality. 

State and EPA NPDES permitting authorities continue to work with permittees to incorporate 

CSO conditions into NPDES permits and through other enforceable mechanisms, such as 

administrative or judicial orders. 

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Chapter Twelve Combined Sewer Overflows 

Table 12-1


Nine Minimum CSO Controls


• Proper operation and regular maintenance programs for the sewer system and the 

CSOs 

• Maximum use of the collection system for storage 

•	 Review and modification of pretreatment requirements to ensure that CSO impacts are 

minimized 

• Maximization of flow to the POTW for treatment 

• Prohibition of CSOs during dry weather 

• Control of solid and floatable materials in CSOs 

• Establishment of pollution prevention programs 

• Public notification to ensure that the public receives adequate notification of CSO 

occurrences and CSO impacts 

• Monitoring to effectively characterize CSO impacts and the efficacy of CSO controls 

Table 12-2 

Elements of the Long-Term CSO Control Plan 

• Characterization, monitoring, and modeling of the combined sewer system 

• Public participation 

• Consideration of sensitive areas 

• Evaluation of alternatives 

• Cost/performance considerations 

• Operational plan 

• Maximizing treatment at the existing POTW treatment plant 

• Implementation schedule 

• Post-construction compliance monitoring program 

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Chapter Twelve Combined Sewer Overflows 

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12-4

12. B. CSO Inspection Procedures 

Each municipality's specific CSO requirements will be contained in a NPDES permit, an 

enforcement order or a consent decree. CSO conditions will be specific to that permittee. 

However, the inspection of one CSS may involve visits to more than one municipality, 

depending on the configuration and possible shared responsibility for the system. Before 

conducting the inspection, the inspector should determine the authorities responsible for 

operation of the system and define the scope of the inspection. The inspector will obtain 

information to determine compliance in the following areas: 

• CSO prevention during dry weather 

• Implementation of the nine minimum CSO controls 

•	 Adherence to a schedule for development, submission, and implementation of a LongTerm CSO Control Plan, including any interim deliverables 

• Adherence to schedule for implementation of the CSO controls selected from the LTCP 

•	 Elimination or relocation of overflows from identified sensitive areas, as defined in the 

approved LTCP 

• Narrative, performance-based or numerical, water quality-based effluent limitations 

•	 Monitoring program, including baseline information on frequency, duration, and impacts 

of CSOs 

Preparation 

As stated above, the requirements for CSO control will most likely be found in the NPDES 

permit, or in some cases, in an enforcement order, such as an Administrative Order or Judicial 

Order, or a Consent Decree. Inspectors should review the permit (and permit amendments) 

and other enforceable mechanisms (e.g., consent orders) issued to the permittee. The 

inspector should be aware that in some cases the CSSs and CSO structures (i.e., pump 

stations) may be permitted separately from the POTW. The inspector may find: 

•	 Requirements to implement and document implementation of technology-based controls 

(i.e., nine minimum controls) by the date specified in the permit or enforceable 

mechanism. 

•	 Requirement to submit a report documenting the implementation of the nine minimum 

controls; the report will usually be required within 2 years of permit issuance. 

•	 Requirements for the development, submission, and implementation of the Long-Term 

CSO Control Plan. Where the permittee is in the phase of developing a LTCP, there will 

usually be a schedule for the development and submission of the plan, either in the 

permit or other appropriate enforceable mechanism. Where the permittee has 

completed a LTCP, there will be narrative requirements pertaining to the 

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Chapter Twelve Combined Sewer Overflows 

implementation, operation, and maintenance of the selected CSO controls described in 

the LTCP. There will also be an implementation schedule for CSO controls either in the 

permit or in an appropriate enforceable mechanism. 

•	 Water quality-based effluent limits for CSOs. Numeric limits may not be found in the 

initial permits when the permittee is developing or implementing its LTCP. Instead, 

there will be a requirement to immediately comply with applicable WQSs expressed in 

the form of a narrative limitation. Permittees that have completed and are implementing 

their LTCPs may have one of the following permit conditions for CSOs: 

- A maximum number of overflow events per year for specified design conditions 

- Minimum percentage capture of combined sewage by volume for treatment under 

specified design conditions 

- Minimum percentage reduction of the mass of pollutants discharged for specified 

design conditions 

- Other performance-based standards and requirements. 

•	 Requirements to implement a post-construction compliance monitoring program. This 

will be required for permittees that have completed and are implementing their LTCPs. 

•	 Requirement to re-assess overflows to sensitive areas. This will only be imposed in 

those cases where elimination or relocation of CSOs from sensitive areas were proven 

not to be physically possible or economically achievable. 

•	 Conditions establishing requirements for maximizing the treatment of wet weather flows 

at the treatment plant. 

Other documents that the inspector should review are any CSO reports submitted by the 

permittee. The permittee may have submitted information in response to a CWA Section 308 

information collection request on CSOs. The permittee may have submitted CSO monitoring 

plans or a report characterizing its CSOs, a report documenting implementation of the nine 

minimum CSO controls, or a Long-Term CSO Control Plan. Other documents and/or 

information that should be reviewed, if available, include: 

• citizen complaints 

• correspondence 

• Notices of Violation 

• annual capacity reports 

• facility reports describing CSO discharge points and overflow problems 

• inspection reports 

• noncompliance notification reports describing overflows (usually attached to DMRs) 

• proximity of overflows to drinking water sources 

• potential for impact to human health or the environment. 

• list of significant industrial users and a map showing their connection to CSS and 

location of nearby CSOs. 

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Chapter Twelve Combined Sewer Overflows 

Reviewing these permittee reports will help the inspector become knowledgeable about the 

permittee's specific CSO problems and existing CSO controls. The inspector should make 

copies of those documents that (1) establish enforceable CSO requirements, (2) provide 

evidence that an enforceable requirement has been violated or (3) provide evidence of 

environmental problems related to CSOs. The inspector should make sure that EPA has a 

complete copy of noncompliance notification reports for the last five years, indicating the date, 

time, duration, flow rate, cause, and actions to correct, prevent, and mitigate each overflow 

from the facility. The inspector should also have a map or other document that provides the 

location of each CSO discharge point and identifies the receiving stream to which the overflow 

discharges. 

Onsite Records Review 

The inspector should review the following CSO records: 

•	 Log books, reports, or internal memos describing maintenance and operation activities 

concerning the sewer system and CSO outfalls 

• CSO outfall flow records 

• Monitoring data on CSOs, collection system, or receiving stream 

• Records pertaining to installation of CSO controls 

• Feasibility studies 

• Capital project summaries (description and cost of each project). 

Record keeping requirements vary by facility depending on the specific CSO controls the facility 

has selected and is implementing. If the permittee has submitted a report documenting 

implementation of the nine minimum CSO controls, the inspector should review appropriate 

records kept at the facility to verify the information in this report. Examples of possible records 

that might be kept to document the implementation of the nine minimum CSO controls are listed 

in Table 12-3. These examples are provided as illustrations and not requirements. The 

inspector should use the facility's permit or other enforceable document as a guide to determine 

what specific records the facility is required to keep and maintain. The facility's CSO 

Operations and Maintenance manual and CSO control plan can provide the inspector with 

insight into the specific types of records the facility would have. 

Interviews 

As with all of the NPDES compliance inspections, interviews with appropriate personnel with 

firsthand knowledge of CSO activities can be useful in obtaining factual information. The 

inspector should interview the person in the highest position of authority responsible for the 

day-to-day development or implementation of the LTCP. Other personnel, such as the 

collection crew or others involved in inspecting, operating, and maintaining CSOs or CSO 

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Chapter Twelve Combined Sewer Overflows 

controls should also be interviewed. It is particularly important that the inspector obtain written 

statements (see Chapter Two) where personnel are providing information that is not or cannot 

be substantiated by the facility's records or the inspector's own observations. 

If the facility is developing or implementing a LTCP, the inspector may want to interview those 

personnel responsible for that plan. Generally, the facility will be under a schedule with distinct 

activities and milestones established. This schedule may be in the permit, but will more likely 

be in an enforcement order. Any schedules submitted by the permittee in a report or in its 

LTCP should not be referred to, as these are not enforceable schedules. The inspector should 

focus on verifying those LTCP development or implementation activities that (1) the permittee 

has reported have been developed/implemented and (2) the permittee was required to have 

developed/implemented according to a schedule in the permit or enforcement order. 

The following are examples of relevant questions that the inspector can use to obtain a general 

understanding of the facility. Other questions relevant to the specific nine minimum controls are 

listed in Table 12-4. The inspector should add to these questions based on the specific 

requirements in the facility’s permit. For example, if the permit requires submission of a “CSO 

Characterization Report” within 180 days of the permit issuance, the inspector should request 

the report and verify whether or not the report was submitted within the established time frame. 

•	 What type of technology is used to control CSO discharges? Describe regulator 

mechanisms used, including size, type, presence or absence of backflow devices, and 

location. 

•	 How are overflows monitored and reported? What instrumantation is used? Is there 

any “real time” data collected? How quickly can an operator adjust flow? Remotely? 

• Describe the system, identifying the older and new facilities that are used. 

• What communities are served by the treatment plant? 

•	 Is the collection system gravity fed or are pumps used? If pumping stations are used, 

how many are there and where are they located? 

•	 What flows does the municipality receive from other municipalities? Are these upstream 

systems combined sewer systems or separate sanitary systems? What kinds of 

overflow problems have the upstream municipalities reported? What agreements are in 

place establishing which municipality has authority and duty to maintain various parts of 

the sewer system? 

•	 How many overflows have occurred in the collection system, including contributing 

jurisdictions, within the last five years? 

• What is the most common cause of overflows? 

•	 Where are the potential CSO point discharges located? Are any located at pump 

stations? What receiving stream does each CSO discharge to? 

• What is a typical monthly rate of CSO incidents? 

• What samples have been taken of overflows? (Ask to see sample results.) 

•	 What steps is the municipality taking to comply with the CSO requirements in its permit? 

If the municipality is planning to meet a different schedule than that required in the 

permit, what is its time line? 

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Chapter Twelve Combined Sewer Overflows 

Facility Site Inspection 

An inspection of the CSO outfalls should be included in a NPDES compliance inspection in 

order to get a complete picture of how the overall publicly-owned treatment works (wastewater 

treatment plant and collection system) is performing. This is especially true if the inspection's 

focus or one of its objectives to investigate compliance with CSO requirements. In such cases, 

an inspection of CSO structures, CSO treatment systems, or key areas of the collection system 

is necessary. If the intent of the inspection is to observe CSO treatment, it may be necessary 

to schedule this inspection during or immediately after a wet weather event. These outfalls 

would be located throughout the collection system and, therefore, may be several miles from 

the facility. 

It is not necessary to inspect all of the CSO outfalls. The inspector can select a few either 

randomly or on the basis of location (closest to the plant) or other selection criteria. For 

example, the inspector may want to inspect those outfalls that treat solids and floatables to 

evaluate the operation and maintenance of the controls. The inspector might also select the 

largest (in discharge volume) outfalls, those that most frequently discharge (during wet 

weather), or those that are known to have an impact on water quality. Conversely, the 

inspector may want to select those outfalls that are subject to few inspections by the permittee. 

If the inspector observes any dry weather CSO discharges, a photographic record should be 

made (see Chapter Two), and in depth interviews should be conducted and statements 

obtained from facility personnel. 

12-9

Chapter Twelve Combined Sewer Overflows 

Table 12-3


CSO Records


Nine M inimu m CS O Co ntrols 

Proper operation and regular 

maintenance program 

Maximum use of collection system for 

storage 

Review and modification of the 

pretreatment program 

Examples of Records/Documentation 

• Standard Operating Procedures, Operations and 

Maintenance Manual, or similar manual or plan 

• Log of se wer s ystem clean ing, flu shin g, or d ebris 

removal 

• Log of repair or maintenanc e of regulators 

• Log of lift station malfunctions and repairs made 

• Log of preventive maintenanc e of interceptor lift 

stations and pumps 

• Work orders for corrective activities 

• Log of inspections of lift stations, sewer lines, and 

regulators 

• Hydraulic study of system and evaluation of 

alternatives to maximize wet weather flow storage 

capac ity 

• Records of installation of in-line devices such as 

dams, regulators, and gates to retard flow 

• Installation of separate sanitary and storm water lines 

• Replacement of undersized pipes 

• Adjustment of regulator settings or 

upgrading/adjusting pumping rates at lift stations 

• Off-line temporary storage 

• Inventory of nondomestic discharges 

• Ass ess me nt of s ignific anc e of n ond om estic 

discharges on CS O and receiving waters 

• Pretreatment controls to reduce/eliminate industrial 

contaminants during wet weather 

12-10

Chapter Twelve Combined Sewer Overflows 

Table 12-3


CSO Records (Continued)


Maximization of flows to the POTW for 

treatment 

• Summary of analyses conducted 

• Maximum wet weather flow Wastewater Treatment 

Plant (WWT P) can receive without pass-through or 

interference 

• Description of modifications to be implemented 

Nine M inimu m CS O Co ntrols Examples of Records/Documentation 

Prohibition of dry weather overflows 

(DWOs) 

•	 Log of inspections of CSOs during dry weather and 

observations made during these inspections 

•	 Log of D ry Weather O verflow (D W O) reports 

submitted 

Con trol of solids and f loata ble m ateria ls 

in CSOs 

• Installation of screens or booms 

• Source control activities such as regular street 

Pollution prevention 

cleaning, highly visible anti-litter programs 

• Street sweeping, anti-litter campaigns 

• CSO outfalls are posted with signage 

• Date and proof of public notice, procedure (by 

newspaper, radio), public notice information 

Public notification 

Monitoring of CSOs • Identification of outfall locations (i.e., latitude and 

longitude or street address) 

• Number and location of overflow events including 

duration, volume, and pollutant loadings 

• Receiving stream data and impact (e.g., beach 

closings, fish kills) 

• Monitoring plan 

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Chapter Twelve Combined Sewer Overflows 

Table 12-4


CSO Interview Questions


Nine M inimu m CS O Co ntrols Examples of Interview Questions 

Proper operations and regular maintenance 

program 

• How often are CSO discharge locations 

inspected? nspections? 

records do they keep? ive action 

assured when a problem is discovered? ow are 

the operability and reliability of regulators verified? 

• Do the p ump stations h ave bac kup po wer? 

there an y teleme tric alarm warning system ? 

any other type of redundancy built into the 

collection system to minimize the occurrence of 

overflows? 

• What is the municipality’s budget for collection 

system operation? ection system 

maintenance? year on 

collection system operation and maintenance? 

• How many people are dedicated to maintaining 

the collection system? 

• What improvements are planned? se 

projects funded? funding 

capital improvements? 

• How are personnel trained? 

• How often is the Operations & Maintenance plan 

reviewed? revision? 

Who conducts the i What 

How is correct

H 

Is 

Is 

For coll

How much was spent last

Are the

What is the process for

When was the last

Maximum use of collection system for 

storage 

• What steps are taken to maximize use of the 

collection system for storage? g., install dams, 

weirs, and regulators) 

(e.

Review and modification of the pretreatment 

program 

• When were the pretreatment requirements last 

reviewed to ensur e minim ization of CS O im pacts 

from upstream Industrial Users? 

have been made to the program to accomplish 

this goal? al flow comes 

from nondomestic sources? he impact of 

untreated industrial pollutants from CSOs 

addressed in the pretreatment program? 

What changes 

What percentage of tot

How is t

Maximization of flows to the POTW for 

treatment 

• W hat steps are take n to m axim ize flow to the 

POTW? 

• What are the bottlenecks in the sewer system? 

What facilities in the system are critical to the 

performance of the CSS? 

• W hat are the capabilities of major interceptors 

and pumping stations delivering flows to the 

treatment POTW? 

• How do wet wea ther flows to the POTW compare 

with dry weather flows? 

• How does the current total flow compare to the 

des ign ca pac ity? 

• What, if any, unused treatment facilities are used 

to store wet weather flows? 

12-12

Chapter Twelve Combined Sewer Overflows 

Table 12-4


CSO Interview Questions (Continued)


Nine M inimu m CS O Co ntrols Examples of Interview Questions 

Prohibition of dry weather overflows (DWOs) • W hat has the mun icipality done to eliminate dry 

weather overflows? 

• How does the municipality identify dry weather 

overflows? 

the inspections performed? 

• Describe the m ost recent cleaning, sewer repair, 

or regulator repair performed to alleviate a dry 

weather overflow. 

• How does the m unicipality determine which dry 

weather overflows could endanger health or the 

environm ent? 

If inspections are used, how often are 

Con trol of solids and f loata ble m ateria ls in 

CSOs 

• How does the municipality keep solids and 

floatables out of the CSO discharge? 

• If solids and floatables do reach the receiving 

waters, how does the municipality remove them? 

Pollution prevention • What pollution prevention measures (e.g., street 

cleaning, public education, waste collection or 

recycling) does the municipality take to keep 

contaminants from entering the sewer system? 

Public notification • How has the public been notified of the location of 

CSO discharge points? 

municipality notify the public of overflow 

incidents? fication? 

• What is the internal mechanism for reporting 

sewage overflows? nformation 

reac h the perm itting a utho rity? 

How does the 

When was the last noti

How does this i

Monitoring of CSOs • How does the municipality monitor CSOs? 

does th e mu nicipality use this mon itoring to 

characterize the impacts of CSOs? 

municipality use this monitoring to evaluate the 

effectiveness of CSO controls? Does the 

municipality monitor CSO flow rates? 

• W hat inform ation from other gro ups (e.g ., Coast 

Guard or local volunteer groups) does the 

municipality collect on water quality or use of 

waters affected by CSOs (e.g., beach closings, 

fish kills, etc.)? 

• Which CSO receiving waters are the most 

sensitive? y? 

How 

How does the 

Wh (e.g., drinking water) 

12-13

Chapter Twelve Combined Sewer Overflows 

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12-14

12. C. References and Checklist 

References 

Federal Register. September 8, 1989. National CSO Control Strategy: Notice. Volume 54, No. 

37370. 

U.S. Environmental Protection Agency. 1993. Manual: Combined Sewer Overflow Control. 

Washington, D.C. EPA 625/R-93-007 

Federal Register. April 19, 1994. Combined Sewer Overflow Control Policy; Notice. Volume 

59, No. 75. 

U.S. Environmental Protection Agency. September 1995. Combined Sewer Overflows 

Guidance for Long-Term Control Plan. EPA 832-B-95-002. 

U.S. Environmental Protection Agency. May 1995. Combined Sewer Overflows Guidance for 

Nine Minimum Control Measures. EPA 832-B-95-003. 

U.S. Environmental Protection Agency. September 1995. Combined Sewer Overflows 

Guidance for Permit Writers. EPA 832-B-95-008 

U.S. Environmental Protection Agency. August 1995. Combined Sewer Overflows Guidance 

for Screening and Ranking. EPA 832-B-95-004 

U.S. Environmental Protection Agency. August 1995. Combined Sewer Overflows Guidance 

for Funding Options. EPA 832-B-95-007 

.U.S. Environmental Protection Agency. March 1996. The Enforcement Management System 

National Pollutant Discharge Elimination System (Clean Water Act) Chapter X: Setting 

Priorities for Addressing Discharges from Separate Sanitary Sewers. 

U.S. Environmental Protection Agency. Summer 1996 . Sanitary Sewer What are they and how can we 

reduce them? EPA 832-K-96-001. 

U.S. Environmental Protection Agency. 1997. Combined Sewer Overflows Guidance on Financial 

Capability and Schedule D evelopm ent. EPA 832-B-97-004 

U.S. Environmental Protection Agency. January 1999 . Combined Sewer Overflows Guidance For 

Monitoring And Modeling. EPA 832-B-99-002 

U.S. Environmental Protection Agency. April 2000. Compliance and Enforcement Strategy for CSOs and 

SSOs. 

U.S. Environmental Protection Agency. June 2000. Benefits of Protecting Your Community 

From Sanitary Sewer Overflows. EPA 832-F-00-005. 

U.S. Environmental Protection Agency. June 2001. Evaluating POTW Capacity, Management, 

Operation, and Maintenance Programs. 

U.S. Environmental Protection Agency. July 31, 2001. Guidance: Coordinating CSO Longterm Planning with Water Quality Standards Reviews. EPA-833-R-01-002. 

12-15

Chapter Twelve Combined Sewer Overflows 

12-16

Chapter Twelve Combined Sewer Overflows 

CSO EVALUATION CHECKLIST 

A. IDENTIFICATION OF CSOs 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

1. Are all CSO points identified? 

2. Does facility have maps/schematics of Combined Sewer System

(CSS) depicting location of all CSO discharge points? 

3. Is each CSO discharge point located by longitude, latitude, and street 

address on appropriate maps? 

B. DRY WEATHER OVERFLOWS 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Are the locations of all dry weather CSOs known by permittee? 

2. Does permittee have records of quantitative loads and flows on all dry

weather CSO events? 

3. Has notification been given to EPA/State of all dry weather CSO

discharges? 

4. Are there any unreported dry weather CSOs? 

C. RECORDS 

1. Are the following records kept for CSO events? 

Yes No N/A • Location


Yes No N/A • Frequency of discharge


Yes No N/A • Flow magnitude


Yes No N/A • Discharge pattern


Yes No N/A • Total volume of discharge


Yes No N/A • Duration of the event


Yes No N/A • Pollutant characterization


Yes No N/A • Correlation with rainfall records


Yes No N/A • Specific causes of overflows


Yes No N/A Flow collected/flow diverted? 

2. Are records of CSO flows maintained? 

3. Are records accurate? 

•


Yes No N/A


Yes No N/A


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Chapter Twelve Combined Sewer Overflows 

CSO EVALUATION CHECKLIST 

D. OPERATION AND MAINTENANCE 

Yes 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

No N/A 

1. Is there a CSS O&M manual and does it address O&M of CSO 

structures? 

2. Does the facility conduct inspections of the CSS and CSO structures? 

3. Are these inspections documented? include 

results of various types of inspections, dates and times, corrective 

action taken if problems were found? 

4. Is a log book of maintenance and repair on the CSS and CSO

structures maintained? this note the type of problem (or

indicate routine maintenance), repair made, or maintenance activity

conducted, date? 

Does documentation

Does

E. COMPLIANCE SCHEDULES 

1. Is permittee meeting CSO compliance schedule for: 

Yes No N/A • Implementing nine minimum CSO controls?


Yes No N/A • Developing LTCP?


Yes No N/A Implementing LTCP? 

2. Has permittee requested an extension of time? 

•


Yes No N/A


12-18

Chapter Twelve Combined Sewer Overflows 

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12-19

13. SANITARY SEWER OVERFLOWS 

Contents Page 

A. Overview of SSOs .................................................... 13-1


B. SSO Inspection Procedures ............................................ 13-5


Preparation ....................................................... 13-5


Records Review ................................................... 13-6


Interviews ........................................................ 13-7


Facility Site Inspection ............................................... 13-8


C. References ........................................................ 13-11


List of Tables


13-1. Documents to Review ............................................... 13-10


Related Websites 

Office of Wastewater Management (OWM) Homepage: http://www.epa.gov/owm 

13-i 
Chapter Thirteen Contents 

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13-ii 
13. A. Overview of SSOs 

In addition to materials in this chapter, inspectors must be familiar with Chapter 1 -

"Introduction" & Chapter 2 - "Inspection Procedures". 

Sanitary sewer collection systems are designed to remove wastewater from homes and other 

buildings and convey it to a proper treatment facility and disposal location. The collection 

system is critical to successful performance of the wastewater treatment process. EPA 

estimates that collection systems in the U.S. have a replacement value of $1 to $2 trillion. 

Under certain conditions, poorly designed, built, managed, operated, and/or maintained 

systems can pose risks to public health and the environment. These risks arise from sanitary 

sewer overflows (SSOs) from the collection system. SSOs are discharges of wastewater 

(including that combined with rainfall induced infiltration/inflow) from a separate sanitary sewer 

prior to treatment at the wastewater treatment plant. SSOs typically release untreated sewage 

into basements or out of manholes and onto city streets, playgrounds, and into streams. 

Effective and continuous management, operation, and maintenance, as well as ensuring 

adequate capacity and performing rehabilitation, when necessary, are critical to maintaining 

collection system capacity and performance while extending the life of the system. Many 

sanitary sewer collection systems, however, have received minimal maintenance over the years 

resulting in deteriorated sewers with subsequent overflows, cave-ins, hydraulic overloads at 

treatment plants, and other safety, health, and environmental problems. As one of the most 

serious and environmentally threatening problems, sanitary sewer overflows are a frequent 

cause of water quality violations and are a threat to public health and the environment. Beach 

closings, flooded basements, closed shellfish beds and hydraulically overloaded wastewater 

treatment plants are some symptoms of collection systems with inadequate capacity and 

improper management, operations, and maintenance. 

Even though separate sanitary sewer systems are designed to collect and transport all the 

sewage that flows into them, SSOs can still occur. Frequent SSOs typically indicate that 

something is wrong with the system. Problems contributing to SSOs include: 

� Deteriorating Sewer System: Many sewer authorities neglect to plan and fund long-term 

sewer rehabilitation and replacement projects. 

� Infiltration and Inflow (I&I): This involves too much rainfall or snowmelt infiltrating 

through the ground into leaky sanitary sewers, excess water inflowing through roof drains 

connected to sewers, broken pipes, or badly connected sewer service lines. Unlike 

combined sewers, sanitary sewers are not intended to collect or convey rainfall or to drain 

property. 

� Undersized Systems: Sewers and pumps are too small to carry sewage from 

newly-developed subdivisions or commercial areas. 

� Pipe Failures: Pipe failures result from blocked, broken or cracked pipes. Sections of 

pipe settle or shift so that pipe joints no longer match, sediment and other material build up 

causing pipes to break or collapse. 

� Pump Station Failures: This results from pump failures, power failures, and inadequate 

wet well capacity. 

13-1

Chapter Thirteen Sanitary Sewer Overflows 

� Sewer Service Connections: Discharges occur at sewer service connections to houses 

and other buildings. 

� Pipe Blockages: Grease and tree roots are the primary causes of sewer blockages. 

� Vandalism and construction-related spills. 

From a compliance standpoint, Chapter X of the Enforcement Management System Setting 

Priorities for Addressing Discharges from Separate Sanitary Sewers, establishes a series of 

guiding principles and priorities for use by EPA Regions and National Pollutant Discharge 

Elimination System (NPDES) States in responding to separate sanitary sewer discharge 

violations. Chapter X states: 

“For a person to be in violation of the Clean Water Act: 1) a person must own, operate, or 

have substantial control over the conveyance from which the discharge of pollutants 

occurs, 2) the discharge must be prohibited by a permit, be a violation of the permit 

language, or not be authorized by a permit, and 3) the discharge must reach waters of the 

United States. In addition, discharges that do not reach waters of the United States may 

nevertheless be in violation of Clean Water Act permit requirements, such as those 

requiring proper operation and maintenance (O&M), or may be in violation of State law.” 

The exact use of language in a NPDES permit disallowing SSOs may vary from one facility to 

another (often depending on how a State NPDES permit authority contends with SSOs). Some 

permits explicitly prohibit overflows from the system and in other cases, where the permit may 

be silent, SSOs are treated as unauthorized discharges. 

Systems have been found to be out of compliance because of overflows (even those that do not 

reach waters of the United States) that are the result of improper operation and maintenance. 

40 CFR 122.41(e) requires, as a standard NPDES permit condition, that permitted wastewater 

owners or operators must “properly operate and maintain all facilities and systems of treatment 

and control (and related appurtenances) which are installed or used by the permittee to achieve 

compliance with the conditions of this permit.” 

Another standard permit condition regarding the duty to mitigate states that “the permittee shall 

take all reasonable steps to minimize or prevent any discharge... in violation of [the] permit 

which has a reasonable likelihood of adversely affecting human health or the environment.” (40 

CFR 122.41 (d)). This may be interpreted to include sanitary sewer overflow discharges. 

Most permittees are required to report any noncompliance, including overflows that result in a 

discharge or that are caused by improper operation and maintenance. Most permits also 

require that any noncompliance, including overflows which may endanger the health or the 

environment be reported within 24 hours, and in writing within five days. 

Since there are minor variations among permits regarding how to deal with overflows (except 

for the standard permit conditions which appear in all permits), the NPDES inspector should 

rely on the guidance in Chapter X of the EMS (part of which has been summarized above) and 

the Publicly Owned Treatment Work (POTW) NPDES permit for standards for evaluating 

compliance. 

13-2

Chapter Thirteen Sanitary Sewer Overflows 

EPA has worked with State NPDES authorities to the extent possible to standardize language in 

permits regarding SSOs. However, a more uniform approach is being developed through a 

national rulemaking effort. 

EPA has carefully considered the recommendations of the SSO Federal Advisory 

Subcommittee for regulatory and nonregulatory actions to reduce SSOs nationally and has 

developed draft proposed regulations regarding SSOs. The SSO Federal Advisory 

Subcommittee was organized to examine the need for national consistency in permitting and 

enforcement, effective sewer operation and maintenance principles, public notification for SSOs 

with potential health or environmental dangers, and other public policy issues. The draft 

regulations include provisions for the periodic self-auditing of capacity, management, operation, 

and maintenance (CMOM) programs; SSO prohibition language; recordkeeping, reporting and 

public notification requirements; criteria for remote treatment facilities; the inclusion of satellite 

collection systems in the scope of NPDES permitting; and watershed management principals. 

At the end of March 2000, the SSO proposed rule package (also known as the CMOM 

proposed rule) was sent to the U.S. Office of Management and Budget for approval/comments. 

The Administrator signed the Notice of Proposed Rulemaking on January 4, 2001. In 

accordance with the memorandum of January 20, 2001, from the Administrator to President 

Clinton and Chief of Staff, entitled "Regulatory Review Plan," published in the Federal Register 

on January 24, 2001, 66 FR 7701, EPA has withdrawn this document from the Office of the 

Federal Register to give the Administrator an opportunity to review it. When the regulation is 

final, a regulatory scheme for the handling of SSOs will be phased in (over the following 

NPDES permit cycle) with some requirements taking effect upon publication in the Federal 

Register. 

In the SSO proposed rule, EPA is proposing to clarify and expand NPDES permit requirements 

for municipal sanitary sewer collection systems and SSOs. The proposal includes standard 

permit conditions addressing capacity, management, operation and maintenance (CMOM) 

requirements; a prohibition on discharges (with a framework for a defense for unavoidable 

discharges); and requirements for reporting, public notification, and recordkeeping for municipal 

sanitary sewer collection systems and SSOs. 

The Agency also is proposing a regulatory framework for applying NPDES permit conditions, 

including applicable standard permit conditions, to municipal satellite collection systems. 

Municipal satellite collection systems are sanitary sewers owned or operated by a municipality 

that convey sewage or industrial wastewater to a POTW that has a treatment plant owned or 

operated by a different municipality. These types of facilities do not typically have their own 

NPDES permit. Implementation of this proposal would improve the capacity, management, 

operation and maintenance of municipal sanitary sewer collection systems and improve public 

notice for SSO events, which would: 

•	 Reduce health and environmental risks by reducing SSO occurrences and improving 

treatment facility performance 

•	 Protect the nation’s collection system infrastructure by enhancing and maintaining system 

capacity, reducing equipment and operational failures and extending the life of its 

components. 

Among the significant issues that the proposed rule addresses is establishing a definition of 

Sanitary Sewer Overflow. The rule proposes that a sanitary sewer overflow is an overflow, spill, 

13-3

Chapter Thirteen Sanitary Sewer Overflows 

release, or diversion of wastewater from a sanitary sewer system. SSOs do not include 

combined sewer overflows (CSOs) or other discharges from the combined portions of a 

combined sewer system. SSOs include: 

• Overflows or releases of wastewater that reach waters of the United States 

• Overflows or releases of wastewater that do not reach waters of the United States 

•	 Wastewater backups into buildings that are caused by blockages or flow conditions in a 

sanitary sewer other than a building lateral. Wastewater backups into buildings caused by 

a blockage or other malfunction of a building lateral that is privately owned is not an SSO. 

In addition, national standards for reporting SSO events will be clarified by the proposed rule. 

These include immediate notifications and followup reports within five days for SSOs (including 

overflows that do not reach waters of the United States) that may imminently and substantially 

endanger human health; and for SSOs that enter waters of the US, reporting on Discharge 

Monitoring Reports (DMRs). The permittee must also prepare an annual report of all overflows 

in the sewer system, including overflows that do not discharge to waters of the United States. 

The annual report must include the date, the location of the overflow, any potentially affected 

receiving water, and the estimated volume of the overflow. 

By defining what is a Sanitary Sewer Overflow and standardizing reporting requirements, EPA 

hopes to clarify national standards thereby enhancing inspector’s ability to evaluate a 

permittee’s program. 

13-4

13. B. SSO Inspection Procedures 

During an inspection of a sanitary sewer system, the inspector will obtain information indicating 

whether the sewer authority is properly managing, operating, and maintaining its collection 

system and taking all feasible steps to stop sanitary sewer overflows. The inspection of one 

sanitary sewer system my involve visits to more than one municipality, depending upon the 

configuration and possible shared responsibility for the system. Before conducting the 

inspection, the inspector should identify the authorities responsible for operation of the system 

and define the scope of the inspection. 

Preparation 

In evaluating either a system with a past history of SSOs or a system in which overflows may 

not necessarily be documented, the compliance inspector will rely primarily on the permit as a 

starting point. The inspector should refer to standard permit language contained in the NPDES 

permit. The inspector should also review the permit for any overflow-related requirements 

specific to the system. 

An enforcement order, consent decree, or other enforceable document might also indicate 

prohibition, notification, or special circumstance language. Often, the establishment of a 

sanitary sewer discharge control program is the result of an enforcement action against a 

system. The inspector should refer to the enforcement document (e.g., consent decree, order, 

or other settlement) for a compliance schedule for sanitary sewer discharge control programs. 

The compliance inspector will be faced with obtaining information to determine compliance in 

the following areas: 

NPDES Standard Conditions 

� Proper operation and maintenance. Regulatory language at 40 CFR 122.41(e) states that: 

“The permittee shall at all times properly operate and maintain all facilities and systems of 

treatment and control (and related appurtenances) which are installed or used by the 

permittee to achieve compliance with the conditions of this permit.” Poor operation and 

maintenance practices frequently lead to unpermitted discharges. 

� Duty to mitigate. “The permittee shall take all reasonable steps to minimize or prevent any 

discharge... in violation of [the] permit which has a reasonable likelihood of adversely 

affecting human health or the environment.” (40 CFR 122.41 (d)) These steps would 

include activities critical to the operation and maintenance of the system. 

Notification Procedures 

� In general, permits require that any noncompliance, including overflows that result in a 

discharge or that are caused by improper operation and maintenance, be reported at the 

end of each month with the DMR. At a minimum, permits typically require that overflow 

summaries include the date, time, duration, location, estimated volume, cause, as well as 

13-5

Chapter Thirteen Sanitary Sewer Overflows 

any observed environmental impacts, and what actions were taken or are being taken to 

address the overflow. 

� Most permits also require that any noncompliance, including overflows, which may 

endanger the health or the environment be reported within 24 hours, and in writing within 

five days. Examples of overflows which may endanger health or the environment include 

major line breaks, overflow events which result in fish kills or other significant harm, and 

overflow events which occur in environmentally sensitive areas. 

Prohibition of Unpermitted Discharges 

� Discharges to waters of the U.S. must be regulated by a NPDES permit. Any discharge 

from a location other than the effluent discharge point specified in the permit constitutes an 

unpermitted discharge. This includes dry weather overflows. 

Records Review 

Prior to the inspection, the inspector should review the permittee’s DMRs, SSO notification 

reports submitted by the permittee, sewer overflow service calls, and other documents that may 

have relevant information (e.g., annual reports). The permittee may have submitted information 

in response to EPA Section 308 information requests on SSOs. As required by an enforcement 

action, the permittee may have submitted plans or a report characterizing its program to 

eliminate SSOs or a report documenting progress of its sanitary sewer discharge control 

programs or describing SSO discharge points and overflow problems. Other documents and 

information that should be reviewed, if available, include: 

• citizen complaints 

• correspondence 

• Notices of Violation 

• annual capacity reports 

• inspection reports 

• maps illustrating the proximity of overflows to drinking water sources 

• potential for impact to human health and the environment. 

Reviewing these reports in advance of the inspection will help the inspector become 

knowledgeable about the permittee's specific SSO problems, existing SSO controls, and/or 

plans to reduce or eliminate their SSO problems. The inspector should make copies of those 

documents that provide evidence of (1) any SSO occurring at the facility within the previous five 

years or (2) environmental problems related to SSOs at the facility. The inspector should make 

sure that EPA has a complete copy of the last five years of noncompliance notification reports, 

indicating the date, time, duration, flow rate, cause, and actions to correct, prevent, and mitigate 

each sewage overflow from the facility. 

During the onsite records review, the types of records that the inspector should find at the 

facility include logs, reports, or internal memos describing maintenance and operation activities 

concerning the sanitary sewer system and SSOs. As in any NPDES evaluation, the inspector 

should review DMRs as well as monitoring results as reported by the laboratory that analyzed 

the data. 

13-6

Chapter Thirteen Sanitary Sewer Overflows 

However, during inspections concerned with SSOs, the inspector might also request records 

pertaining to management, budget, and planning for sewer infrastructure improvements. The 

inspector might also want to review maps of the sanitary sewer system, indicating the locations 

of manholes, pump stations, etc. Consideration should also be given to the location of SIU 

connections and the possible effect of such industrial discharges could have when discharged 

untreated from a SSO. Table 13-1 contains a sample list of documents to review. Items have 

been arranged under headings for each of the four major components: Capacity, Management, 

Operations, and Maintenance. There is some overlap between the areas where an inspector 

would typically use some of the documents listed. For example, POTW flow records would be 

helpful in the section of the inspection report relating to operations and maintenance as well as 

capacity. As appropriate, the permittee should have as many of these records readily available 

as possible. 

EPA is developing a CMOM guidance related checklist which will be available on the EPA 

website. Note, EPA has developed an inspection guide for collection systems which 

incorporates CMOM concepts, Guide for Evaluating Capacity, Management, Operations, and 

Maintenance Programs for Sanitary Sewer Collection Systems, EPA 300-B-00-014, September 

2000. 

Interviews 

As with all NPDES compliance inspections, interviews with appropriate personnel are essential 

to understanding the context and meaning of the documents and records. In the case of SSO 

investigations, appropriate personnel would include people in the highest position of authority at 

the facility as well as those responsible for day-to-day operations, maintenance and/or oversight 

of crews such as the collection crew or others involved in inspecting, operating, and maintaining 

the system. It is particularly important that the inspector obtain written statements (see Chapter 

Two) where personnel are providing information that is not or cannot be substantiated by the 

facility's records or the inspector's own observations. 

The following are examples of relevant questions that the inspector can use to obtain a general 

understanding of the facility. 

•	 What is the capacity of the collection system? Is the capacity adequate? What 

measures have been taken to prevent SSOs? 

•	 What flows does the municipality receive from other municipalities? What kinds of 

overflow problems have the upstream municipalities reported? What agreements exist 

to maintain various parts of the sewer systems?•What are the causes of overflows, 

where do they occur, and how are they documented and reported? 

•	 Where are the potential SSO point discharges located? Are any located at pump 

stations? What receiving stream does each SSO discharge to? 

•	 How many SSOs have occurred in the past five years? What is the plan to reduce/ 

eliminate SSOs? 

•	 What are the SSO remediation policies and emergency Standard Operating Procedures 

(SOPs)? 

•	 How does the authority identify and assess impact from nonmunicipally owned lateral 

lines? 

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Chapter Thirteen Sanitary Sewer Overflows 

•	 What preventive and response Best Management Practices (BMPs), such as 

containment, recovery, and minimization of impact to human health and the 

environment, are in place? 

•	 How are personnel trained to manage and/or prevent SSOs, and what are current 

staffing levels? 

•	 Are there any alarms or systems monitoring to alert you of an imminent SSO, and what 

are they? 

•	 What are the goals of the authority’s program for managing, operating, and maintaining 

the sanitary sewer conveyance system? 

• What structural deficiencies have been identified in the system? 

•	 What is the O&M schedule for replacement parts/equipment and collection system 

improvements? 

•	 What studies have been performed of the authority’s program for managing, operating, 

and maintaining the sanitary sewer collection system? 

Facility Site Inspection 

Previous chapters of this manual provide guidance on general procedures for performing 

compliance inspections and are a valuable source of information on such topics as entry, legal 

authority and responsibilities of the inspector. However, there are some issues with entry that 

are specific to CMOM inspections. The inspector should be aware that some collection system 

components may be on private property, and they must gain entry properly through the property 

owner. 

After reviewing records of SSO incidents, the inspector should visit previously identified SSO 

locations. The field inspection of the collection system should be directed by information gathered 

on prior SSOs, noncompliance notifications, citizen complaints, State reports, municipal studies, 

etc. Locations where large or representative SSOs have occurred or where SSOs occur more 

frequently should have higher priority for field inspection. The inspector should review causes 

(e.g., evidence of illicit connections) and determine whether the situation that led to the spill has 

been adequately addressed. 

Field sampling must be conducted according to approved EPA methodology discussed in other 

chapters and may include sampling of the discharge and/or the receiving stream. Field sampling 

may be useful in developing enforcement actions to address chronic or acute violations, and as 

such, must be conducted with strict adherence to 40 CFR Part 136 and chain-of-custody protocol. 

The inspector is reminded to take appropriate safety precautions. Collection systems may present 

physical, biological, chemical, and atmospheric hazards. Safety equipment should include a hard 

hat, steel-toed boots, safety glasses, gloves and for those with prescription eyeglasses, eyeglass 

straps are very important. A flashlight is also useful for collection system inspections. Collection 

system operators typically deal with manhole cover removal and other physical activities. The 

inspector should refrain from entering confined spaces unless absolutely necessary and then, only 

with the proper personal protective (safety) equipment. In sewer collection systems, the two most 

common confined spaces are the underground pumping station and manholes. The underground 

pumping station is typically entered through a relatively narrow metal or concrete shaft via a fixed 

ladder. 

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Chapter Thirteen Sanitary Sewer Overflows 

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13-9

Chapter Thirteen Sanitary Sewer Overflows 

Table 13-1. Documents to Review 

Capacity Management Operations Maintenance 

� Inform ation relating to 

syste m c apa city 

� Performance data 

� POTW Flow Records 

� Capital improvement 

projects (CIP) plan 

(including funding and 

planned improvements) 

� Collection system master 

plan 

� Infiltration/Inflow studies 

� I/I studies and evaluations 

(including programs for 

eliminating illegal 

connections). 

� Org aniza tion c hart( s) an d cha in 

of communication for reporting 

SSOs 

� Prog ram goals 

� Management Policies and 

Procedures 

� Job descriptions 

� Staffing plans, crew 

assignments and schedules 

� Sewer Use Ordinance, Grease 

Control Ordinance 

� Legal authority establishing 

control of system equipment 

and its maintenance 

� O&M bu dget with cost centers 

for wastewater collection 

� Rec ent a nnu al rep ort if a vailab le 

� Procurement process 

� Information systems 

� Training plan 

� Training and certification 

records 

� Pub lic edu catio n m ateria ls 

� Policy and procedures for 

trenching, confined space, 

lockout tagout, PPE 

� CMO M prog ram audits 

� Methods to extend good 

collection systems managem ent 

to any satellite communities 

discharging to the central 

system. 

� Detailed maps/schematics of the 

collection system and pump 

stations (SIU location) 

� O& M m anu als 

� Inspection strategy, forms, and 

records 

� SSO reports detailing location, 

receiving water, volume, cause, 

start and stop date and time, 

system com ponent, corrective 

action, an d actions to mitigate 

impa cts 

� Safety manual 

� Emergency response plan/SOP 

(awareness, notification, training, 

and emergency response) 

� SCADA and other alarm system 

information 

� Materials management program 

� Vehicle management 

� Overall map of system showing 

facilities such as pump stations, 

treatm ent plants , majo r gravity 

� Odor and corrosion control 

strategy 

� Root control program 

� Sampling procedures 

� Industrial pretreatment oversight 

of the collection system. 

� Routine reports regarding 

system O&M activities 

� Work order managem ent system 

� Maintenance tasks and 

frequencies 

� Replacem ent parts inventory 

� Performance measures for 

inspection, cleaning, repair, 

rehabilitation sewers, and force 

mains 

� Preventive maintenance cleaning 

strategy 

� Problem diagnosis records 

� Repair, rehabilitation, 

replacement strategy for pipes 

and pump stations 

� Record of citizen complaints and 

emergencies (normal hours and 

after hours) 

� Notification s to public h ealth 

agencies, NPDES authority, and 

other entities. 

13-10

13. C. References 

References 

U.S. Environmental Protection Agency. March 7, 1995. Memorandum: Enforcement Efforts 

Addressing Sanitary Sewer Overflows. 

U.S. Environmental Protection Agency. March 1996. The Enforcement Management System 

National Pollutant Discharge Elimination System (Clean Water Act) Chapter X: Setting 

Priorities for Addressing Discharges from Separate Sanitary Sewers. 

U.S. Environmental Protection Agency. Summer 1996. Sanitary Sewer Overflows: What are 

they and how can we reduce them? EPA 832-K-96-001. 

U.S. Environmental Protection Agency. November 1996. Sanitary Sewer Overflow and 

Sanitary Sewer Operation, Maintenance, and Management Draft Unified Paper. 

U.S. Environmental Protection Agency. April 27, 2000. Memorandum: Compliance and 

Enforcement Strategy Addressing Combined Sewer Overflows and Sanitary Sewer 

Overflows. 

U.S. Environmental Protection Agency. June 2000. Brochure: Benefits of Protection Your 

Community from Sanitary Sewer Overflows. EPA 832-F-00-005. 

U.S. Environmental Protection Agency. January 2001. Fact sheet: Why Control Sanitary 

Sewer Overflows? 

U.S. Environmental Protection Agency. January 2001. Proposed Rule To Protect Communities 

From Overflowing Sewers. EPA 833-01-F-001. 

U.S. Environmental Protection Agency. June 2001. Benefits of Protecting Your Community 

From Sanitary Sewer Overflows. EPA 832-F-00-005. 

U.S. Environmental Protection Agency Office of Compliance and Region 4. June 2001. 

Evaluating POTW Capacity Management, Operation, and Maintenance Programs. 

U.S. Environmental Protection Agency. June 2001. Fact sheet: (OECA/Region 4) Evaluating 

POTW Capacity, Management, Operation, and Maintenance Programs. 

U.S. Environmental Protection Agency. March 2002. Case Study: Clearwater, Florida Abates 

Sanitary Sewer Overflows Using the EPA Region 4 Management, Operations and 

Maintenance Approach. EPA 833-R-02-001. 

U.S. Environmental Protection Agency. April 2002. Fact Sheet: Asset Management for Sewer 

Collection Systems. EPA 833-F-02-001. 

13-11

Chapter Thirteen Sanitary Sewer Overflows 

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13-12

14. POLLUTION PREVENTION 

Contents Page 

A. Overview of Pollution Prevention ........................................ . 14-1


Pollution Prevention Goals ........................................ . 14-1


Waste Management Hierarchy ...................................... 14-1


Pollution Prevention Benefits ....................................... 14-4


B. Pollution Prevention Opportunity Assessment Procedures for Industrial Facilities .... 14-7


Preparation ..................................................... 14-8


Interview ....................................................... 14-9


Facility Site Visit ................................................ 14-10


C.	 Pollution Prevention Opportunity Assessment Procedures For Municipal 


Wastewater Treatment Plants ..................................... 14-15


D. References and Checklist ............................................. 14-19


References .................................................... 14-19


Pollution Prevention Checklist for Industry ............................ 14-21


Pollution Prevention Checklist for Municipal Wastewater 


Treatment Plants ............................................... 14-26


List of Tables 

14-1.	 Useful Facility Information to Conduct a Pollution Prevention Opportunity 


Assessment ...................................................... 14-13


List of Figures 

14-1. Waste Management Hierarchy ........................................ 14-5


14-2. Benefits of Pollution Prevention ........................................ 14-6


14-3. Pollution Prevention Opportunity Assessment ............................ 14-12


Related Websites 

Pollution Prevention (P2) Homepage: http://www.epa.gov/opptintr/p2home


EnviroSense: http://es.epa.gov/


Pollution Prevention Information Clearinghouse (PPIC):


http://www.epa.gov/opptintr/library/ppicindex.htm


14-i 
Chapter Fourteen Pollution Prevention 

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14-ii 
Chapter Fourteen Pollution Prevention 

14. A. Overview of Pollution Prevention 

Pollution prevention is a proactive environmental management approach for minimizing material 

and resource losses during production. Pollution prevention addresses all aspects of 

production processes from raw material usage and inventory procedures to waste management 

and utilities conservation. Management techniques that incorporate pollution prevention reduce 

or eliminate the generation of pollutants, wastes, and adverse ecological impacts through new 

approaches, material substitutions, and optimizing processes and operating procedures. 

Pollution Prevention Goals 

The goal of pollution prevention is to reduce pollution by eliminating or reducing waste. 

Pollution prevention is a multimedia approach that minimizes or eliminates pollutants released 

to land, air, and/or water without shifting pollutants from one medium to another. The Pollution 

Prevention Act of 1990 defines source reduction as: 

...any practice which reduces the amount of a hazardous substance, pollutant, or 

contaminant entering any wastestream or otherwise released into the 

environment (including fugitive emissions) prior to recycling, treatment, or 

disposal; and any practice which reduces the hazards to public health and the 

environment associated with the release of such substances, pollutants, or 

contaminants. 

Pollution prevention, therefore, represents a fundamental shift in approach away from the 

conventional reliance on waste treatment/disposal or "end-of-pipe" treatment to the active 

investigation of prevention techniques. Facilities can implement pollution prevention by: 

• Modifying Equipment or technology 

• Modifying process or procedure 

• Reformulating or redesigning products 

• Substituting of raw materials 

• Improvements in housekeeping, maintenance, training, and/or inventory control. 

Waste Management Hierarchy 

A facilities pollution prevention program should eliminate or reduce the generation of pollutants 

and wastes at the source by carefully considering material usage, production processes, and 

waste management practices. The facility's pollution prevention program should identify 

opportunities for reducing the use of hazardous materials and waste generation or releases, as 

well as opportunities to protect natural resources by conserving and efficiently using energy and 

water. 

14-1

Chapter Fourteen Pollution Prevention 

The Pollution Prevention Act of 1990 includes a Waste Management Hierarchy that describes a 

comprehensive waste management program. The hierarchy assigns the highest priority to 

source reduction and places a decreasing level of preference on recycling, treatment, and 

disposal. To be most effective, a facility's pollution prevention program should focus on 

implementing source reduction. Where source reduction cannot be achieved, reuse and 

recycling projects should be implemented. If there is no feasible pollution prevention 

alternative, treatment and disposal should be used as a last resort. Figure 14-1 is a graphic 

representation of the waste management hierarchy. Each level of the hierarchy is described 

below. 

Source Reduction 

Source reduction refers to the use of materials, processes, or practices that reduce or eliminate 

the quantity and toxicity of wastes at the point of generation. By preventing waste the need for 

costly treatment and disposal is decreased. Source reduction can be achieved by substituting 

raw materials improving operating practices and changing processes and equipment. 

•	 Substituting Raw material: Replacing hazardous materials with less hazardous (or 

less toxic) alternatives reduces releases to the environment of hazardous materials and 

wastes resulting from routine production processes and accidental spills. Examples of 

material substitutions include, but are not limited to, (1) substituting soy-based or waterbased ink to replace solvent-based ink for printing, (2) using recycled paper instead of 

virgin stock, (3) replacing styrofoam packing materials with re-usable hard-pack plastic 

materials for shipping products, (4) eliminating trichloroethylene as a cleaning agent by 

substituting a caustic cleaner such as potassium hydroxide or sodium hydroxide, and 

(5) eliminating Freon® use. 

•	 Improving operating practices: Improved operating practices can reduce waste 

generated from poorly developed standard operating procedures, inadequate training, 

and inefficient production scheduling. In the past, facilities developed operating 

practices that maximized production without taking into account factors such as raw 

material usage, waste disposal costs, and environmental impacts. Examples of 

improved operating practices include, but are not limited to, segregating waste, 

improving housekeeping, and establishing preventive maintenance, training, and 

outreach programs. 

•	 Modifying processes and equipment modifications: In the long run, one of the most 

effective source reduction techniques may involve process and equipment 

modifications. Changes to processes and equipment present significant opportunities 

for source reduction and pollution prevention. Such modifications include using newer 

or more efficient equipment or redesigning a process so that less raw material is 

required, yet product quality is maintained. 

14-2

Chapter Fourteen Pollution Prevention 

Recycling 

While source reduction prevents wastes from being generated, recycling turns by-products and 

wastes into reusable products. Recycling includes such practices as onsite or offsite recycling, 

materials exchange or reuse, and raw materials recovery. 

•	 Onsite/offsite recycling: Both onsite and offsite recycling can help reduce 

dependence on expensive virgin materials by reusing spent materials. 

•	 Materials exchange or reuse: A materials exchange system maximizes the use of a 

facility's excess raw materials and equipment. A system generally consists of a 

database for tracking the availability of excess materials by department (or whatever 

organizational unit is appropriate). In addition, a materials exchange system may 

include a communication link with the facility's supply system to alert stock clerks that 

excess items are on hand and should be used prior to purchasing new stock. 

•	 Materials recovery: Some of the by-products and wastes generated during production 

can be recovered and sold as commodities. For example, waste acids that no longer 

meet the requirements of a final, critical cleaning process can be used in a secondary 

process that does not require the same level of cleanliness. Other examples of 

materials recovery as part of waste treatment are discussed below. 

Waste Treatment 

Unlike source reduction, waste treatment applies to wastes after generation. The goals of 

waste treatment technologies are to neutralize the waste, to recover energy or material 

resources, to render the waste nonhazardous, or to reduce the volume. Treatment 

technologies that enable material to be recovered include ion exchange, reverse osmosis, 

electrolytic metal recovery, and electrodialysis. Volume reduction through evaporation is an 

example of treatment. Although volume reduction decreases the amount of wastewater, the 

absolute quantity of hazardous or toxic waste released to the environment is not reduced. In 

addition, equipment for volume reduction requires a capital cost and energy costs. 

Waste Disposal 

Disposal should be considered only when all other options are exhausted. Disposal is 

considered the least favored waste management method because of the associated costs, 

liability, and environmental impacts. In addition, a limited number of permitted waste sites are 

available for disposing hazardous material, and many of these sites are approaching capacity. 

Also, waste transportation may pose hazards. Finally, recordkeeping and reporting 

requirements associated with disposing hazardous wastes are an additional burden that can be 

avoided through preventive measures, such as source reduction. 

14-3

Chapter Fourteen Pollution Prevention 

Pollution Prevention Benefits 

Figure 14-2 summarizes the direct benefits of pollution prevention practices for facilities. 

Source reduction improves the potential for environmental compliance. Because penalties for 

environmental compliance are becoming increasingly severe, compliance is a top priority. 

Implementing source reduction measures can also reduce costs associated with waste 

management. Costs reductions may be experienced in expenditures for raw materials, waste 

disposal, transportation, handling and storage, training, management overhead, and 

emergency response. By decreasing the amount of hazardous waste shipped offsite for 

disposal, the facility may also reduce the costs associated with tracking and filing paperwork 

required for hazardous waste manifests. Future costs, such as remediation activities, can also 

be avoided with source reduction activities. 

In addition, source reduction will produce positive health and environmental benefits. By 

maintaining fewer hazardous or toxic materials onsite facilities reduce occupational hazards, 

and, therefore, improve worker health and safety. Creating a safer workplace may reduce the 

need for expensive health and safety protection devices. Also, insurance cost may be lowered. 

A safer workplace will also improve employee job satisfaction. Reducing hazardous materials 

usage also decreases the volume of toxic substances released to the environment from spills, 

leaks, and air emissions. 

The indirect benefits of pollution prevention may be equally significant. One indirect benefit is 

reduced liability. The Resource Conservation and Recovery Act (RCRA) and Comprehensive 

Environmental Response, Compensation, and Liability Act (CERCLA) "cradle to grave" 

provisions stipulate that a generator remains responsible for all environmental damage resulting 

from its waste including damage that occurs after disposal. A pollution prevention program can 

generate goodwill in the community and workplace, enhance the facility's public image, and 

foster environmental awareness among employees. 

14-4

Chapter Fourteen Pollution Prevention 

Figure 14-1


Waste Management Hierarchy


14-5

Chapter Fourteen Pollution Prevention 

Figure 14-2


Benefits of Pollution Prevention


• Significantly reduces the amount of pollution released to the environment. 

• Improves the potential for environmental and safety compliance. 

• Improves worker health and safety by reducing occupational hazards. 

•	 Provides the flexibility to choose cost-effective and environmentally sound solutions that 

will also result in improved efficiency and increased profit margins. 

• Provides public recognition of a facility's efforts. 

•	 Saves capital because of reductions in waste sent for costly treatment and disposal and 

because of decreased raw materials and energy usage. 

14-6

14. B. Pollution Prevention Opportunity 

Assessment Procedures for 

Industrial Facilities 

Because the primary objective of a routine National Pollutant Discharge Elimination System 

(NPDES) compliance inspection is to evaluate the facility's compliance with its NPDES permit 

requirements, a pollution prevention assessment incorporated into a compliance assessment 

may, by necessity, be limited. Nevertheless, the inspector can use these routine NPDES 

compliance inspections to identify pollution prevention options, particularly those options that 

would improve compliance. Alternatively, a facility visit may be conducted solely to evaluate the 

facility. In this instance, the general procedure for a facility visit is the same as that for any 

inspection (e.g., preparation, entry, opening conference, facility tour), but the specific focus is 

on identifying pollution prevention opportunities for the facility to investigate. Two reference 

documents the inspector may find useful are the Waste Minimization Opportunity Assessment 

Manual (EPA/625/7-88/003) and the Facility Pollution Prevention Guide (EPA/600/R-92/088). 

These documents contain procedures for conducting a pollution prevention opportunity 

assessment. Pollution prevention opportunity assessments have four phases: (1) planning and 

organization, (2) assessment, (3) feasibility analysis, and (4) implementation. The four phases 

are summarized in Figure 14-3. 

The inspector cannot perform all the steps in the type of pollution prevention assessment 

described in the Waste Minimization Opportunity Assessment Manual (EPA/625/7-88/003) and 

in the Facility Pollution Prevention Guide (EPA/600/R-92/088). These documents were 

developed as guides for waste generators who want to implement a pollution prevention 

program. The feasibility analysis and implementation phases require development of criteria to 

screen and rank the options, conduct an in-depth technical assessment of options that can be 

successfully applied at that facility, conduct an economic evaluation, and the develop an 

implementation plan and schedule, which only the facility can determine. However, the 

inspector can evaluate whether the facility has conducted such an assessment and whether 

there are obvious pollution prevention opportunities. 

It will be impossible, and unnecessary, for the inspector to have in-depth knowledge and 

understanding of all production processes and facility activities. However, as part of the entire 

pollution prevention assessment, whether during the preparation, interview, or facility site visit, 

the inspector should strive to become familiar with the facility layout, equipment and processes, 

points of potential waste generation, types of waste generated, and waste handling & disposal 

practices. If possible, the inspector should collect sufficient detailed information to develop a 

general flow diagram or material balance for each process step. The inspector should know the 

source, type, quantity, and concentration of each identified wastestream in order to identify data 

gaps, problem areas, and data conflicts. 

As the assessment is conducted, the inspector should keep the pollution prevention principles 

in mind: 

•	 Multimedia focus looking at all environmental media as a unified whole to avoid transfers 

from one medium to another 

14-7

Chapter Fourteen Pollution Prevention 

•	 Comprehensive evaluation of the total environmental impacts over the life cycle of the 

product, from raw materials through manufacturing (including energy use) to use and 

ultimate disposal. 

Preparation 

The inspector should prepare for the assessment by examining information about the 

processes, operations, and waste management practices at the facility. Any background 

material should be reviewed in the facility's file. If the inspection is planned to focus on pollution 

prevention assessment, the inspector should contact the facility to inform plant officials of this 

objective. During this initial contact, the inspector should ask for information that will help 

identify potential pollution prevention options. Table 14-1 provides a list of useful information 

for this assessment. 

As the inspector reviews facility information, he or she should develop a list of questions 

specific to the facility. The inspector should be seeking, through the facility-specific questions, 

information to answer the following general questions: 

•	 What significant wastestreams are generated by the plant? How much waste is 

generated? 

• Why are these considered "waste"? 

• From which processes or operations do these wastestreams originate? 

• What is the production rate of each wastestream? 

• Which wastes are hazardous and which are not? What makes them hazardous? 

• How are the wastes managed at present? 

•	 What are the input materials used that generate the wastestreams of a particular 

process or plant area? 

• How efficient is the process? How much input material is: 

- Used in a process?


- Released to water or air, or disposed of on land?


- Destroyed or unaccounted for?


• What types of process controls are used to improve process efficiency? 

•	 Are unnecessary wastes generated by mixing otherwise recyclable or recoverable 

hazardous wastes with other process wastes? 

14-8

Chapter Fourteen Pollution Prevention 

•	 What types of housekeeping practices are used to limit the quantity of wastes 

generated? 

• Has the plant developed a Pollution Prevention Plan or strategy? 

There are numerous documents that identify pollution prevention techniques for specific types 

of industry, such as the metal finishing industry, the fabricated metal products industry, and the 

pharmaceutical industry. These documents and other pollution prevention information can be 

obtained from: 

• Pollution Prevention Information Clearinghouse (PPIC) 

- Guidance and information on Pollution Prevention Opportunities, (202) 566-0799, 

(202) 566-0794 (fax) 

• Technology Transfer and Support Division [formerly Center for Environmental Research 

Information (CERI)] 

- Guidance and Information on Environmental Protection Programs, Publications Unit, 

U.S. EPA, 26 West Martin Luther King Drive, Cincinnati, OH 45268, (513) 569-7578, 

(513) 569-7585 (fax) 

Interview 

Just as with a routine NPDES compliance inspection, plant personnel should be interviewed 

when the inspector first arrives at the facility. The inspector should target personnel from the 

following areas: 

• Management 

• Environmental waste management 

• Process engineering 

• Facility maintenance 

• Operation and production 

• Safety and health 

• Research and development 

• Quality control 

• Purchasing/inventory 

• Shipping/receiving 

• Storage. 

From the interviews, the inspector should develop (or verify) a list of all waste minimization 

practices already in place. The inspector should also ask plant personnel for the plant's 

Pollution Prevention Plan or strategy and any suggested pollution prevention opportunities in 

the operations and processes and discuss with the plant personnel any pollution prevention 

opportunities that were identified during preparations for the site visit or during the onsite 

interviews. 

14-9

Chapter Fourteen Pollution Prevention 

Facility Site Visit 

Again, as with a routine compliance inspection, the inspector should conduct a tour of the 

facility with plant personnel after the interview. The same areas of the manufacturing facility, 

materials and waste storage, loading and unloading, and treatment system should be reviewed. 

At each process area, the plant personnel most knowledgeable about the activity should 

describe the process or should answer any questions the inspector may have. 

The inspector should make personal observations, seek confirmation of the interpretation of an 

activity that is occurring, and investigate any information plant personnel provide that appears 

to contradict what is being observed. The inspector should focus on: 

• Loading and unloading operations 

• In-plant transfers (raw materials handling) 

• Process operations 

• Housekeeping practices 

• Maintenance activities 

• Waste management operations. 

The inspector should also check for signs of spills or leaks and assess overall cleanliness of the 

site. Throughout all the areas visited, the following wastestreams should be evaluated: 

• Wastewater 

• Air emissions, including stack and fugitive emissions (e.g., detectable odors and fumes) 

• Hazardous wastes 

• Nonhazardous solid wastes. 

Each wastestream should be reviewed to: 

• Determine whether the wastes are hazardous or nonhazardous 

• Determine other physical and chemical characteristics of wastes and emissions 

• Determine actual points of generation 

• Determine quantities including variations 

• Identify all handling, treatment, and storage procedures onsite. 

Based on activities described above during a facility tour, the inspector should look for pollution 

prevention opportunities in the following general areas: 

• Substituting less hazardous materials such as: 

- Using latex or water-based paints, rather than oil-based


- Eliminating organic solvent cleaners and replacing with aqueous cleaners.


• Limiting the amount of hazardous materials disposed of by: 

- Buying only the amount of material the facility needs 

- Using all materials before their expiration date 

- Using only the amount of material needed 

14-10

Chapter Fourteen Pollution Prevention 

- Sharing materials or donating extra materials to community organizations. 

• Using and storing products carefully to prevent: 

- Accidents and spills


- Mixtures of incompatible materials that can react, ignite, or explode.


• Recycling wastes, such as: 

- Used oil


- Plastics, glass, paper, and metals


- Spent solvents.


• Generating less pollution by: 

- Automating and improving process controls to optimize production operations


- Allowing products to fully drain process chemicals before rinsing


- Using less toxic materials (e.g., printing inks, dyes)


- Adjusting production schedules to minimize cleanup operations


- Sealing floor drains (permanently or temporarily) to prevent spills


- Segregating wastes to support recycling (e.g., scrap metals, solvents).


• Turning waste products into new materials by: 

- Treating and recycling rinse waters


- Recovering metals such as silver from waste materials


- Recycling waste lubricants and coolants.


• Using fewer resources by: 

- Installing flow restrictors on rinse waters


- Installing high efficiency boilers and furnaces


- Using heat exchangers to heat process water supplies.


• Educating employees on the: 

- Goals of pollution prevention and waste management


- Procedures to follow for waste disposal and pollution prevention


- Accomplishments for the pollution prevention program being implemented.


Before leaving the facility, the inspector should meet with plant personnel. A list of pollution 

prevention options identified during the site visit should be prepared and discussed with plant 

personnel. Inspectors can discuss a pollution prevention technology or refer the facility 

representatives to EPA or State pollution prevention technical assistance offices. However, the 

inspector should not recommend specific measures to implement. Nor should the inspector 

suggest particular products or imply that a certain pollution prevention measure will enable the 

facility to achieve compliance. 

14-11

Chapter Fourteen Pollution Prevention 

Figure 14-3 


Pollution Prevention Opportunity Assessment


14-12

Chapter Fourteen Pollution Prevention 

Table 14-1 

Useful Facility Information to Conduct a 

Pollution Prevention Opportunity Assessment 

Raw Materials Information 

• Product composition 

• Material Safety Data Sheets 

• Product and raw material inventory and purchasing records 

• Operator data logs 

• Production schedules and records 

Manufacturing Process Information 

• Process flow diagrams 

• Material and heat balances for production 

• Manufacturing and pollution control processes 

• Operating manuals and process descriptions 

• Water usage rates 

• Equipment and equipment specifications 

• Piping and instrument diagrams 

• Sewer layout diagrams 

• Facility layout and elevation plans 

• Equipment layouts and work flow diagrams 

Waste Generation and Disposal Information 

•	 Environmental permits—air emissions, solid waste, hazardous waste, NPDES, 

pretreatment 

• RCRA information—manifests, annual reports 

•	 Location of all wastewater, solid and hazardous waste collection, treatment, and storage 

points 

• Diagram of air, wastewater, and/or hazardous waste treatment units 

• Operating manuals for treatment units 

• Emissions inventories [air, NPDES Discharge Monitoring Reports (DMRs), etc.] 

• SARA Title III—Section 313 release reports 

• Previous regulatory violations 

14-13

Chapter Fourteen Pollution Prevention 

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14-14

14. C. Pollution Prevention Opportunity 

Assessment Procedures For 

Municipal Wastewater Treatment 

Plants 

The Municipal Water Pollution Prevention (MWPP) program promotes the application of 

pollution prevention concepts of the Pollution Prevention Act to Publicly Owned Treatment 

Works (POTWs). Pollution prevention can reduce the need for substantial capital investment in 

new infrastructure, enhance worker safety, improve the usability of sludge, and reduce 

operation and maintenance costs. Practices that stress a preventive approach to water 

pollution abatement include the following: 

•	 Mechanisms for routine assessments of the compliance status of POTWs. This 

mechanism should include an early warning system based on periodic self-audits and 

quantitative techniques for assessing the condition of municipal wastewater treatment 

systems. 

• Reporting processes on the capability of POTWs to sustain compliance. 

•	 Processes for identifying, implementing, and tracking corrective actions to prevent

pollution and maintain compliance. 

• Program that will encourage POTWs to develop pollution prevention projects. 

Pollution prevention practices POTWs can adopt could focus in the areas of: 

• Improved operation and maintenance 

• Projects that reduce wastewater flows and pollutant loadings 

• Energy and water conservation 

•	 Timely planning and financing for future needs and economic growth prior to occurrence

of wastewater permit violations 

•	 Toxicity reductions at the source (industrial pretreatment, commercial and residential 

source reduction programs) 

• Recycling 

• Proper treatment of wastes 

• Beneficial uses of sludge. 

Specific opportunities for optimizing each unit operation to maximize removal efficiency may 

include unit modifications to improve performance. For example: 

•	 Clarifiers — Baffle installations and weir modifications to improve hydraulics and limit 

short circuiting. 

14-15

Chapter Fourteen Pollution Prevention 

•	 Aeration basins — Baffles to limit short circuiting. Fine bubble diffusers to improve 

aeration. Use of automatic controls to optimize aeration and limit over-aeration. 

• Aerobic digester — Recover energy from gas. Insulate digester. 

At any time, but especially during upgrading and expansion, the following pollution prevention 

projects could be considered: 

• Install high efficiency pumps, motors and drives. 

• Use biological- rather than chemical-based treatment. 

•	 Install equalization basins to improve efficient operation of downstream units and 

minimize the need for oversize units. 

• Design plant layout to minimize the need for intermediate pumping. 

• Consider ultraviolet or ozone disinfection instead of chlorine. 

• Digest residuals rather than heat or chemical treat. 

•	 Select dewatering equipment not only to maximize solids but to minimize the need for 

chemical feeds that increase the volume of residuals. 

•	 Evaluate toxicity of all lubricants, solvents, or cleaners, and replace them with less toxic 

alternatives such as citrus-based cleaners wherever possible. 

• Reduce infiltration/inflow, which will result in several benefits: 

– Reduces plant expansion needs 

– Improves performance efficiency 

–	 Reduces grit (which increases equipment wear and breakage and is a disposal 

problem). 

The Industrial Pretreatment Program is one of the best opportunities to achieve pollution 

prevention. It represents source control. Pollution prevention programs or projects aimed at 

residential and commercial users can also reduce loadings. Such pollution prevention 

programs could: 

• Encourage water conservation 

•	 Provide information on compatible or biodegradable cleaners to replace more toxic 

cleaners (for example, identify an alternative to chlorine-based "hang-in" type toilet bowl 

cleaners) 

• Encourage composting instead of garbage grinders 

14-16

Chapter Fourteen Pollution Prevention 

•	 Enforce a commercial oil and grease ordinance requiring installation, operation, and 

maintenance of grease traps and recovery and recycle of oil and grease 

• Discourage oil and grease dumping 

• Prohibit disposable diaper flushing. 

The POTW could also work with water utilities or agencies involved in establishing plumbing 

codes to reduce the metals (zinc, copper, and lead) found in drinking water supplies. These 

metals may be present because the water is corrosive to the pipes and leaches the metals from 

copper tubing, zinc-coated iron and steel pipes, and lead solder. The water utility may also be 

using water conditioning chemicals that contain metal salts. 

The protocols for conducting a pollution prevention assessment at municipal wastewater 

treatment plants are similar to those for an industrial facility. The protocols of a Compliance 

Evaluation Inspection (CEI) are also appropriate, except that the focus during the interview, file 

review, and site visit is on identifying pollution prevention opportunities. 

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Chapter Fourteen Pollution Prevention 

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14-18

14. D. References and Checklist 

References 

U.S. Environmental Protection Agency. July 1988. Waste Minimization Opportunity 

Assessment Manual. EPA/625/7-88/003. 

U.S. Environmental Protection Agency. Facility Pollution Prevention Guide. EPA/600/R92/088. 

University of Tennessee. Waste Reduction Assessment and Technology Transfer (WRATT) 

Training Manual, 2nd Edition. 

Municipal Water Pollution Prevention Program. March 1991. 21W-7002. 

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Chapter Fourteen Pollution Prevention 

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14-20

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR INDUSTRY 

A. GENERAL 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Is there a written facility policy regarding pollution prevention? 

2. Is there a pollution prevention program currently in place? 

3. Is there a specific person assigned to oversee the success of the 

program? 

Yes No N/A 4. 	 Are there management/employee initiatives and incentive programs 

related to pollution prevention? 

Yes No N/A	 Quality circles (free forums between employees and supervisors) to 

identify pollution prevention options? 

Yes 

Yes 

No N/A 

No N/A 

Opportunities for employee suggestions on pollution prevention 

options? 

5. Has the facility previously conducted a pollution prevention 

assessment? 

Yes No N/A 6. 	 Has the facility used better cost accounting and cost allocation to 

provide incentives to reduce wastes or resource consumption? 

Yes No N/A	 Is cost accounting performed accurately for all process areas and 

wastestreams? 

Yes No N/A Are utility costs (energy, water) and waste treatment and disposal 

costs allocated to the operations that generate the waste? 

B. STORAGE AREAS 

Yes No N/A


Yes No N/A


Yes No N/A


Yes 

Yes 

No N/A 

No N/A 

Yes	 No N/A 

Yes No N/A

Yes No N/A 

Yes	 No N/A 

No N/A 

1. Are there designated material storage areas? 

2. Are storage areas clean and organized? 

3. Are containers stored in such a way as to allow for visual inspection for 

corrosion and/or leaks? 

4. Are containers stacked in a way to minimize the chance of tipping, 

puncturing, or breaking? 

5. Are there adequate distances from incompatible chemicals and 

different types of chemicals to prevent cross-contamination? 

6. Is one person responsible for maintaining storage areas? 

7. Does the layout of the facility result in minimizing traffic through 

material storage areas? 

8. Are stored items protected from damage, contamination, and exposure 

to weather? 

9. Are all storage tanks routinely monitored for leaks? 

10. Is containment, such as a curb or dike, installed in storage areas to 

contain leakage and to minimize the area contaminated by a spill? 

Yes 

14-21

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR INDUSTRY 

(Continued) 

B. STORAGE AREAS (Continued) 

Yes No N/A 11. Are leak detection systems installed for underground storage tanks?


Yes No N/A


Yes No N/A


Yes No N/A


12. Are floating-roof tanks used f or VOC control? 

13. Are conservation vents used on fixed roof tanks? 

14. Does the facility use vapor recovery systems? 

C. MATERIALS INVENTORY 

Yes No N/A 

Yes	 No N/A 

Yes No N/A

Yes No N/A 

1. Is there an inventory control system designed to prevent materials

from deteriorating in storage (first in, first out to prevent expiration)? 

2. Is obsolete raw material returned to the supplier? 

3. Does the facility try to order smaller containers of infrequently used

materials to avoid disposing of large quantities of unused obsolete 

materials? 

4. Has the facility tried to order larger containers of frequently used 

materials to reduce the number of small containers that must be 

cleaned and disposed of? 

5. Does the facility use or maintain: 

Yes No N/A Hazardous chemicals inventory lists? 

Yes No N/A Material safety data sheet files? 

6.	 Are all in-plant containers of hazardous chemicals labeled, tagged, or

marked with: 

Yes No N/A Identity of the hazardous chemical(s)? 

Yes No N/A 

Yes No N/A 

Appropriate hazard warnings? 

7. Has the facility reexamined its need for each raw material? 

Yes No N/A 8. Does the facility have a way to use off-spec material, where possible? 

D. MATERIAL HANDLING 

Yes No N/A 1. Are raw materials tested for quality before being accepted from 

suppliers? 

Yes	 No N/A 2. Does the facility follow proper procedures when transferring materials? 

Yes No N/A

Yes No N/A 

Yes No N/A 

3. Are expired materials tested for effectiveness before being disposed

of? 

4. Are drums, packages, and containers inspected for damage before

being accepted? 

5. Are containers properly resealed after use? 

14-22

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR INDUSTRY 

(Continued) 

D. MATERIAL HANDLING (Continued) 

Yes No N/A Are containers emptied thoroughly before cleaning or disposal? 

7. Does the facility segregate its wastes as much as possible? 

Yes No N/A Solid wastes from aqueous wastes? 

Yes No N/A Nonhazardous from hazardous? 

Yes No N/A Segregated according to type of contaminant? 

Yes No N/A Different types of solid waste to improve recycling/reuse? 

Yes No N/A Different types of solvents, cleaner wastes, and lubricants (e.g.,

organic solvents from mineral oils)? 

E. PROCESS OPERATIONS 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

1. Are water conservation measures, recycling, and reuse techniques

practiced in processes that use water or generate a wastewater (e.g.,

cleaning and rinsing operations)? 

2. Has material substitution been tried for any hazardous materials used 

in process? 

3. Have any techniques been used to increase the life of any process

baths? 

Yes No N/A 4. Are any wastes being recycled, reused, or recovered in some manner? 

Yes 

Yes 

No N/A 5.	 Have any equipment or process modifications been made to increase 

material use efficiency and thus reduce material waste generation? 

No N/A 6. Do processes employ any detectors to alert personnel of malfunctions 

that could produce/generate excessive wastes? 

F. SPILLS AND LEAKS 

Yes 

Yes 

No N/A 

No N/A 

1. When a spill occurs, what cleanup methods are employed? 

2. Would different cleaning methods allow for direct reuse or recycling of

the water? 

3. Are there preventive maintenance procedures designed to reduce

incidents of equipment breakdowns, inefficiency, spills, or leaks? 

G. MATERIAL SUBSTITUTION 

Yes No N/A 1. 	 Could the facility modify or completely change a given process to use

water-based coolants and fluids instead of oil-based fluids? 

6. 

14-23

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR INDUSTRY 

(Continued) 

H. SOLVENT USE


Yes No N/A A dry process (e.g., bead or sand blasting or other abrasives)?


Yes No N/A Steam cleaning?


Yes No N/A Cryogenic?


Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Caustic cleaning? 

2. Are non-chlorinated solvents substituted for chlorinated solvents? 

3. Are parts wiped to remove oil and dirt prior to solvent cleaning? 

4. Is the loss of cleaning ability of the solvent monitored before the 

solvent is replaced? 

5. Are chemicals reused or recycled? 

6. Is an onsite distillation unit for solvent recovery and reuse installed? 

7. Is solvent use standardized? 

I. RINSE WATERS 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Have excessive rinses been evaluated and eliminated? 

2. Is rinse water reclaimed, pretreated, and reused? 

3. Are water softeners used only where necessary? 

J. TRAINING 

Yes No N/A 

Yes No N/A 

1. Are there formal personnel training programs on raw material handling,

spill prevention, proper storage techniques, and waste handling

procedures? 

2. Are employees trained in pollution prevention techniques? 

3. How often is training given and by whom? 

K. GOOD OPERATING PRACTICES 

Yes No N/A


Yes No N/A


Yes No N/A


Yes No N/A 

1. Are plant mater ial balances perf ormed routinely? 

2. Are they performed separately for each material of concern? 

3. Are records kept for each waste, documenting sources of origin and

eventual disposal? 

4. Are operators provided with detailed operating manuals or instruction 

sets? 

No N/A 5. Are all operator job functions well defined? 

1. Can solvent cleaning be replaced with less toxic cleaning, such as: 

Yes 

14-24

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR INDUSTRY 

(Continued) 

K. GOOD OPERATING PRACTICES (Continued) 

Yes No N/A 6. Are regularly scheduled training programs offered to operators? 

7. 	 Has the facility integrated pollution prevention into supervision and 

management by: 

Yes No N/A	 Closer supervision to improve production efficiency and reduce

inadvertent waste generation (increased opportunity for early detection

of mistakes)? 

Yes No N/A	 Management By Objectives (MBO) with defined and achievable goals

for waste minimization (better coordination among the various parts of

an overall operation)? 

Yes No N/A Scheduling production to minimize cleaning frequency?


8. Has the facility improved production scheduling and planning to

include: 

Yes No N/A Maximizing batch sizes?


Yes No N/A Dedicating equipment to a single product?


Yes No N/A Altering batch sequencing to minimize cleaning frequency?


Yes No N/A

Yes No N/A 

9. Is corrective maintenance practiced, such as resetting control valves or 

adjusting process temperatures, to increase efficiency and to prevent 

raw material loss through wastestreams? 

10. Does the facility forbid operators to bypass interlocks and alarms, or to 

significantly alter set points without authorization? 

Yes No N/A 11. Are overflow or malfunction alarms installed on tanks and equipment? 

L. HOUSEKEEPING PRACTICES 

1. Good housekeeping is the maintenance of a clean, orderly work 

environment. s the facility: Doe 

Yes No N/A Maintain neat and orderly storage of chemicals? 

Yes No N/A Promptly remove spillage? 

Yes No N/A	 Maintain dry and clean floors by use of brooms and/or vacuum

cleaners? 

Yes No N/A Provide proper walkways with no containers protruding into walkways? 

Yes No N/A	 Minimize the accumulation of liquid and solid chemicals on the ground

or floor? 

Yes No N/A Stimulate employee interest in good housekeeping? 

Checklist derived from Waste Reduction Assessment and Technology Transfer (WRATT) 

Training Manual, 2nd Edition, University of Tennessee 

14-25

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR


MUNICIPAL WASTEWATER TREATMENT PLANTS


A. AGE


Yes No N/A 

1. What year was the wastewater treatment plant constructed or the last 

major expansion to increase the capacity of the plant completed? 

2. What sewer system improvements does the municipality have under 

consideration for the next 10 years? 

3. What is the expected community and industrial growth? 

4. Is there any major development (industrial, commercial, or residential)

anticipated in the next 2 to 3 years, such that either the flow or 

pollutant loadings could significantly increase? 

B. TREATMENT EFFICIENCY 

1.	 Compare influent actual flow to influent design flow. When will actual 

hydraulic loading exceed design? 

Yes No N/A	 Has the plant initiated expansion plans and financing sufficiently in

advance to avoid overloading? 

Yes No N/A Has the pla nt investi gated measures for redu cing flo w? 

2.	 Compare conventional pollutant loadings (BOD, TSS, ammonia, 

phosphorus) to design loadings. When will actual loadings exceed

design? 

Yes No N/A	 Has the plant initiated expansion plans and financing sufficiently in

advance to avoid overloading? 

Yes No N/A Has the plant investigated measures for reducing loadings? 

3. 	 Review operating records. How many months were the effluent 

concentrations or loadings above 90 percent of the permit limits? 

Mo. BOD? 

Mo. COD? 

Mo. Fecal coliform? 

Mo.	 Other conventional pollutants limited by permit (ammonia,

phosphorus)? 

Mo. Metals or other toxics? 

4. How many times were permit limits violated (in the last year)? 

5. What types of violations have occurred in the last 5 years? 

Yes No N/A Are any of a recurrent nature? 

What were the causes? 

No N/A Have effective solutions been implemented to prevent future 

recurrence? 

Yes 

14-26

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR 

MUNICIPAL WASTEWATER TREATMENT PLANTS 

(Continued) 

B. (Continued) 

6. How many bypasses have occurred? 

TREATMENT EFFICIENCY 

What were the causes? 

Yes No N/A Have effective solutions been implemented to prevent future 

recurrence? 

7. 	 What are the future regulatory or permit requirements that may require

modifications to the plant or its operations? 

Yes No N/A	 Can the facility currently meet any future anticipated water quality

standards or effluent discharge limits? 

Yes 

Yes 

No N/A 

No N/A 

8. Has the plant invest igated ways to maxim ize operating ef ficiency? 

9. Has the plant investigated improvements to the chlorination system to

decrease chlorine usage? 

C. SLUDGE 

Yes No N/A 1. Does the plant have sufficient sludge treatment, storage, and disposal

capacity? 

Yes 

Yes 

2. What percentage of the methane gas is captured and used? 

No N/A 

No N/A 

Has the plant investigated ways to increase the amount of gas

captured and used? 

3. Has the plant investigated ways to decrease the amount of dewatering

chemicals used? 

D. COLLECTION SYSTEM 

1. How many overflows within the collection system have occurred? 

2. 	 How many backups at any point in the collection system have occurred 

for any reason? 

What were the causes? 

Yes No N/A 

Yes No N/A 

Have effective solutions been implemented to prevent future 

recurrence? 

3. Has the pla nt investi gated ways to decrea se infilt ration/ inflow? 

E. PREVENTIVE MAINTENANCE PROGRAM 

Yes 

Yes 

No N/A 

No N/A 

1. Does the plant have a written preventive maintenance program on

major equipment items and the sewer collection system? 

2. Does the preventive maintenance program depict frequency of 

intervals, types of lubrication, types of repair a nd other prevent ive 

maintenance tasks necessary for each piece of equipment or each

section of the sewer? 

14-27

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR 

MUNICIPAL WASTEWATER TREATMENT PLANTS 

(Continued) 

E. PREVENTIVE MAINTENANCE PROGRAM (Continued) 

Yes No N/A 3. 	 Are these preventive maintenance tasks, as well as equipment and

sewer collection problems being recorded, filed, and reviewed so 

future maintenance problems can be assessed properly? 

F. MATERIALS USAGE 

Yes 

Yes 

No N/A 

No N/A 

Yes	 No N/A 

No N/A 

1. Has the plant identified all supplies used in the operation and

maintenance of the plant? 

2. Has the plant identified materials that could be substituted for less 

toxic materials? 

3. Does the plant reuse or recycle any materials used? 

4. Has the plant investigated ways to reduce chemical usage without

compromising preventive maintenance or treatment? 

Yes 

G. PERSONNEL RESOURCES 

1. Review personnel resources, training, and certifications. 

Are there sufficient numbers? 

Do all have appropriate certifications and periodic training? 

Do all personnel certifications meet or exceed required levels? 

How many are below the required level? 

Is staffing level equal to or does it exceed O&M Manual 

recommendations? 

Yes 

Yes No N/A 

Yes No N/A 

Yes No N/A 

No N/A 

2 What percentage of the wastewater budget is dedicated for training? 

H. FINANCIAL 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

Yes No N/A 

1. Are the funds for the plant separate from other municipal funds? 

2. Are funds sufficient for adequate operations? 

3. Are funds sufficient for adequate preventive maintenance? 

4. Are funds available for necessary improvements, expansion? 

5. Is there a capital improvement fund? 

6. Is the equipment replacement fund in a segregated account? 

7. What financial resources are available to pay for

improvements/expansion/ reconstruction? 

14-28

Chapter Fourteen Pollution Prevention 

POLLUTION PREVENTION CHECKLIST FOR 

MUNICIPAL WASTEWATER TREATMENT PLANTS 

(Continued) 

I. MUNICIPAL POLLUTION PREVENTION PROJECTS 

Yes 

Yes 

Yes 

No N/A 

No N/A 

No N/A 

1. Does the plant have a pollution prevention program or strategy? 

2. Has the plant conducted a self-audit on the adequacy of its

maintenance, operation, funding, and operator training? 

3. Does the pretreatment program include a pollution prevention 

component or specific pollution prevention projects? 

4. 	 Does the municipality have any pollution prevention projects aimed at 

reducing toxic/hazardous waste discharges, conventional loadings, or

flow (e.g., water conservation) from: 

Yes No N/A Households? 

Yes No N/A Commercial businesses? 

Yes No N/A Industries? 

14-29

Chapter Fourteen Pollution Prevention 

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14-30

15. MULTIMEDIA CONCERNS 

Contents Page 

A. Introduction ......................................................... 15-1


B. Overview of the Multimedia Approach to Inspections .......................... 15-3


C.	 Multimedia Concerns at NPDES Facilities and the Multimedia Screening Program ... 15-5


RCRA ......................................................... 15-5


RCRA/CERCLA ................................................. 15-6


Nonhazardous Sludge ............................................ 15-6


Air ............................................................ 15-6


Multimedia Screening ............................................. 15-7


D. NPDES Inspectors and Multimedia Inspections .............................. 15-9


Description of a Multimedia Inspection ................................ 15-9


The NPDES Inspector's Role in a Multimedia Inspection .................. 15-9


E. References and Worksheet ............................................ 15-13


References .................................................... 15-13


Associated Appendices 

Y. Media-Specific Inspection Components


Z. National Multimedia Screening Inspection Worksheet


15-i 
Chapter Fifteen Multimedia Concerns 

This page intentionally left blank. 

15-ii 
15. A. Introduction 

This chapter is intended as a guide for National Pollutant Discharge Elimination System 

(NPDES) inspectors who become involved in multimedia environmental compliance inspections. 

Multimedia compliance investigations are intended to determine a facility's status of compliance 

with applicable laws, regulations, and permits in more than one media. 

This chapter and the Media and Specific Inspection Components contained in Appendix Y 

include a significant amount of material drawn directly from the National Enforcement 

Investigations Center's (NEIC's) Multimedia Investigation Manual revised March 1992 and 

Process-Based Inspections Guide, March 1997. NPDES inspectors participating in multimedia 

inspections are referred to these documents for further guidance. 

Additional training specific to the conduct of Multimedia Inspections is also available, and is 

recommended to anyone conducting or participating in multimedia inspections. 

15-1

Chapter Fifteen Multimedia Concerns 

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15-2

15. B. Overview of the Multimedia 

Approach to Inspections 

Most inspections can generally be grouped into four categories of increasing complexity, 

moving from Category A (program-specific compliance inspections) to Category D, (complex 

multimedia investigations), depending upon the complexity of the facility and the objectives of 

the investigation. The four general categories of investigations are described below: 

Category A:	 Program-specific compliance inspections (e.g., compliance with NPDES permit 

requirements), conducted by one or more inspectors. The objective is to 

determine facility compliance status for program-specific regulations. 

Category B:	 Program-specific compliance inspections, which are conducted by one or more 

inspectors. The inspector(s) screen for and report on obvious key indicators of 

possible noncompliance in other environmental program areas. 

Category C:	 Several concurrent and coordinated program-specific compliance investigations 

conducted by a team of investigators representing two or more environmental 

and/or statutory program offices. The team, which is headed by a team leader, 

conducts a detailed compliance evaluation for each of the target programs. The 

objective is to determine compliance for several targeted program-specific areas. 

Reports on obvious, key indicators of possible noncompliance in other 

environmental program areas are also made. 

Category D:	 Comprehensive facility multimedia evaluations not only address compliance in 

targeted program-specific regulations, but also try to identify environmental 

problems that might otherwise be overlooked. The initial focus is normally on 

facility processes to identify potentially regulated activities ( from raw material 

management through final manufacturing and processing) and byproducts/wastestreams generated, especially those that may not have been 

accurately reported to the regulators. When potentially regulated activities or 

wastestreams are identified, a compliance evaluation is made with respect to 

applicable requirements and subsequent compliance status. Special attention is 

often given to pollutants that “change media” (such as air pollutants that are 

scrubbed into wastewaters). 

The investigation team, headed by a team leader, comprises staff thoroughly 

trained in different program areas. The onsite investigation is conducted during 

one or more site visits and involve intense concurrent program-specific 

compliance evaluations, often by the same cross-trained personnel. 

Category D multimedia investigations are thorough and, consequently, resource 

intensive. They are appropriate for intermediate to large, complex facilities that 

are subject to a variety of environmental laws. Compliance determinations are 

made for several targeted program-specific areas, and reports on possible 

noncompliance are prepared. 

15-3

Chapter Fifteen Multimedia Concerns 

Generally, all investigations will include pre-inspection planning, use of a project plan, sampling, 

inspection procedures, and a final report. The major difference will be in the number of 

different regulations addressed during Categories C and D investigations. 

The multimedia approach to investigations has several advantages over program-specific 

inspections, including: 

• A more comprehensive assessment of a facility's compliance status 

• Improved enforcement support and better potential for enforcement 

•	 A higher probability to uncover/prevent problems before they occur or before they 

manifest an environmental or public health risk 

•	 Ability to respond more effectively to non-program-specific complaints, issues, or needs 

and to develop a better understanding of cross-media problems and issues, such as 

waste minimization 

•	 When conducted correctly, the multimedia approach to investigations can be less 

resource intensive and yield more thorough results than numerous single media 

investigations. 

•	 A higher probability of identifying cross-media issues, such as pollutants that can be 

“lost” as they change media. 

•	 The opportunity to identify weaknesses in a facility’s Environmental Management 

Systems 

• High visibility and possibly enhance deterrent effect on facility Corporate management 

The success of a multimedia investigation program is contingent upon a good managerial 

system and the support of upper management. Since these investigations will often be 

conducted at larger facilities, adequate resources (time and personnel) must be provided. 

Good communications during the planning phase are essential to define the scope of the 

inspection, as well as each team member's role. Communications could also include State 

officials since State inspectors might also participate as team members. Because of the extent 

of the State's knowledge of the facility and its problems, State involvement is often critical to the 

success of the investigation. Similarly, coordination with other Federal or local agencies needs 

to be addressed, as necessary. 

15-4

15. C. Multimedia Concerns at NPDES 

Facilities and the Multimedia 

Screening Program 

RCRA


Many NPDES-regulated facilities are also subject to requirements of the Resource 

Conservation and Recovery Act (RCRA). RCRA regulates the generation, transportation, 

treatment, storage, and disposal of hazardous wastes. However, RCRA defers the control of 

hazardous wastes to the Clean Water Act (CWA) when those wastes are either directly 

discharged to surface waters under an NPDES permit (the direct discharge exclusion) or 

indirectly discharged to a wastewater treatment plant (the domestic sewage exclusion). 

The costs of hazardous waste management using "traditional" storage, treatment, and disposal 

methods are rising significantly as facilities comply with the 1984 RCRA Amendments. 

Consequently, industrial facilities may use the two previously mentioned exclusions as preferred 

disposal methods. Since many of the 126 priority pollutants listed in the CWA would be 

considered hazardous waste constituents under RCRA, the discharge of these pollutants 

should concern the inspectors and operators of wastewater treatment plants. Hazardous 

wastes discharged to wastewater treatment plants pass through to surface waters unless 

incidentally removed in sludge, degraded, or "lost" through volatilization or exfiltration during the 

wastewater treatment process. Additionally, the RCRA waste may inhibit or reduce the 

effectiveness of the wastewater treatment processes potentially resulting in lower quality 

effluent discharges. Sludges resulting from the treatment of a hazardous waste may become a 

regulated waste under RCRA. 

Special attention should be applied to situations where RCRA regulated hazardous wastes may 

be introduced into wastewater treatment facilities with surface impoundments with potential 

regulatory and groundwater contamination issues. 

NPDES permit writers and inspectors may learn whether the facility conducts RCRA regulated 

activities, and the nature of those activities, from State and/or Environmental Protection Agency 

(EPA) RCRA authorities, databases such as EnvironFacts (public) or OTIS (EPA only) or while 

discussing facility industrial processes during the initial stages of a comprehensive compliance 

investigation. Industrial facilities can use and/or generate hazardous waste. The hazardous 

wastes may be in the liquid, gas, or solid form. These wastes may be generated from raw 

materials, off-specification products, or residuals or emissions from the process operations. In 

addition, waste oils used by process equipment, solvents used in cleaning operations, or 

sludges from treatment of process wastewaters can be hazardous wastes. 

Publicly Owned Treatment Works (POTWs) receiving hazardous wastes by truck, rail, or 

dedicated pipeline are subject to RCRA permit by rule requirements. Included among these 

requirements is the provision that corrective action must be taken to remedy any contamination 

that may have resulted from a release of hazardous waste or hazardous constituents from solid 

waste management units, such as surface impoundments, to the environment. For example, if 

a POTW that is subject to these RCRA requirements contaminates groundwater through 

15-5

Chapter Fifteen Multimedia Concerns 

leaching or exfiltration, the permittee might be required to investigate the nature and extent of 

those releases and, where appropriate, implement corrective measures. Guidance on the 

nature of these requirements, and how they might affect POTWs, is now being developed. 

RCRA/CERCLA 

Another source of contaminated wastewaters is hazardous waste cleanup actions. Under 

RCRA and the Comprehensive Environmental Response, Compensation, and Liability Act 

(CERCLA), EPA, States, and private parties are initiating cleanups of contaminated sites. 

Much of the waste found at these sites is in liquid form, either as leachate or contaminated 

groundwater. The treatment, and consequent discharge, of contaminated wastewaters from 

these sources are expected to increase in the future. These wastes will likely be complex 

mixtures, requiring careful examination of their composition to determine appropriate treatment 

techniques. 

Nonhazardous Sludge 

It has long been known that wastewater treatment results in the transfer of residuals from 

wastewater effluents to sludges. Several statutes and regulations, including the CWA, are 

charged with management of these nonhazardous sludges. NPDES and State permits include 

disposal limitations for municipal sewage sludge as specified in 40 CFR Part 503. Many States 

already impose such requirements. NPDES inspectors will need to become more familiar with 

the relationship between State sewage sludge requirements and Federal sewage sludge 

management and disposal requirements under the CWA and those imposed by other statutes 

and regulations, particularly RCRA and the Clean Air Act (CAA). Municipal sewage sludge that 

is co-incinerated with other wastes is regulated by the CAA. Municipal sewage sludge that is 

co-disposed with other waste in a municipal solid waste landfill is regulated by 40 CFR Part 

258. Industrial sludges are regulated by 40 CFR Part 257 if land applied and by 40 CFR Part 

258 if disposed of in a nonhazardous landfill. (See Chapter Ten for detailed information on the 

40 CFR Part 503 requirements.) 

Air 

Air emissions from wastewater treatment units are under increased scrutiny. For many 

chemical industries (SOCMI facilities, Polymer Facilities, Petroleum Refineries, Vinyl Chloride 

Plants, etc), EPA has developed CAA regulations that limit the amount of volatile hazardous air 

pollutants that can be contained in process wastewaters. The purpose of these regulations are 

to minimize the amount of pollutants transferred from wastewater to the atmosphere. In 

general, facilities are required to treat wastewater streams that contain volatile hazardous air 

pollutants before than can be exposed to the atmosphere. It is important to be aware of what 

chemical constituents are in the wastewater and what impact this may have on a facilities 

compliance with CAA regulations. In another development, the 1984 RCRA amendments 

provide for the control of air emissions from authorized RCRA Treatment, Storage, and 

Disposal Facilities (TSDFs). As a result, wastewater treatment facilities at RCRA TSDFs are 

now being investigated by RCRA program personnel. It should be noted that remedial actions 

15-6

Chapter Fifteen Multimedia Concerns 

may be required at some of these facilities and the regulatory issue of emissions from 

wastewater treatment facilities needs to be addressed. 

Additionally, it is important to investigate facility activities, such as the use of air pollution control 

devices or other waste management activities, that remove pollutants from one media (such as 

air) but generate a wastewater stream. These wastewaters may not have been accurately 

reported in CWA permit applications and may not be properly managed. 

Multimedia Screening 

Regions and States are encouraged to incorporate multimedia screening into as many single 

medium inspections as possible (i.e., conduct Category B inspections in lieu of Category A 

inspections). Obtaining multimedia screening information earlier in the process will help target 

inspection resources and ensure that all noncompliance issues are included in any facilityspecific enforcement strategy. The compliance inspector will use a multimedia screening 

checklist as a guide for making and recording observations and pertinent information. 

The Environmental Services Division Field Branch Chiefs and NEIC have led the development 

and implementation of EPA's multimedia inspection program, including screening inspections. 

The National Multimedia Screening Inspection Worksheet, dated May 12, 1993, was developed 

as a general guideline by a Regional work group led by Region 3. A copy of this worksheet is 

included in Appendix Z. Regions and States have adapted and customized checklists such as 

this for their own use. 

15-7

Chapter Fifteen Multimedia Concerns 

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15-8

15. D. NPDES Inspectors and 

Multimedia Inspections 

Description of a Multimedia Inspection 

The strategy developed for multimedia inspections usually involves prioritizing the processes 

and waste management activities, followed by systematically moving from the beginning to the 

end of a process with emphasis on regulated wastestream generation to final wastestream 

management. The strategy should be somewhat flexible so that "mid-course corrections" can 

be made. 

The compliance evaluations for each media should be coordinated among all of the 

investigators and scheduled to make most effective use of the inspectors on-site time and 

facility contact resources. This schedule should loosely identify time for each media investigator 

to; review documents, interview facility personnel, conduct on-stie observations, and conduct 

sampling as appropriate. This schedule must be “organic” and modified throughout the on-site 

investigation to effectively use the limited available time. Daily meetings between team 

members to discuss progress and needs are recommended to help modify this schedule to 

meet the team and the facility personnel needs. Personnel training and availability and other 

logistical factors may result in a combining of compliance evaluations. 

The strategy for process and compliance evaluations should be developed by the inspection 

team coordinator and discussed with inspection team members. This will serve as the basis for 

explaining inspection activities and scheduling to the company during the opening conference. 

The strategy could include checklists that address potential process wastestreams to be 

examined and media-specific compliance issues. Checklists can be a vital component of a 

compliance investigation to help ensure that an investigator does not overlook anything 

important. Checklists serve as a reminder of what needs to be asked or examined and to help 

an inspector remember the basic regulatory requirements. However, checklists should not be a 

replacement for curiosity and common sense. 

In larger facilities, multiple site visits coordinated by the team leader may be necessary and 

desirable for completing the inspection and following-up on issues identified during earlier site 

visits. This approach can lead to a better overall site compliance determination because of the 

opportunity to review information obtained in the office, then refine the inspection/strategy to "fill 

in the gaps" during a subsequent site visit. 

The NPDES Inspector's Role in a Multimedia Inspection 

Each multimedia investigation team member should bring special program expertise and 

experience and must be well trained in most facets of conducting a field investigation, including 

sampling. Most of the investigators on the team, including the team leader, should be current 

field investigators who already possess most of the necessary skills and qualifications. EPA 

Order 3500.1 sets forth specific training requirements for any EPA investigator who is leading a 

single media investigation. These training requirements include both general inspection 

15-9

Chapter Fifteen Multimedia Concerns 

procedures and media-specific procedures. While an individual leading a multimedia 

investigation may not have had the media-specific training for each media covered during that 

multimedia investigation, the team leader should have the media-specific training for at least 

two of the media. 

The team leader has overall responsibility for the successful completion of the multimedia 

investigation. In addition, other investigators may be designated as leads for each of the 

specific media/programs that will be addressed. These individuals may work alone or have one 

or more inspectors/samplers as assistants, depending on workload and objectives. However, 

all investigation team members should report directly to, and be accountable to, the team 

leader. 

The following are some of the more important skills and qualifications that are necessary for 

team members: 

• The ability to work effectively as a member of a diverse team 

•	 Knowledge of the Agency's policies and procedures regarding inspection authority, entry 

procedures/problems, enforcement actions, legal issues, and safety 

•	 Thorough understanding of sampling equipment; quality assurance (QA) requirements 

for sample collection, identification, and preservation; and chain-of-custody procedures 

•	 Knowledge of manufacturing/waste producing processes, pollution control technology, 

principles of waste management, flow measurement theory and procedures, and waste 

monitoring techniques/equipment 

•	 Investigatory skills including the ability to gather evidence through good interviewing 

techniques and astute observations 

•	 Ability to convey information gathered during the inspection into clear, understandable 

investigation reports. 

• Up-to-date experience in conducting compliance inspections 

• Good communication skills 

•	 Basic understanding of the procedures of obtaining administrative warrants, including 

preparation of affidavits, technical content of the warrant application, and warrant and 

procedures for serving a warrant 

•	 At least one team member should have considerable knowledge of laboratory 

(analytical) methods and Quality Assurance (QA) requirements, if a laboratory 

evaluation is to be conducted 

•	 For each of the areas addressed in the multimedia investigation, at least one team 

member should be trained. 

Investigators should conduct themselves in a professional manner and maintain credibility. A 

cooperative spirit should be cultivated within the inspection team and with facility 

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Chapter Fifteen Multimedia Concerns 

representatives, when possible. All investigators should maintain a sensitivity to multimedia 

issues and implications and freely and routinely discuss, with other members of the team, 

observations/findings relating to one or more programs. 

Investigators should restrict their onsite activities to the normal working hours of the facility, as 

much as possible. Investigators will need to keep abreast of specific program regulations and 

should also coordinate, as necessary, with other EPA and State inspectors and laboratory staff 

(if samples will be collected). The investigation team should implement appropriate field note 

taking methods and proper document control procedures, particularly when the company 

asserts a "confidential" claim. Investigators must ensure that important documents (e.g., 

project plan, safety plan, and log books) are not left unattended at the facility. Sensitive 

discussions do not take place in front of facility personnel or on company telephones. 

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15-12

15. E. References and Worksheet 

References 

National Enforcement Investigations Center (NEIC). March 1992. Multimedia Investigation 

Manual and March 1997 Process-Based Inspections Guide (EPA-330/9-97-001). 

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15-14

16. 	 CONCENTRATED ANIMAL 

FEEDING OPERATIONS 

Contents Page 

A. Objectives ........................................................... 16-1


Legal Authority for CAFO Inspections ................................ 16-1


Responsibilities of the CAFO Inspector ............................... 16-1


B. CAFO Regulation Overview ............................................. 16-3


Overview ...................................................... 16-3


Regulatory Background ........................................... 16-3


Animal Feeding Operation ........................................ . 16-3


Concentrated Animal Feeding Operation .............................. 16-3


Requirements for NPDES Permit for CAFOs .......................... 16-14


NPDES Permit Effluent Limitations and Standards for CAFOs ............ 16-16


Technical Standard for Nutrient Management ......................... 16-20


NPDES Permit for CAFOs: Special Conditions ........................ 16-20


NPDES Permit for CAFOs: Monitoring, Reporting, and Record-Keeping


Requirements ................................................. 16-24


C. 	 CAFO Inspection Overview ............................................. 16-27


Purpose of AFO/CAFO Inspections ................................. 16-27


EPA Authority for AFO/CAFO Inspections ........................... 16-27


Selection of Facilities for Inspection ................................. 16-28


General Process of an Inspection .................................. 16-29


CAFO Operational Overview ...................................... 16-32


CAFO Inspection Sampling Procedures ............................. 16-35


Safety Issues and Bio-security at CAFOs ............................ 16-36


D. Multimedia Concerns .................................................. 16-40


Multimedia Concerns ............................................ 16-40


Multimedia Inspections and Multimedia Screening ................... . . . 16-40


Multimedia Concerns at CAFOs .................................... 16-40


Other Regulatory Requirements ................................... 16-40


E. References ......................................................... 16-43


Tables 

16-1. Example Factors for Case-by-Case Designation ........................... 16-6


16-2. Thresholds for Cattle (Other than mature dairy cows) ....................... 16-7


16-3. Thresholds for Mature Dairy Cows ..................................... 16-8


16-4. Thresholds for Swine (55 pounds or more) ............................... 16-8


16-5. Thresholds for Swine (Less than 55 pounds) .............................. 16-9


16-6. Thresholds for Horses ............................................... 16-9


16-i 
16-7. Thresholds for Sheep or Lambs ...................................... 16-10


16-8. Thresholds for Turkey .............................................. 16-10


16-9. Thresholds for Chickens (Operations with a liquid manure handling system) .... 16-11


16-10. Thresholds for Laying Hens (Operations with other than a liquid manure


handling system) .................................................. 16-11


16-11. Thresholds for Chickens Other Than Laying Hens (Operations with other than a liquid


manure handling system) ........................................... 16-12


16-12. Thresholds for Ducks (Operations with a liquid manure handling system) ....... 16-13


16-13. Thresholds for Ducks (Operations with other than a liquid manure handling


system) ......................................................... 16-13


16-14. Elements of an NPDES Permit ....................................... 16-14


16-15. Effluent Limitations Summary ........................................ 16-17


16-16. NPDES CAFO Permit Minimum Practices ............................... 16-22


16-17. NPDES Large CAFO Permit Record-Keeping Requirements ................ 16-24


Associated Appendices 

AA. Bio-Security Guidance (Final)


BB. NPDES CAFO Permit and NMP Minimum Practices Review Checklist 


Related Web Sites 

Office of Wastewater Management (OWM) Homepage: http://www.epa.gov/owm 

National Agriculture Compliance Assistance Center: http://www.epa.gov/agriculture/ 

16-ii 
16. A. Objectives 

In addition to materials in this chapter, inspectors must be familiar with Chapter 1 -

"Introduction" & Chapter 2 - "Inspection Procedures". 

The purpose of this Concentrated Animal Feeding Operations (CAFOs) chapter is to provide an 

overview of the National Pollutant Discharge Elimination System (NPDES) CAFO regulations 

which include the effluent limitations guidelines (ELGs) and standards for CAFOs. The chapter 

is for use by state and regional inspectors. It is intended to be used together with the NPDES 

Permit Writers’ Guidance Manual and Example NPDES Permit for Concentrated Animal 

Feeding Operations (the Guidance), published in December 2003, which contains information 

specific to the inspection of CAFOs. The Guidance reflects the revisions to the ELGs and 

standards for CAFOs (68 Federal Register (FR) 7176: February 12, 2003) that became 

effective on April 14, 2003. It replaces the previous guidance on NPDES CAFO permits, Guide 

Manual on NPDES Regulations for Concentrated Animal Feeding Operations, issued in 1995. 

States have from 1 to 2 years to revise their programs to reflect the 2003 CAFO regulations. 

Under the new regulations, states that do not require a statutory change must revise their 

programs by February 12, 2004; states that require a statutory change have until February 13, 

2005. 

The remainder of the National Pollutant Discharge Elimination System (NPDES) Compliance 

Inspection Manual should be consulted for general information about NPDES inspections. 

Legal Authority for CAFO Inspections 

The Federal Water Pollution Control Act of 1972, as amended by the Clean Water Act (CWA) 

of 1977 and the Water Quality Control Act of 1987, gives EPA the authority to regulate the 

discharge of pollutants to waters of the United States. The CWA provides broadly defined 

authority to establish the NPDES Permit Program, define pollution control technologies, 

establish effluent limitations, obtain information through reporting and compliance inspections, 

and take enforcement actions (both civil and criminal) when violations of the act occur. 

Section 301(a) of the CWA establishes statutory requirements for the discharge of pollutants 

from point sources to waters of the United States. Under CWA Section 502(14) and its 

implementing regulations at 40 CFR Part 122, CAFOs are point source discharges and are 

therefore subject to the NPDES permitting requirements. 

Responsibilities of the CAFO Inspector 

The primary role of a CAFO inspector is to gather information to evaluate compliance with the 

NPDES CAFO permit conditions, including the effluent limitations and any other applicable 

regulations. The CAFO inspector also plays an important role in enforcement case 

development and support, as well as permit development. To fulfill these roles, an inspector is 

required to know and abide by applicable regulations, permits, policies, and procedures; legal 

requirements concerning inspections; procedures for effective inspection and evidence 

collection; accepted health and safety practices; and quality assurance standards. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

This chapter is primarily for use by EPA inspectors, but it might also be valuable in orienting 

and training state inspectors and other regional personnel involved in CAFO enforcement work. 

Procedures are recommended in this manual, but equivalent state procedures may be 

substituted where appropriate. 

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16. B. CAFO Regulation Overview 

Overview 

This section defines the term animal feeding operation (AFO) and explains which AFOs are 

CAFOs and subject to NPDES permitting requirements. 

Regulatory Background 

Section 301(a) of the CWA establishes statutory requirements for the discharge of pollutants 

from point sources to waters of the United States. Under CWA section 502(14) and its 

implementing regulations at 40 CFR Part 122, CAFOs are point source discharges and are 

therefore subject to the NPDES permitting requirements. The effluent limitations guidelines 

(ELGs) and standards for CAFOs are at 40 CFR Part 412. 

Animal Feeding Operation 

An AFO is an animal facility that meets both of these conditions: 

�� Animals are confined for at least 45 days during any 12-month period. The 45 days of 

confinement do not have to be 45 days in a row, and the 12-month period can be any 

consecutive 12 months. 

�� Crops, forage growth, and other vegetation are not grown in the area where the animals 

are confined. 

Pasture and rangeland operations are not AFOs because the animals are not confined or 

concentrated in an area where manure builds up. A pasture or grazing-based operation, 

however, might also have additional areas such as feedlots, barns, or pens that meet the 

conditions described above to be defined as an AFO. A winter feedlot can still be an AFO even 

if the feedlot area is used to grow crops or forage when animals are not confined there. In the 

case of winter feedlots, the “no vegetation” condition applies to only the time when the animals 

are confined there. The AFO definition is not limited to the animal types discussed in the 

regulations. An operation that confines any type of animal and meets both of the conditions in 

the definition is an AFO. In addition to confinement areas at animal production facilities, 

confinement areas at auction houses, sale barns, livestock marketing areas, horse show 

arenas, and stable areas of racetracks may be considered AFOs if they meet both of the 

conditions in the definition. 

Concentrated Animal Feeding Operation 

For a facility to be a CAFO, it must first meet the regulatory definition of an AFO. A CAFO is an 

AFO that meets specific, regulation-defined, characteristics. There are two ways for an AFO to 

be considered a CAFO: 

�� An AFO may be defined as a CAFO 

�� An AFO may be designated as a CAFO 

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Chapter Sixteen Concentrated Animal Feeding Operations 

AFOs Defined as CAFOs 

An AFO may be defined as a CAFO if it has a certain number of animals and it meets the other 

criteria in the regulations. The regulations set thresholds for size categories (Large, Medium, 

and Small) based on the number of animals confined at the operation for a total of 45 days or 

more in any 12-month period. Tables provided later in this chapter show the thresholds for 

Large, Medium, and Small CAFOs for different kinds of animals. 

Large CAFOs 

An operation is defined as a Large CAFO if it meets the regulatory definition of an AFO and 

meets the Large CAFO threshold for that animal type (See Tables 16-2 through 16-13). 

Medium CAFOs 

An operation is defined as a Medium CAFO if it meets the regulatory definition of an AFO, 

meets the Medium CAFO thresholds for that animal type (See Tables 16-2 through 16-13), and 

meets at least one of the following two criteria (called “discharge criteria”): 

�� A man-made ditch, pipe, or similar device carries manure or process wastewater from 

the operation to surface water or 

�� The animals come into contact with surface water that runs through the area where they 

are confined. 

The discharge criteria apply to only the parts of the operation that have animals confined, store 

manure or raw materials, and contain waste. For example, if a ditch is dug or a pipe is installed 

to drain water from the confinement area into a stream or lake, the operation would meet the 

first discharge criterion. Open tile drains in the areas where animals are confined, wastes are 

collected and stored, or raw materials are kept also meet the first criterion if the tile drains carry 

pollutants from these areas to surface water. The operation meets the second discharge 

criterion if a stream runs through the confinement area and the animals have direct access to 

the stream. 

Small CAFOs 

Small CAFOs are AFOs that confine fewer than the number of animals that defines a Medium 

CAFO, meet specific discharge criteria, and have been designated as CAFOs (see the 

designation discussion below). 

AFOs Designated as CAFOs 

The second mechanism for an AFO to be determined to be a CAFO is through designation. 

The NPDES regulations for CAFOs set forth the standards and process for the NPDES 

permitting authority, or in some cases EPA, to designate, on a case-by-case basis, any AFO as 

a CAFO, upon determining that the facility is a significant contributor of pollutants to waters of 

the United States. Designation ensures protection of surface water quality while maintaining 

flexibility for states or other entities to assist small and medium operations in removing risk 

conditions before they become subject to the NPDES requirements applicable to CAFOs. 

Any AFO may be designated as a CAFO, on a case-by-case basis, if it is determined to be a 

significant contributor of pollutants to waters of the United States as specified in 40 CFR 

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Chapter Sixteen Concentrated Animal Feeding Operations 

122.23(c). Given the structure of the CAFO definition, however, three types of AFO operations 

are typically considered for designation: 

�� A medium-sized AFO that does not meet one of the specific discharge criteria and is 

determined to be a significant contributor of pollutants to waters of the United States. 

�� A small AFO (one that confines fewer than the number of animals that define a Medium 

CAFO) if the facility meets one of the method of discharge criteria [40 CFR 

122.23(c)(3)(i) and (ii)] and is determined to be a significant contributor of pollutants to 

waters of the United States. 

�� An AFO that raises animals other than species identified in the regulatory definition of a 

CAFO and is determined to be a significant contributor of pollutants to waters of the 

United States. Examples of such AFOs include operations that raise geese, emus, 

ostriches, llamas, mink, bison, alligators. 

No operation may be designated as a CAFO until an inspector has conducted an on-site 

inspection of the facility, regardless of the size of the operation or the type of animals confined 

[40 CFR 122.23(c)(3)]. 

Factors to Be Considered When Designating an AFO as a CAFO 

For an AFO to be designated as a CAFO, it must be determined to be a significant contributor 

of pollutants to waters of the United States by the permitting authority or, in some cases, the 

EPA Regional Administrator [40 CFR 122.23(c)]. Once an operation is designated as a CAFO, 

it must seek coverage under an NPDES permit and, among other requirements, develop and 

implement a nutrient management plan. 

An AFO may not be designated as a CAFO until the NPDES permitting authority or EPA has 

conducted an on-site inspection of the operation and determined that the operation should and 

could be regulated under the permit program [40 CFR 122.23(c)(3)]. In addition, a small AFO 

may not be designated as a CAFO unless it also meets the small AFO method of discharge 

criteria [122.23(c)(3)(i) and (ii)] and is determined to be a significant contributor of pollutants to 

waters of the United States. 

The on-site inspection serves three primary objectives: (1) to confirm that the facility meets the 

AFO definition, (2) to collect information related to the CAFO designation factors, and (3) to 

provide notice to the AFO that it might be designated as a CAFO. The requirement for an onsite inspection helps ensure that a reasoned assessment of the situation has been performed. 

EPA recommends that the designation process be conducted as soon as possible following the 

inspection. Regardless of when an inspection takes place, the designation should be based on 

current information. 

In determining whether an AFO is a significant contributor of pollutants to waters of the United 

States, the permitting authority or EPA Regional Administrator is to consider the factors 

specified in 40 CFR 122.23(c)(2), which are listed in the left column of Table 16-1. The right 

column in Table 16-1 gives examples of case-by-case designation factors that might be 

assessed during the designation inspection. The assessment of regulatory factors may be 

based on visual observations, as well as water quality monitoring and other sources of relevant 

information. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

Table 16-1. s for Case-by-Case CAFO Designation 

Designation Factor Example Factors for Inspection Focus 

Example Factor

� Size of the Operation and Amount of Waste 

Reaching Waters of the United States 

� Location of the Operation Relative to Waters of the 

United States 

� Means of Conveyance of Animal Waste and 

Process Wastewater into Waters of the United 

States 

� Slope, Vegetation, Rainfall, and Other Factors 

Affecting the Likelihood or Frequency of Discharge 

of Animal Waste, Manure, and Process 

Wastewater into Waters of the United States 

� Other Relevant Factors 

�� Number of animals 

�� Type of feedlot surface 

�� Feedlot design capacity 

�� Waste handling/storage system design capacity 

�� Location of water bodies 

�� Location of floodplain 

�� Proximity of production area and land application 

area to waters of the United States 

�� Depth to ground water, direct hydrologic 

connection to waters of the United States 

�� Location in an impaired watershed 

�� Existing or potential man-made (including natural 

and artificial materials) structures that might 

convey waste 

�� Direct contact between animals and waters of the 

United States. 

�� Slope of feedlot and surrounding land 

�� Type of feedlot (concrete, soil) 

�� Climate (e.g., arid or wet) 

�� Type and condition of soils (e.g., sand, karst) 

�� Drainage controls 

�� Storage structures 

�� Amount of rainfall 

�� Volume and quantity of runoff 

�� High water table 

�� Buffers 

�� History of noncompliance 

�� Use of conservation practices to minimize nutrient 

transport to waters of the United States 

�� Working with USDA or Soil and Water 

Conservation District to improve operation 

Following the on-site inspection for designation, the inspector should prepare a brief report that 

(1) identifies findings and any follow-up actions, (2) determines whether the facility should be 

designated as a CAFO, and (3) documents the reasons for that determination. Regardless of 

the outcome, a letter should be prepared and sent to inform the facility of the results of the 

inspection. If the permitting authority has made a decision to designate an AFO as a CAFO, 

the letter should specify that the operation must obtain an NPDES permit. The letter should 

indicate whether a general permit is available or whether an individual permit application is to 

be submitted by a specific date. In those cases where a facility has not been designated as a 

CAFO but the NPDES permitting authority has identified areas of concern, these areas should 

be noted in the letter. The letter should state that if these concerns are not corrected, the 

facility might be designated in the future. It should also include a date for a follow-up inspection 

to determine whether the concerns have been adequately addressed. 

EPA Designation Authority 

The NPDES CAFO regulations explicitly authorize the EPA Regional Administrator to designate 

AFOs as CAFOs in NPDES-authorized states and tribes where the Regional Administrator has 

determined that one or more pollutants in an AFO’s discharge contribute to an impairment in a 

downstream or adjacent state or Indian Country water that is impaired by that pollutant. Such 

designation is based on assessment of the factors in 40 CFR 122.23(c)(2) and also requires an 

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Chapter Sixteen Concentrated Animal Feeding Operations 

on-site inspection. Upon designation by EPA, the operation is required to apply to the 

permitting authority for permit coverage. 

CAFO Definition Thresholds for Specific Animal Sectors 

In the NPDES CAFO regulations, EPA has set thresholds for determining which AFOs are 

CAFOs for specific animal sectors. The thresholds define which AFOs are Large CAFOs. In 

addition, the thresholds, along with regulation-defined discharge criteria, define which AFOs are 

Medium CAFOs. The thresholds also determine which operations are potentially subject to 

designation. Tables 16-2 through 16-13 show these thresholds for the various animal sectors. 

The thresholds in Table 16-2 apply to operations that confine any kind of cattle other than 

mature dairy cows, including heifers, steers, bulls, and cow/calf pairs. For example, these 

thresholds apply to beef cattle operations such as feedlots and backgrounding yards, veal calf 

operations, and contract dairy heifer operations. Except for cow/calf pairs, each animal is 

counted as one animal, regardless of its age or weight. In the case of cow/calf pairs, the pair is 

counted as one animal until the calf is weaned. After the calf is weaned, the cow and calf count 

as individual animals. 

Table 16-2. Thresholds for Cattle (other than mature dairy cows) 

An AFO that has ... is a... by ... 

at least 1,000 cattle, dairy heifers, 

cow/calf pairs, or veal calves 

Large CAFO regulatory definition 

from 300 to 999 cattle, dairy 

heifers, cow/calf pairs, or veal 

calves and meets one of the 

medium category discharge criteria 

Medium CAFO regulatory definition 

from 300 to 999 cattle, dairy 

heifers, cow/calf pairs, or veal 

calves and has been designated by 

the permitting authority 

Medium CAFO designation 

fewer than 300 cattle, dairy heifers, 

cow/calf pairs, or veal calves and 

has been designated by the 

permitting authority 

Small CAFO designation 

The thresholds in Table 16-3 apply to operations that confine mature dairy cows. Mature dairy 

cows include both milked and “dry” cows. Thresholds for AFOs that house any other kind of 

cattle, including heifers and veal calves, are shown in Table 16-2 (“Thresholds for Cattle (other 

than mature dairy cows”). 

Table 16-3. Thresholds for Mature Dairy Cows 

An AFO that has ... is a... by ... 

at least 700 matu re dairy c ows Large CAFO regulatory definition 

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Chapter Sixteen Concentrated Animal Feeding Operations 

from 200 to 699 mat ure dairy cows 

and meets one of the medium 

category discharge criteria 

Medium CAFO regulatory definition 

from 200 to 699 mat ure dairy cows 

and has been designated by the 

permitting authority 

Medium CAFO designation 

fewer than 200 matu re dairy c ows 

and has been designated by the 

permitting authority 

Small CAFO designation 

The thresholds in Table 16-4 apply to operations that confine swine that weigh at least 55 

pounds. These operations include farrow-finish operations, wean-finish operations, farrowing 

operations, breeding operations, grow-finish operations, and other specialized AFOs that 

confine mature swine. AFOs that house immature swine (less than 55 pounds) might also be 

subject to the thresholds shown in Table 16-5 (“Thresholds for Swine (less than 55 pounds)”). 

Table 16-4. Thresholds for Swine (55 pounds or more) 

An AFO that has ... is a... by ... 

at least 2,500 swine weighing 55 

pounds or more 

Large CAFO regulatory definition 

from 750 to 2,499 swine weighing 

55 pounds or more and meets one 

of the medium category discharge 

criteria 

Medium CAFO regulatory definition 

from 750 to 2,499 swine weighing 

55 pounds or more and has been 

designated by the permitting 

authority 

Medium CAFO designation 

fewer than 750 swine weighing 55 

pounds or more and has been 

designated by the permitting 

authority 

Small CAFO designation 

The thresholds in Table 16-5 apply to operations that confine swine that weigh less than 55 

pounds. These thresholds typically apply to swine nurseries, but they may also apply to other 

facilities that confine swine of all sizes but primarily confine large numbers of immature swine. 

For example, an operation with 1,000 sows, 50 boars, and 14,000 newborn pigs is a Large 

CAFO. Remember that AFOs that house “mature” swine (55 pounds or more) are already 

subject to the thresholds in the sector “swine (55 pounds or more)” (Table 16-4). Therefore, a 

swine operation could be defined as a CAFO because of the number of swine weighing 55 

pounds or more, the number of swine weighing less than 55 pounds, or both. 

Table 16-5. Thresholds for Swine (less than 55 pounds) 

An AFO that has ... is a... by ... 

at least 10,000 swine weighing less 

than 55 pounds 

Large CAFO regulatory definition 

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Chapter Sixteen Concentrated Animal Feeding Operations 

from 3,000 to 9,999 swine weighing 

less than 55 pounds and meets 

one of the medium category 

discharge criteria 

Medium CAFO regulatory definition 

from 3,000 to 9,999 swine weighing 

less than 55 pounds and has been 

designated by the permitting 

authority 

Medium CAFO designation 

fewer than 3,000 swine weighing 

less than 55 pounds and has been 

designated by the permitting 

authority 

Small CAFO designation 

The thresholds in Table 16-6 apply to operations that confine horses. The confinement area 

does not include areas like pastures. Most horse operations confine their animals only for 

short-term stabling or visits to stalls for shoeing, veterinary care, or similar activities. The 

horses might not be confined for enough days for the operation to meet the criteria for being an 

AFO. Data from the U.S. Department of Agriculture’s (USDA’s) National Animal Health 

Monitoring System suggest that practically all Large horse CAFOs (those with more than 500 

horses in confinement) are racetracks. 

Table 16-6. Thresholds for Horses 

An AFO that has ... is a... by ... 

at least 500 horses Large CAFO regulatory definition 

from 150 to 499 horses and meets 

one of the medium category 

discharge criteria 

Medium CAFO regulatory definition 

from 150 to 499 horses and has 

been designated by the permitting 

authority 

Medium CAFO designation 

fewer than 150 horses and has 

been designated by the permitting 

authority 

Small CAFO designation 

The thresholds in Table 16-7 apply to operations that confine sheep, lambs, or both. All 

confined sheep and lambs are counted to determine whether the operation meets these 

thresholds. Confinement areas do not include grazing pastures. Operations with grazing areas 

might confine animals only for shearing, veterinary care, and lambing and before sale or 

processing. The animals might not be confined for enough days for the operation to be 

considered an AFO. Animals must be confined for 45 days or more in a 12-month period for an 

operation to be considered an AFO. 

Table 16-7. Thresholds for Sheep or Lambs 

An AFO that has ... is a... by ... 

at least 10,000 sheep or lambs 

mature d airy cows 

Large CAFO regulatory definition 

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Chapter Sixteen Concentrated Animal Feeding Operations 

from 3,000 to 9,999 sheep or lambs 

and meets one of the medium 

category discharge criteria 

Medium CAFO regulatory definition 

from 3,000 to 9,999 sheep or lambs 

and has been designated by the 

permitting authority 

Medium CAFO designation 

fewer than 3,000 sheep or lambs 

and has been designated by the 

permitting authority 

Small CAFO designation 

The thresholds in Table 16-8 apply to operations that confine turkeys. Most turkey operations 

today confine their birds in confinement houses, but turkeys are also raised on lots. All birds, 

including poults and breeders, are counted to determine whether the operation meets the 

thresholds. 

Tab le 1 6-8 . Th res hol ds f or T urk eys 

An AFO that has ... is a... by ... 

at least 55,00 0 turkeys Large CAFO regulatory definition 

from 16,500 to 54,999 turkeys and 

meets one of the medium category 

discharge criteria 

Medium CAFO regulatory definition 

from 16,500 to 54,999 turkeys and 

has been designated by the 

permitting authority 

Medium CAFO designation 

fewer than 16,500 turkeys and has 

been designated by the permitting 

authority 

Small CAFO designation 

The thresholds in Table 16-9 apply to operations that confine laying hens or broiler chickens 

and use a liquid manure handling system (such as caged housing where manure is flushed to a 

lagoon). Liquid manure handling systems are relatively common among layer operations and 

are rarely used in other chicken operations. Operations that do not use liquid manure handling 

systems are subject to thresholds for the sector “laying hens (operations with other than a liquid 

manure handling system)” (Table 16-10) or “chickens other than laying hens (operations with 

other than a liquid manure handling system)” (Table 16-11). For pullets see “Thresholds for 

Chickens other than laying hens (operations with other than a liquid manure handling system)” 

(Table 16-11). 

Table 16-9. Thresholds for Chickens (operations with a liquid handling system) 

An AFO that has ... is a... by ... 

at least 30,000 chickens and uses 

a liquid manure handling system 

Large CAFO regulatory definition 

16-10 
Chapter Sixteen Concentrated Animal Feeding Operations 

from 9,000 to 29,999 chickens, 

uses a liquid manure handling 

system, and meets one of the 

medium category discharge criteria 

Medium CAFO regulatory definition 

from 9,000 to 29,999 chickens, 

uses a liquid manure handling 

system, and has been designated 

by the permitting authority 

Medium CAFO designation 

fewer than 9,000 chickens, uses a 

liquid manure handling system, and 

has been designated by the 

permitting authority 

Small CAFO designation 

The thresholds in Table 16-10 apply to layer operations that do not use a liquid manure 

handling system. These operations include scrape-out and belt manure handling systems, 

high-rise cage housing, and litter-based housing. A chicken operation that uses a liquid 

manure handling system is subject to thresholds for the sector “chickens (operations with a 

liquid manure handling system)” (Table 16-9). Non-layer operations, including broiler 

operations, that do not use a liquid manure handling system are subject to thresholds in the 

sector “chickens other than laying hens (operations with other than a liquid manure handling 

system)” (Table 16-11). 

Table 16-10. Thresholds for Laying Hens (operations with other than a liquid manure handling system) 

An AFO that has ... is a... by ... 

at least 82,000 laying hens and 

does not use a liquid manure 

handling system 

Large CAFO regulatory definition 

from 25,000 to 81,999 laying hens, 

does not use a liquid manure 

handling system, and meets one of 

the medium category discharge 

criteria 

Medium CAFO regulatory definition 

from 25,000 to 81,999 laying hens, 

does not use a liquid manure 

handling system, and has been 

designated by the permitting 

authority 

Medium CAFO designation 

fewer than 25,000 laying hens, 

does not use a liquid manure 

handling system, and has been 

designated by the permitting 

authority 

Small CAFO designation 

The thresholds in Table 16-11 apply to operations that confine broilers, roasters, pullets, or 

breeders and do not use a liquid manure handling system. These chicken operations typically 

use enclosed housing and dry litter systems. A chicken operation that uses a liquid manure 

handling system is subject to thresholds for the sector “chickens (operations with a liquid 

manure handling system)” (Table 16-9). A layer operation that does not use a liquid manure 

handling system is subject to thresholds for the sector “laying hens (operations with other than 

a liquid manure handling system)” (Table 16-10). 

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Chapter Sixteen Concentrated Animal Feeding Operations 

Chicken operations with uncovered litter stockpiles are treated as operations with liquid manure 

handling systems and are subject to the Large CAFO threshold of 30,000 chickens for 

operations with a liquid manure handling system. By covering such stockpiles, a chicken 

operation becomes eligible for the higher thresholds for operations with other than a liquid 

manure handling system. 

Table 16-11. Thresholds for Chickens Other Than Laying Hens (operations with other than a liquid manure 

handling system) 

An AFO that has ... is a... by ... 

at least 125,000 chickens other 

than laying hens and does not use 

a liquid manure handling system 

Large CAFO regulatory definition 

from 37,500 to 124,999 chickens 

other than laying hens, does not 

use a liquid manure handling 

system, and meets one of the 

medium category discharge criteria. 

Medium CAFO regulatory definition 

from 37,500 to 124,999 chickens 

other than laying hens, does not 

use a liquid manure handling 

system, and has been designated 

by the permitting authority 

Medium CAFO designation 

fewer than 37,500 chickens other 

than laying hens, does not use a 

liquid manure handling system, and 

has been designated by the 

permitting authority 

Small CAFO designation 

The thresholds in Table 16-12 apply to duck operations that use a liquid manure handling 

system. These include operations with “wet” lots, lots with storage ponds, lots with swimming 

areas, and operations that flush manure from confinement buildings to lagoons. All birds 

confined at the operation are counted to determine whether the operation meets the thresholds. 

A duck operation that does not use a liquid manure handling system is subject to thresholds for 

the sector “ducks (operations with other than a liquid manure handling system)” (Table 16-13). 

Table 16-12. Thresholds for Ducks (operations with a liquid manure handling system) 

An AFO that has ... is a... by ... 

at least 5,000 ducks and uses a 

liquid manure handling system 

Large CAFO regulatory definition 

from 1,500 to 4,999 ducks, uses a 

liquid manure handling system, and 

meets one of the medium category 

discharge criteria 

Medium CAFO regulatory definition 

from 1,500 to 4,999 ducks, uses a 

liquid manure handling system, and 

has been designated by the 

permitting authority 

Medium CAFO designation 

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Chapter Sixteen Concentrated Animal Feeding Operations 

fewer than 1,500 ducks, uses a 

liquid manure handling system, and 

has been designated by the 

permitting authority 

Small CAFO designation 

The thresholds in Table 16-13 apply to any duck operation that does not use a liquid manure 

handling system. All birds confined at the operation are counted to determine whether the 

operation meets the thresholds. A duck operation that uses a liquid manure handling system is 

subject to thresholds for the sector “ducks (operations with a liquid manure handling system)” 

(Table 16-12). 

Table 16-13. Thresholds for Ducks (operations with other than a liquid manure handling system) 

An AFO that has ... is a... by ... 

at least 30,000 dusks and does not 

use a liquid manure handling 

system 

Large CAFO regulatory definition 

from 10,000 to 29,999 ducks, does 

not use a liquid manure handling 

system, and meets one of the 

medium category discharge criteria 

Medium CAFO regulatory definition 

from 10,000 to 29,999 ducks, does 

not use a liquid manure handling 

system, and has been designated 

by the permitting authority 

Medium CAFO designation 

fewer than 10,000 ducks, does not 

use a liquid manure handling 

system, and has been designated 

by the permitting authority 

Small CAFO designation 

Practices That Constitute a Liquid Manure Handling System at Chicken Operations 

The thresholds for chicken AFOs in the CAFO definition are based on the type of litter or 

manure handling system being used. The system is either a liquid manure handling system or 

other than a liquid manure handling system. A liquid manure handling system includes the use 

of pits, lagoons, flush systems (usually combined with lagoons), and holding ponds. Systems 

such as continuous overflow watering, where water is added to manure or litter, are also liquid 

manure handling systems. In addition, an operation that removes waste from confinement 

areas and stacks or piles it in areas exposed to rainfall is considered to have a liquid manure 

system. Such operations include those operations that remove litter from the confinement area 

and stockpile or store it in remote locations. Permitting authorities may authorize a limited 

period of temporary storage of litter of no more than 15 days that would not result in the 

facility’s meeting the definition of a liquid manure handling system (e.g., where this limited time 

is needed to allow for contract hauling arrangements). Once litter is stockpiled beyond such a 

temporary period, the uncovered stockpile constitutes a liquid manure handling system and the 

lower threshold for chickens at 30,000 birds and ducks at 5,000 birds becomes applicable to the 

operation. 

Distinguishing Wet Lot and Dry Lot Duck Operations 

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Chapter Sixteen Concentrated Animal Feeding Operations 

For ducks, there are two thresholds for defining an operation as a CAFO: (1) where the animals 

are raised outside with swimming areas or ponds, or with a stream running through an open lot, 

or (2) in confinement buildings where water is used to flush the manure to a lagoon, pond, or 

other liquid storage structure. These types of operations are considered to be wet lots with 

liquid manure handling systems. 

A duck operation using confinement buildings and handling manure and bedding exclusively as 

dry material; an operation using a building with a mesh or slatted floor over a concrete pit, 

where the manure is scraped into a waste storage facility; or an operation using dry bedding on 

a solid floor is referred to as a “dry” operation. These operations use other than a liquid manure 

handling system. In the case of operations that stack litter, however, see the discussion above. 

AFOs With More Than One Type of Animal 

An AFO is defined as a CAFO if any one animal type in confinement meets the threshold for 

either a Large or Medium CAFO. An operation that meets the threshold for a Medium CAFO 

must also meet one of the discharge criteria to be defined as a Medium CAFO. Under the 

revised NPDES CAFO regulation, multiple types of animals are no longer counted together to 

determine the type and size of a CAFO. However, once a given operation is defined as a 

CAFO, regardless of animal type, the regulations apply to all the manure, litter, and wastewater 

generated by all the animals confined at the operation. In the event that waste streams from 

multiple livestock species are commingled and the regulatory requirements for the species are 

not the same, the permit must include the more stringent ELG requirements. 

Requirements for NPDES Permit for CAFO 

The basic elements of an NPDES permit for a CAFO are the same as those of permits issued 

to other point sources. These elements consist of a cover page, effluent limitations, monitoring 

and reporting requirements, record-keeping requirements, special conditions, and standard 

conditions (see Table 16-14). For additional details on the elements of an NPDES permit, refer 

to the U.S. EPA NPDES Permit Writers’ Manual (EPA-833-B-96-003). 

Table 16-14. NPDES Permit 

Element Description 

Elements of an

Cover Page	 Serves as the legal notice of the applicability of the permit, provides the authority under 

which the permit is issued, and contains appropriate dates and signature(s). 

Effluent 

Limitations and 

Standards 

Serves as the primary mechanism for controlling discharges of pollutants to receiving 

waters (e.g., the specific narrative or numeric limitations applied to the facility and the 

point of application of these limits). 

Monitoring and 

Reporting 

Requirements 

Identifies all the specific conditions related to the types of monitoring to be performed, the 

frequencies for collecting samples or data, and how to record, maintain, and transmit the 

data and infor mation to the p ermitting aut hority. 

Record-Keeping 

Requirements 

Specifies the types of records to be kept on-site at the permitted facility (e.g., inspection 

and monitoring records; manure and soil sampling results; time, amount, and duration of 

land application activities; precipitation records; records of recipients of waste intended for 

application on land outside the operational control of the CAFO facility). 

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Table 16-14. NPDES Permit 

Element Description 

Elements of an

Special Conditions In NPDES permits for CAFOs, special conditions must include (1) the requirement to 

develop and fully implement a nutrient management plan and (2) the requirement that the 

nutrient management plan address nine minimum practices defined in the regulation. 

addition, NPDES permits for CAFOs may include other special conditions as determined 

necessary by the permitting au thority. 

In 

Standard 

Conditions 

Conditions that apply to all NPDES permits, such as the requirement to properly operate 

and maintain all facilities and systems of treatment and control, as specified in 40 CFR 

122.41. 

Role of the Inspector 

The content of a specific permit may vary, but permits will generally address the six elements in 

Table 16-14. The inspector’s role, however, is to determine compliance with the actual permit 

as written, not what the permit should contain. The permit conditions required by the NPDES 

CAFO regulations are outlined below to help inspectors understand what provisions they are 

likely to find in CAFO permits. 

CAFOs That Are Not Required to Have an NPDES Permit 

Under some limited circumstances, an operation that meets the definition of a Large CAFO 

might not be required to obtain an NPDES permit. Large CAFOs that do not have the potential 

to discharge do not need NPDES permits. A Large CAFO is not required to apply for an 

NPDES permit if (1) the owner/operator has provided evidence to the permitting authority that 

there is no potential for the operation to discharge manure, litter, or process wastewater to 

surface waters; (2) the permitting authority agrees; and (3) the permitting authority has provided 

notice that the CAFO has “no potential to discharge” manure, litter, or process wastewater. “No 

potential to discharge” means that the CAFO must not discharge manure, litter, or process 

wastewater from either the production areas or any land application areas to surface waters, 

even by accident or because of human error. A large CAFO may qualify for a “no potential to 

discharge” determination if: 

� The owner or operator can show that there is no possibility for any CAFO manure, 

litter, or wastewater to be added to surface waters under any circumstances or 

conditions and 

� The operation has not had a discharge for at least the past 5 years. 

The “no potential to discharge” determination is intended to provide relief where there truly is no 

potential for a Large CAFO’s manure or wastewater to reach surface waters under any 

circumstances or conditions. For example, the operator of a CAFO that meets the following 

conditions might be able to demonstrate to the permitting authority that the CAFO has no 

potential to discharge: 

� Located in an arid or semiarid environment. 


� Stores all its manure or litter in a permanent, covered containment structure that


precludes wind dispersal and prevents precipitation from contacting the manure or 

litter. 

� Has sufficient containment to hold all process wastewater and contaminated storm 

water. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

� Does not land apply CAFO manure or litter because, for example, the CAFO sends 

all its manure or litter to a regulated, off-site fertilizer plant or composting facility. 

The “no potential to discharge” determination is not available to medium AFOs because the 

existence of a discharge is incorporated into the definition of a Medium CAFO. Small operations 

may become CAFOs only through designation, so the determination is not applicable. 

NPDES Permit Effluent Limitations and Standards for CAFOs 

Section 301 of the Clean Water Act prohibits the discharge of pollutants from a point source 

into waters of the United States except in accordance with an NPDES permit. Effluent 

limitations are the primary mechanism in NPDES permits for controlling discharges of pollutants 

to receiving waters. The CAFO ELGs are at 40 CFR Part 412. 

Applicable Technology Standards for CAFOs 

The CAFO ELGs, published on February 12, 2003, are applicable to only those operations that 

meet the regulatory definition of a Large CAFO. The CAFO ELGs establish the technologybased effluent limitations and standards for Large CAFOs. Table 16-15 provides the specific 

regulatory citations of the ELGs applicable to each animal sector. In the case of Medium and 

Small CAFOs, the permit writer develops effluent limitations (including the technology-based 

limitations and standards) on a case-by-case basis. The authority to issue case-by-case permit 

limitations comes from section 402(a)(1) of the CWA and 40 CFR 122.44(a) and 125.3. These 

case-by-case effluent limits are referred to as best professional judgment (BPJ) permit 

limitations. 

Permit limitations are based on BPJ when national ELGs that apply to the appropriate industrial 

category, or to the particular process involved, have not been issued. For example, there are 

no ELGs for Small or Medium CAFOs or for “exotic” animal species, and there are no 

applicable ELGs for the land application areas at large horse, sheep, or duck CAFOs. 

It is important for the compliance inspector to recognize that the CAFO ELGs do not address 

some discharges that might occur at a CAFO, such as discharges of plate chiller water and 

filter backwash water; pollutants (such as manure, feathers, and feed) that have fallen to the 

ground immediately downwind from confinement building exhaust ducts and ventilation fans 

and are carried by storm water runoff to waters of the United States; and discharges associated 

with the use of disinfectants in the production area. If these potential discharge sources are 

present, the inspector should determine whether they have been included in the ELGs specified 

in the permit (through the use of BPJ by the permit writer) and whether any discharges to 

waters of the United States have occurred in violation of CWA requirements. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

Table 16-15. Effluent Limitations Summary 

Animal Sector ELG Tec hno log yBased Limits 

Large CAFOs 40 CFR Part 412 

Subpart A - Horses and sheep 40 CFR 412.13 

Subpart B - Ducks 40 CFR 412.22 

Subpart C - Dairy cows and cattle other than veal calves 40 CFR 412.33 and 

412.37 

Subpart D - Swine, poultry, and veal calves 40 CFR 412.45 and 

412.47 

Medium CAFOs - Horses, sheep, duck, dairy cows, cattle, swine, poultry, and veal 

calves 

BPJ 

Small CAFOs - Horses, sheep, duck, dairy cows, cattle, swine, poultry, and veal calves BPJ 

Other CAFOs - Alligators, geese, emus, ostriches, mink, bison, etc. BPJ 

Technology-based ELGs for Large CAFOs 

The ELGs address two main areas of Large CAFOs—the production area and the land 

application areas. The following sections describe the requirements that will be included in 

permits for CAFOs that are subject to the ELGs. In some cases the permitting authority might 

include additional effluent limitations in the permit. 

Production Area ELG Requirements for Existing Large CAFOs 

The production area of the CAFO includes the animal confinement area, the manure storage 

area, the raw materials storage area, and the waste containment areas. No discharges of 

manure, litter, or wastewater from the production area of the CAFO may enter waters of the 

United States. In addition, the CAFO must comply with specific record-keeping requirements. 

The ELG requirements for Large CAFOs do allow a discharge caused by rainfall events, but 

only if the facility meets certain conditions. Dry-weather discharges are never allowed. 

Discharges from the production areas of a Large horse, sheep, beef, dairy, swine, turkey, or 

chicken CAFO are allowed if the operation meets all the following conditions: 

� The production area must be designed, built, operated, and maintained to handle all 

the manure, litter, and process wastewater, including the runoff and direct 

precipitation (rain) from all normal rainfall events up to a 25-year, 24-hour rainfall 

event. To meet this requirement, the design volumes of the storage structures need 

to account for the following: 

� The maximum length of time before emptying the structures (the storage period). 

� All waste accumulated during the storage period. 

� Normal precipitation and evaporation during the storage period. 

� Normal runoff during the storage period. 

� The direct precipitation from a 25-year, 24-hour rainfall event. 

� The runoff from a 25-year, 24-hour rainfall event. 

� Residual solids after liquid has been removed. 

� Necessary freeboard to maintain storage integrity. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

� For treatment lagoons, a minimum treatment volume and any additional storage 

needed to meet management goals or other regulatory requirements. 

� The discharge may consist of only overflows caused by the rainfall event. 

Dry-weather discharges are not allowed. 

� The operation must comply with all record-keeping requirements specified in the 

ELGs. (The specific requirements are discussed later in this section.) If the 

operation is not keeping the required records, no discharges are allowed. 

Discharges caused by poor operation or management are never allowed, even if it is raining. 

The regulation requires that the production area must be properly designed, constructed, 

operated, and maintained. Proper design and operation includes designing lagoons for the rainy 

season, draining lagoons before the rainy season begins, and not applying manure to saturated 

soils or during rain events. Proper operation and maintenance also includes activities such as 

dewatering when appropriate and in accordance with a nutrient management plan. Occasionally 

a series of rainfall events that are far above normal rainfall might occur so close together that 

they prevent dewatering. Under such conditions, even though storage structures have been 

properly designed, constructed, and managed, a series of small storms could however, cause a 

permissible overflow. With proper planning and maintenance, however, the operation should 

usually be able to avoid these situations. 

Production Area ELG Requirements for New Source Large CAFOs 

Some new CAFOs designed and built after April 14, 2003, are subject to more stringent ELG 

requirements for the production area. (No additional requirements apply to the land application 

areas for new source CAFOs.) For additional information concerning the requirements for new 

sources, refer to the NPDES Permit Writers’ Guidance Manual and Example NPDES Permit for 

CAFOs. 

Production Area Additional Measures and Record-keeping Requirements for All Large CAFOs 

The following is a general summary of additional measures and record-keeping requirements 

for the production area that are applicable to all Large CAFOs. The specific requirements are 

listed in 40 CFR 412.37(a) and (b). The NPDES permit for Large CAFOs will include the 

following additional measures and record-keeping requirements: 

� Routine visual inspections of the CAFO production area. At a minimum the following 

visual inspections must be performed: 

� Weekly visual inspections of all storm water diversion devices, runoff diversion 

structures, and devices channeling contaminated storm water to the wastewater 

and manure storage and containment structure. 

� Daily visual inspections of all water lines, including drinking water or cooling 

water lines. 

� Weekly inspections of the manure, litter, and process wastewater 

impoundments. The inspection will note the level in liquid impoundments as 

indicated by the depth markers. 

� Any deficiencies found as a result of these inspections must be corrected as 

soon as possible. 

� Installation of depth markers in all open-surface liquid impoundments (excluding for 

example, in under-house pits) that clearly indicate the minimum capacity necessary 

to contain the runoff and direct precipitation of the 25-year, 24-hour rainfall event or 

the 100-year, 24-hour rainfall event, whichever is applicable. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

� No disposal of animal mortalities in any liquid manure or process wastewater 

systems and the handling of animal mortalities so as to prevent discharge of 

pollutants to waters of the United States, unless alternative technologies pursuant to 

40 CFR 412.31(a)(2) and approved by the Director of the permitting authority are 

designed to handle mortalities. 

� Complete on-site records documenting implementation of all required additional 

measures and any other records specified by the permitting authority. The specific 

records required by the CAFO ELGs and the NPDES CAFO regulations are 

discussed later in this section. 

Land Application Area Requirements for Large Beef Cattle, Dairy Cattle, Veal Calf, Swine, 

Turkey, and Chicken CAFOs 

The land application area is any land that is under the control of the CAFO owner or operator — 

regardless of whether it is owned, rented, or leased — and to which manure or process 

wastewater from the production area is (or might be) applied. For example, if the CAFO applied 

litter to field “A” last year and does not intend to apply litter there again until next year, that field 

is still part of the CAFO’s land application area for purposes of the nutrient management plan. 

The land application requirements are the same for existing and new sources. The land 

application requirements specified in the CAFO ELGs (40 CFR 412.4) are applicable to all 

Large beef cattle, dairy cattle, veal calf, swine, turkey, and chicken CAFOs ( Large CAFOs 

subject to 40 CFR Part 412, Subparts C and D). 

The CAFO ELGs require that all Large beef cattle, dairy cattle, veal calf, swine, turkey, and 

chicken CAFOs properly apply manure, litter, or wastewater to land application areas under the 

control of the CAFO operator. This is done by implementing best management practices 

(BMPs) developed in accordance with a nutrient management plan. The CAFO’s nutrient 

management plan must be designed to achieve realistic production goals, while minimizing 

nitrogen and phosphorus movement to surface waters. 

Even though the CAFO ELGs do not set land application area requirements for horse, sheep, 

or duck CAFOs, NPDES permits for these operations will require land application BMPs as part 

of the nutrient management plan. (See NPDES CAFO permit special conditions that are 

applicable to all CAFOs). 

Large beef cattle, dairy cattle, veal calf, swine, turkey, and chicken CAFOs must also 

implement the following BMPs and any other BMPs required by their permits (as specified in the 

ELGs): 

� Land apply manure, litter, and process wastewater in accordance with a nutrient 

management plan that specifies application rates for each field. The permitting 

authority will establish technical standards that must be used to determine land 

application rates. 

� At least once a year, collect representative samples of manure, litter, and other 

wastewater and analyze them for nutrient content, including nitrogen and 

phosphorus. 

� At least once every 5 years, collect representative soil samples from all fields where 

manure, litter, and process wastewater are applied and analyze them for 

phosphorus content. 

� Maintain a setback area within 100 feet of any down-gradient surface waters, open 

tile intake structures, sinkholes, agricultural well heads, or other conduits to surface 

waters where manure, litter, and other wastewaters are not applied. As a 

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Chapter Sixteen Concentrated Animal Feeding Operations 

compliance alternative, the CAFO may elect to establish a 35-foot vegetated buffer 

where manure, litter, and other wastewater are not applied. The CAFO owner or 

operator may demonstrate to the permitting authority that a setback or vegetated 

buffer is unnecessary because of site-specific conditions or practices. 

� Periodically conduct leak inspections of equipment used for land application of 

manure, litter, or wastewater. 

If a CAFO has a permit and is in full compliance with the permit, which includes properly 

developing and implementing the nutrient management plan, precipitation-related runoff from 

the land application area is an allowable discharge. On the other hand, if a CAFO does not 

have a permit or does not have a nutrient management plan, or the CAFO operator does not 

follow the nutrient management plan when applying manure, litter, and process wastewater, a 

discharge from the land application area of the CAFO is a violation of the Clean Water Act. 

Technical Standard for Nutrient Management 

The ELG determination of appropriate application practices for manure, litter, and process 

wastewater must be done in accordance with the technical standards established by the 

permitting authority. These technical standards guide the development of the site-specific 

nutrient management plan and must include a field-specific assessment of the potential for 

nitrogen and phosphorus transport from the field to waters of the United States. In addition, the 

standards must address the form, source, amount, timing, and method of application of 

nutrients on each field to achieve realistic production goals, while minimizing nitrogen and 

phosphorus movement to waters of the United States. The technical standards for nutrient 

management are also to include appropriate flexibility for any CAFO to implement nutrient 

management practices to comply with the standards. 

The NPDES compliance inspector should verify that the permittee has used the nutrient 

management technical standard established by the permitting authority to develop and 

implement the site-specific nutrient management plan. 

NPDES Permits for CAFOs: Special Conditions 

The CAFO regulations establish two special conditions that must be included in all NPDES 

CAFO permits and one additional special condition applicable to only Large CAFOs. In 

addition, the permitting authority may include other special conditions in the NPDES permit. 

Special Condition for All CAFOs: Develop and Implement a Nutrient Management Plan 

The NPDES CAFO regulations specify that the NPDES permit for any CAFO must include a 

special condition requiring the CAFO, regardless of size, to develop and implement a nutrient 

management plan. The goal of the nutrient management plan is to minimize the CAFO’s impact 

on water quality. The plan must describe the practices and procedures that will be implemented 

at the operation to meet all the production area and land application area requirements that 

apply. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

The nutrient management plan must address land application of manure and wastewater on all 

land under the operational control of the CAFO operator or owner. Operational control of land 

includes ownership, rental agreements, leases, and access agreements. 

Certified Specialists and Nutrient Management Plans 

EPA’s CAFO regulations do not mandate that the required site-specific nutrient management 

plan be developed by a certified specialist or technical service provider. However, compliance 

inspectors should view the use of these professionals favorably when determining whether the 

plan complies with permit requirements (ELGs and NPDES minimum practices). 

A certified specialist is a person who has a demonstrated capability to develop Nutrient 

Management Plan (NMPs) in accordance with applicable U.S. Department of Agriculture 

(USDA) or state standards and is certified by USDA or a USDA-sanctioned organization. 

States have the discretion to require the use of such specialists to prepare or approve plans. 

Requirements for Updating Nutrient Management Plans 

CAFOs are dynamic operations where changes to the operational practices are made 

continually. The site-specific nutrient management plan needs to reflect the current operational 

practices of the CAFO and for that reason will need to be modified and updated. The 

compliance inspector should verify that the nutrient management plan is being updated in 

accordance with permit requirements. At a minimum NPDES permits for CAFOs should require 

that nutrient management plans be reviewed and updated at the time of permit renewal. The 

NPDES Permit Writers’ Guidance Manual and Example Permit for CAFOs includes a 

recommendation that NPDES permits for CAFOs also specify that the nutrient management 

plan be updated (1) when the CAFO makes a substantive change in how it manages 

operations, including the location, method, timing, or frequency of land application, and 

significant changes to crop rotations or yearly cropping patterns, or (2) when a discharge 

occurs in violation of the CAFO’s NPDES permit. 

Special Condition for All CAFOs: Address Minimum Practices 

The nutrient management plan must include BMPs and procedures necessary to implement the 

applicable ELGs for CAFOs. The nutrient management plan must also include, to the extent 

applicable, a set of minimum practices (see 40 CFR 122.42(e)(1)(i–ix). These NPDES nutrient 

management plan minimum practices are as follows: 

•	 Ensure adequate storage of manure, litter, and process wastewater, including 

procedures to ensure proper operation and maintenance of the storage facilities. 

•	 Ensure proper management of mortalities (dead animals) to ensure that they are not 

disposed of in a liquid manure, storm water, or process wastewater storage or 

treatment system that is not specifically designed to treat animal mortalities. 

• Ensure that clean water is diverted, as appropriate, from the production area. 

• Prevent the direct contact of confined animals with waters of the United States. 

•	 Ensure that chemicals and other contaminants handled on-site are not disposed of 

in any manure, litter, process wastewater, or storm water storage or treatment 

system unless the system is specifically designed to treat such chemicals or 

contaminants. 

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Chapter Sixteen Concentrated Animal Feeding Operations 

•	 Identify appropriate site-specific conservation practices to be implemented, including 

as appropriate buffers or equivalent practices, to control runoff of pollutants to 

waters of the United States. 

•	 Identify protocols for appropriate testing of manure, litter, process wastewater, and 

soil. 

•	 Establish protocols to land apply manure, litter, or process wastewater in accordance 

with site-specific nutrient management practices that ensure appropriate agricultural 

utilization of the nutrients in the manure, litter, or process wastewater. 

•	 Identify specific records that will be maintained to document the implementation and 

management of the minimum elements described above. 

The NPDES Permit Writers’ Guidance Manual and Example Permit for CAFOs states that 

permitting authorities are to include these nine minimum practices in NPDES permits as standalone, enforceable special conditions to help ensure these requirements are ultimately met [see 

also CWA§402(a)(1) and (2)]. The NPDES CAFO regulations require that these practices be 

fully implemented by the date specified in the permit, but no later than December 31, 2006. 

Table 16-16 provides recommended permit conditions to achieve each of the minimum 

practices as specified in the NPDES Permit Writers’ Guidance Manual and Example Permit for 

CAFOs. The specific minimum practices incorporated into a permit as special conditions by the 

permit authority may differ from those in Table 16-16, but in all cases the special conditions 

must be in accordance with the minimum practices specified at 40 CFR 122.42(e)(1)(i–ix). 

Table 16-16. NPDES CAFO Permit Minimum Practices 

ENSURE ADEQUATE STORAGE1 CAPACITY 

Develop and implement specific practices and associated structures to ensure adequate storage capacity to 

achieve permit limitations including: 

- Maintain sufficient capacity in liquid manure, wastewater, or storm water storage structures to ensure 

compliance with all permit requirements. 

- Store dry manure in production buildings or in storage facilities or otherwise store it in such a way as to 

prevent polluted runoff. 

- Provide adequate storage capacity to ensure compliance with the nutrient management technical 

standard appr oved by the permi tting authori ty. 

- Ensure proper operation and maintenance of all manure, wastewater, and storm water storage facilities. 

ENSURE PROPER MANAGEMENT OF MORTALITIES 

Handle and dispose of dead animals in a manner that prevents contamination of waters of the United 

States. 

DIVERSION OF CLEAN WATER 

Develop and implement management practices to divert clean water from the production area. Clean 

water includes rain falling on the roofs of facilities, runoff from adjacent land, and other sources. If clean 

water is not diverted from coming into contact with manure or process wastewater, it must be collected in 

accordance with permit requirements. 

PREVENTION OF DIRECT CONTACT OF ANIMALS WITH WATERS OF THE UNITED STATES 

Develop and implement appropriate controls to prevent access of animals to waters of the United States 

in the production area. 

CHEMICAL HANDLING 

Develop and implement controls to prevent the inappropriate introduction of chemicals into the manure, 

wastewater, and storm water storage and handling system. Examples include pesticides, hazardous and 

toxic chemicals, and petroleum products and by-products. 

CONSERVATION PRACTICES TO CONTROL NUTRIENT LOSS 

For land application areas under the control of the CAFO operator, develop and implement practices that 

are sufficient to minimize the discharge of pollutants to waters of the United States. These practices may 

include, but are not limited to, residue management, conservation crop rotation, grassed waterways, strip 

cropping, vegetated buffers, riparian buffers, setbacks, terracing, and diversions. 

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Table 16-16. NPDES CAFO Permit Minimum Practices 

PROTOCOLS FOR MANURE AND SOIL TESTING 

Identify and implement specific manure, wastewater, and soil sample collection and analysis protocols to 

be used in developing and implementing the nutrient management plan. At a minimum the protocol is to 

specify the collection and analysis of manure, litter, and other process wastewaters annually for nutrient 

content, including nitrogen and phosphorus. The protocol is to specify the collection and analysis of soil 

samples for phosphorus content at least once every 5 years for all fields under the control of the CAFO 

operator where manure and wastewater might be applied. In all cases the sampling frequency for both 

manure, litter, and wastewater and soil is to be consistent with the technical standard for nutrient 

management established by the Director. 

PROTOCOLS FOR THE LAND APPLICATION OF MANURE AND PROCESS WASTEWATER 

Develop and implement protocols to apply manure, litter, and process wastewater in accordance with the 

technical standard for nutrient management established by the Director. 

RECORD KEEPING 

Maintain all records necessary to document the development and implementation of the nutrient 

management plan and compliance with the minimum practices defined in the permit. In addition, records 

that document compliance with the effluent limitations specified in the permit must be maintained . 

Source: NPDES Permit Writers’ Guidance Manual and Example Permit for CAFOs, December 2003. 

Storage includes waste ponds and lagoons and other structures such as tanks (above and below ground) and staking facilities (concrete pad, walls, and a roof). 

Duty to Maintain Permit Coverage Until the CAFO Is Properly Closed 

NPDES permit coverage must be maintained until the facility has ceased operation or is no 

longer a CAFO and the permittee has demonstrated to the satisfaction of the permitting 

authority that there is no remaining potential for a discharge of the manure, litter, or process 

wastewater that was generated while the operation was a CAFO, other than agricultural storm 

water from land application areas. 

Once an operation is issued an NPDES permit, that permit remains in place for the entire 

permit term independent of the specific number of animals confined at any one time until the 

permit is modified or terminated in accordance with applicable NPDES regulations. 

Special Condition for Large CAFOs: Meet Manure Transfer Requirements 

NPDES permits for Large CAFOs must include specific requirements concerning the transfer of 

manure, litter, or process wastewater to other persons. The permit must require the operator to 

provide all recipients of manure and wastewater generated by the CAFO with the most current 

manure nutrient analysis. These records are to be maintained for a period of 5 years from the 

date the manure, litter, or process wastewater is transferred. 

NPDES Permit for CAFOs: Monitoring, Reporting, and Record-Keeping Requirements 

This section includes all the record-keeping, monitoring, and reporting requirements for Large 

CAFOs. Table 16-17 is an integrated list of the records required by the NPDES CAFO 

regulation and ELGs for Large CAFOs. In addition, the permitting authority may include recordkeeping requirements beyond those specified in Table 16-17. For Medium and Small CAFOs, 

the regulations require only that the records include the site-specific nutrient management plan 

and any records necessary to document compliance with each NPDES nutrient management 

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plan minimum practice. Records associated with the ELGs for these operations would be 

defined in the permit because the ELGs for these operations are established by the permit 

writer using BPJ. 

Table 16-17. NPDES Large CAFO Permit Record-Keeping Requirements 

Parameter Units Frequency 

Nutrient Management Plan (Note: Required by the NPDES CAFO Regulation – applicable to all CAFOs) 

The CAFO must maintain on-site a current site-specific nutrient 

management plan that reflects existing operational characteristics. 

The operation must also maintain on-site all necessary records to 

document that the plan is being properly implemented with respect 

to manure and wastewater generation, storage and handling, and 

land application. In addition, records are to be maintained to show 

that the development and implementation of the nutrient 

management plan are in accordance with the minimum practices 

defined in 40 CFR 122.42(e). 

N/A Maintain at all times 

Soil and Manure/Wastewater Nutrient Analysis (Note: Required by the CAFO ELGs – applicable to Large 

CAFOs) 

Analysis of manure, litter, and process wastewater to determine 

nitrogen and phosphorus content.1 

Parts per million 

(ppm) 

Pounds/ton 

Conduct initial 

sampling, then at 

least annually 

Analysis of soil in all fields where land application activities are 

conducted to determine phosphorus content.1 

ppm Conduct initial 

sampling, then at 

least once eve ry 5 

years 

Operation and Maintenance (Note: Required by the CAFO ELGs – applicable to Large CAFOs except as 

noted) 

Visual inspection of all water lines. N/A Daily2 

Documentation of depth of manure and process wastewater in all 

liquid impoundments. 

Feet Weekly 

Documentation of all corrective actions taken. N/A As necessary 

Documentation of animal mortality handling practices. N/A As necessary 

Design documentation for all manure, litter, and wastewater storage structures, including the following 

information: 

- Volume for solids accumulation Cubic yards/ Once in the permit


- Design treatment volume gallons term unless revised


- Total design storage volume3 Cubic yards/


- Days of storage capacity gallons


Cubic yards/ 

gallons 

Days 

Documentation of all overflows from all manure and wastewater storage structures, including the following: (Note: 

Required by the NPDES Regulation – applicable to all CAFOs) 

- Date and time of overflow Month/day/year Per event 

- Estimated volume of overflow Total gallons Per event 

- Analysis of overflow (as required by the permitting authority) TBD Per event 

Documentation of manure application equipment inspection. N/A Seasonally 

Land Application (Note: Required by the CAFO ELG – applicable to Large CAFOs) 

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Table 16-17. NPDES Large CAFO Permit Record-Keeping Requirements 

Parameter Units Frequency 

For each application event where manure, litter, or process wastewater is applied, documentation of the following 

by field: 

- Date of application Month/day/year Daily 

- Method of application N/A Daily 

- Weather conditions at the time of application and for 24 hours N/A Daily 

-

prior to and following application 

Total amount of nitrogen and phosphorus applied4 Pounds/acre Daily 

Documentation of the crop and expected yield for each field. Bushel/acre Seasonally 

Documentation of test methods and sampling protocols used to 

sample and analyze manure, litter, wastewater, and soil. 

N/A Once in the permit 

term unless revised 

Documentation of the basis for the application rates used for each 

field where manure, litter, or wastewater is applied. 

N/A Once in the permit 

term unless revised 

Documentation showing the total nitrogen and phosphorus to be 

applied to each field, including nutrients from the application of 

manure, litter, and wastewater and other sources. 

Pounds/acre Once in the permit 

term unless revised 

Manure Transfer (Note: Required by the NPDES CAFO Regulation –applicable to Large CAFOs) 

For all manure transfers the CAFO must maintain the following records: 

- Date of transfer N/A As necessary 

- Name and address of recipient N/A As necessary 

- Approximate amount of manure, litter, or wastewater Tons/gallons As necessary 

transferred 

1


2 Refer to the state nutrient management technical standard for the specific analyses to be used.


Visual inspections should take place daily during the course of normal operations. The completion of such inspection should be documented in a manner appropriate to the operation. Some operations might wish to maintain a daily log. Other 

operations might choose to make a weekly entry, when they update other weekly records, that required daily inspections have 

been completed. 3 Total design volume includes normal precipitation less evaporation on the surface of the structure for the storage period; 

normal runoff from the production area for the storage period; 25-year, 24-hour precipitation on the surface of the structure; 

25-year, 24-hour runoff from the production area; and residual solids. 4 Including quantity/volume of manure, litter, or process wastewater applied and the basis for the rate of phosphorus 

application. 

Monitoring and Reporting 

NPDES permits for CAFOs incorporate monitoring and reporting requirements consistent with 

the minimum reporting requirements at 40 CFR Part 122.41(l). The permit may also include 

monitoring and reporting requirements that address nonroutine activities. For example, 

discharges at a CAFO can occur because of an overflow during a catastrophic storm event 

(which can be an allowable discharge under the terms of the permit) or a leak, breach, overflow, 

or other structural failure of a storage facility due to improper operation, design, or maintenance 

(which would be an unauthorized discharge). Unauthorized discharges can also occur due to 

manure releases related to the improper storage or handling of liquid or solid manure, or 

improper land application. NPDES CAFO permits will require notification (within specific time 

frames) of the permitting authority, specific data collection activities, and a follow-up report 

describing such discharges. The monitoring and reporting requirements must ensure that the 

permittee provides a description; identifies the time and duration of the event, as well as the 

cause(s); and presents an analysis (if required to determine compliance by the permitting 

authority) of the discharge. The NPDES CAFO permit guidance recommends the analysis 

include, at a minimum, total nitrogen, ammonia nitrogen, phosphorus, pH, temperature, 

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Escherichia coli or fecal coliform bacteria, 5-day biochemical oxygen demand (BOD5), and total 

suspended solids. The analysis is to be performed in accordance with approved EPA methods 

for wastewater analysis listed in 40 CFR Part 136. The permitting authority may specify 

additional parameters at its discretion. 

Annual Report 

All NPDES permits for CAFOs will include a requirement for the permittee to submit an annual 

report to the permitting authority with specific information defined in the regulation [40 CFR 

122.42(e)(4)]. The annual reports submitted by permitted operations will yield valuable 

information for the compliance inspectors and should be reviewed before conducting an 

inspection. 

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16. C. CAFO Inspection Overview 

This section provides a general overview of the purpose of AFO/CAFO inspections, the 

authority for EPA to conduct these inspections, and how facilities are selected for inspection. A 

brief summary of the implementation plan for the revised CAFO regulations is also included. In 

addition, this section provides a general overview of the process of a CAFO inspection and the 

safety and bio-security issues that might be encountered. 

Purpose of AFO/CAFO Inspections 

An inspection at an animal feeding operation is typically a compliance evaluation inspection, in 

which the facility is being inspected to determine whether it is complying with the requirements 

of the CWA. Another purpose of an AFO/CAFO inspection is to evaluate whether the 

requirements of any other federal environmental laws are applicable to the facility and, if so, 

whether the facility is in compliance with such requirements. An inspection of an AFO or CAFO 

may be conducted for the following reasons: 

� Compliance inspection at a permitted facility to evaluate the facility’s compliance with 

the requirements of its NPDES permit. 

� Inspection at a nonpermitted AFO to determine whether the facility meets the basic 

definition of a CAFO, whether the facility has caused or is likely to cause water pollution, 

and whether the facility should have an NPDES permit. 

� Routine inspection. 

� To follow up on a citizen tip or complaint. 

� For case development support after a violation has been identified. 

� To determine whether a facility should be designated as a CAFO. 

� For a follow-up inspection to ensure that the permittee has implemented required 

controls or BMPs. 

� Compliance inspection to ensure compliance with settlement requirements. 

EPA Authority for AFO/CAFO Inspections 

EPA has the authority to regulate and inspect CAFOs through statutory requirements 

established in the CWA: 

� 40 CFR 122.23 defines CAFOs as point sources subject to the NPDES permitting 

program. 

� 40 CFR 123.26 establishes procedures and objectives for routine inspections of 

NPDES-permitted facilities by state programs. 

� Section 402 of the CWA states that permittees issued permits for point source 

discharges of pollutants must meet specific discharge limits and operating conditions. 

� Section 308 of the CWA authorizes inspections and monitoring to determine whether 

NPDES permit conditions are being met. 

� Under the CWA, EPA may conduct an inspection wherever there is an existing NPDES 

permit, where a discharge exists or might exist, and where no permit has been issued. 

The CWA established enforcement authorities. EPA retains independent authority to 

take enforcement actions in both authorized and unauthorized states. 

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� Section 309(a) allows EPA to administer administrative compliance orders for persons 

violating the CWA and to set a reasonable schedule for compliance (violation notice). 

� Section 309(g) allows EPA to assess administrative penalties of two classes. 

Administrative actions may preclude other civil action penalties or citizen suits. 

SClass I, with an informal hearing process, can carry penalties of up to $25,000. 

SClass II involves formal administrative procedure hearings with penalties of up to 

$125,000. 

� Sections 309(b) and (d) and 404 provide for injunctive relief and civil penalties of up to 

$25,000 per day for each violation of the act. 

� Section 309(c) provides for criminal penalties of a fine of $2,500 to $25,000 per day, or 

up to 1 year of imprisonment, or both, for negligent violations of the act (for subsequent 

convictions, fines of up to $50,000 per day or 2 years of imprisonment, or both, may be 

called for). 

Selection of Facilities for Inspection 

Although, specific procedures will vary by EPA Region and by authorized state, the basic 

approach is similar. Some facilities are selected for inspection based on “probable cause,” 

which means that the regulatory agency has obtained specific evidence of a possible existing 

violation at a facility. Inspections are conducted in response to citizen complaints about a 

specific facility, emergency situations such as reports of ongoing spills, information about 

specific water quality problems or fish kills, or as a follow-up to prior inspections indicating 

violations at the same facility or at other facilities owned or operated by the same person. 

Facilities are also selected through the Neutral Administrative Inspection Scheme, in which the 

regulatory agency does not have any prior information indicating that there are existing 

violations. These are routine inspections to evaluate compliance. Facilities are selected using 

the Neutral Administrative Inspection Scheme, and priority should be given to facilities that 

meet one or more of the following criteria: 

� Are Large CAFOs 

� Are in priority watersheds impaired by runoff from AFOs 

� Are subject of citizen or government tips and complaints 

� Are in watersheds with high AFO or CAFO density 

� Are near surface waters 

� Have the potential for large amounts of animal waste to reach surface water 

CAFO Permitting and Compliance Strategy 

The EPA CAFO Permitting and Compliance Strategy was developed in the summer of 2003 to 

address the permitting, compliance, and enforcement efforts by EPA (headquarters and 

regions) and states to ensure that the following actions occur: 

� Permit authorities revise their regulations 

� CAFOs are provided with effective compliance assistance support 

� CAFOs are issued NPDES permits and develop nutrient management plans by 

December 2006 

� Inspections and enforcement actions occur when necessary 

The strategy covers the 5-year period beginning with the publication of the final CAFO 

regulations in February 2003. The CAFO Implementation Plan provides for the following: 

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� The use of tailored approaches at the state level that reflect the specific status of their 

existing CAFO program. Encouraging interagency cooperation and coordination by 

partnering with USDA where appropriate. 

� Regions taking leadership in working with their states to develop regional 

implementation plans that reflect both state and federal priorities to ensure a consistent 

national approach. 

� Taking the necessary steps to improve the quality of information in the Permit 

Compliance System concerning CAFO permits. 

� The development of a system that is focused on program progress and addresses 

emerging problems. This part of the strategy will focus on the identification and tracking 

of specific deadlines for permitting authorities to complete necessary program revisions, 

issue permits, and develop compliance assistance programs. 

� Outreach and coordination with stakeholders to provide timely compliance assistance 

information on regulatory requirements. 

� Issuance of guidance to facilitate permit issuance, development and implementation of 

nutrient management plans, and the approval of alternative technologies by permitting 

authorities. 

� The development of measures of success and targeted evaluation tools. 

General Process of an Inspection 

Pre-Inspection Activities 

The primary role of the inspector is to gather information that can be used to evaluate 

compliance with permit conditions, applicable regulations, and other requirements. Inspectors 

should be familiar with the conditions of the specific permit and with all applicable statutes and 

regulations. Prior to conducting a CAFO inspection, the inspector should complete the following 

specific pre-inspection preparation activities: 

� Become familiar with the facility location and its geographic features. 

� Review the conditions of the permit. 

� Review prior inspection notes and issues, along with any previous site entry problems. 

� Review prior compliance problems, enforcement actions, and correspondence. 

� Answer these questions: Does the facility require extra safety requirements? Will 

biohazards be an issue? 

� Determine whether there any potential bio-security issues at the facility. 

To facilitate the CAFO inspection process, a detailed checklist based on the NPDES CAFO 

regulations and CAFO ELGs requirements has been developed. The checklist is useful in 

collecting information associated with the nutrient management plan and the minimum 

practices. It is included in Appendix AA. 

Onsite Activities 

Upon arrival at the facility, the inspector must show credentials as a form of identification to 

gain access. To conduct the inspection, the inspector uses an inspection checklist, a notebook 

for field notes, and a camera to take photographs. The inspectors should ask to see the CAFO 

owner or operator, or the designated representative for the facility. The typical sequence of 

events that occur during the inspection is as follows: 

� Entry interview 

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Chapter Sixteen Concentrated Animal Feeding Operations 

� Record and document review 

� Facility tour 

� Exit interview 

Some portions of the inspection can be completed without the assistance or accompaniment of 

the facility representative. Although most inspections are unannounced, CAFO inspectors 

should be aware that they might have to call the facility prior to the time of inspection to 

announce their arrival because small farm operators might not be able to stop production and 

assist the inspector with the inspection process. In addition, the inspector might need to know 

the facility’s bio-security procedures before the time of inspection. The inspector should be able 

to determine compliance with a permit or the CAFO status of a facility with an unannounced 

inspection. 

Entry Interview 

The purpose of the entry interview is for the inspector to 

� Present credentials authorizing the inspection. 

� Seek consent for an on-site inspection. 

� Inform the facility owner or operator of the scope and purpose of the inspection. 

� Provide a copy of the NPDES regulations or other fact sheets concerning the regulation 

of CAFOs. 

� Ask basic information about the facility. Information and documents that the inspector 

should request include the following: 

S Verification of the name, address, and telephone number of the facility. 

S A determination of who is the authorized representative for the facility. 

S A determination of whether the facility is being leased, along with the names, 

addresses, and telephone numbers of the lessor and lessee. 

S Copies of specific records that might be required by the permit. 

S Questions concerning the history of the facility, including any discharges that 

might have occurred. 

S A determination of conditions as they exist at the time of the inspection. 

� If desired, inform the operator what information, if any, will be available at the conclusion 

of the inspection. 

The inspector should ask the facility owner or operator questions about the management and 

control of wastes from maintenance facilities, releases of chemicals to the environment, bulk 

fuel storage, pesticide usage, and other issues specified in the permit. 

Record and Document Review 

The inspector should also ask to see the records required to be kept by the facility’s permit, the 

specific management plans, and the records to verify that the facility is complying with the 

terms and conditions of its permit. The inspector may ask to see all records or may ask for just 

a random sample to evaluate. 

Typical records that the inspector may ask the facility to produce include the following: 

� Animal inventory records. 

� Records of waste levels in the retention structure. 

� Manure and wastewater application records such as the following: 

SDate(s) of application 

SLocation(s) of applications 

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Chapter Sixteen Concentrated Animal Feeding Operations 

SCrop rotations 

SSoil, manure, and wastewater nutrient testing results 

� NPDES permit for the facility. 

� Lease(s) or rental agreements. 

� “Spreading agreements” if wastes are applied on land not owned or leased by the 

facility. 

� Construction plans or as-built drawings of the facility. 

� Nutrient management plan. 

As needed, the inspector should ask to photocopy documents that will assist in preparing the 

inspection report. These documents may include a site map of the facility, drainage information, 

discharge reports, or other facility documentation. 

Facility Tour 

After reviewing the records and documents, the inspector asks the facility representative to 

accompany him or her on a tour of the facility. The purpose of the site tour is to assess existing 

conditions and confirm that the facility conforms to the description in the permit. During this 

phase of the inspection, the inspector might want to observe the following portions of the facility 

to assess structural integrity, maintenance condition, and storage availability: 

� Solids sedimentation basins 

� Manure and wastewater handling equipment 

� Waste retention structures 

� Catch basins 

� Floor drains 

� Fuel storage areas 

� Depth markers and required liquid levels 

� Maintenance facilities 

� Runoff storage structures 

To document the findings of the inspection, the inspector should photograph or videotape 

aspects of the operation. If the facility is discharging during the course of the inspection or there 

is evidence that the facility has recently discharged, the inspector might also take samples. 

During the course of the facility tour, the inspector might determine that additional records or 

documents need review. The inspector should ask the facility representative as soon as this 

has been determined to facilitate the retrieval of the needed information. 

Exit Interview 

Following the facility tour, the inspector conducts a debriefing or exit interview with the facility 

representative. This phase of the inspection allows both parties to follow up on the inspection or 

to clarify issues that arose during the inspection. If any records or documents were obtained 

during the inspection, the inspector prepares a Receipt for Documents and Samples. The 

inspector also gives the facility the opportunity to claim that some or all of the information 

provided during the inspection is confidential business information (CBI). 

The inspector may relay basic findings of the inspection. If the inspector needs additional 

information from the facility or if another entity will complete the evaluation, the inspector might 

not be able to provide a list of the findings during the inspection. The inspector does not make 

the determinations of compliance or noncompliance of the facility; that determination is made by 

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other enforcement personnel of the regulatory agency. Once the inspector has reviewed all the 

information obtained during the inspection, an inspection report is prepared. The inspection 

report includes the inspection checklist, documentation copied during the inspection, an 

explanation of findings, and supporting photographs. In some cases, the inspector might need 

to contact the facility if additional information is needed or issues require clarification. 

Compliance personnel for the regulatory authority review the inspection report and evaluate 

whether the facility is in noncompliance and what type of follow-up action, if any, is appropriate. 

Copies of the report are sent to the inspected facility. EPA responds to noncompliance in a 

number of different ways, depending on the nature and circumstances of the violation: 

� No follow-up needed 

� Letter notifying the facility of violations or compliance assistance 

� Administrative compliance order 

� Administrative compliance order plus administrative penalty 

� Civil judicial enforcement action (penalties and/or injunctive relief) 

� Criminal enforcement 

CAFO Operational Overview 

This section presents a brief synopsis of several operations that might take place at a CAFO 

and some of the elements to note when conducting an inspection. Additional site-specific 

processes that are beyond the scope of this document might be encountered. When inspecting 

a facility, the following areas are of concern: animal housing, feeding, and maintenance areas; 

manure and process wastewater collection and transport; manure and process wastewater 

storage and treatment; and manure and process wastewater land application. 

Animal Housing, Feeding, and Maintenance Areas 

Housing areas can be indoor facilities with concrete, metal grate, gravel, clay, or packed earth 

flooring; outdoor areas with dirt surfaces; or pastureland or rangeland. Pasture areas are not 

subject to regulation as part of a CAFO except with respect to their use as manure application 

sites. Livestock housing areas are particularly susceptible to runoff and erosion because of the 

concentrated populations of manure-producing animals. Soil compaction in soil-based yards 

(also called dry cow lots, loafing areas, or exercise yards) prevents water infiltration and causes 

ponding and runoff. Runon and runoff controls, such as grading and berms, are important 

components of pollution control and prevention in livestock housing areas. An inspector should 

note whether the animals are treated chemically for pests or if the bedding areas are cleaned 

chemically because of the potential for manure contamination by the pesticides. Bedding 

material, if provided, can consist of peat moss, sawdust, shredded newspaper, straw, or other 

materials. 

Swine housing areas are often enclosed buildings, dirt lots, or outdoor concrete pads. Poultry 

housing areas are usually enclosed buildings. 

Feeding areas inside buildings are often troughs; outside areas typically have a concrete, 

gravel, or packed-earth surface with troughs or a feed bunker. Although a water trough 

increases animal traffic in the immediate area, it is advantageous because it allows the operator 

to restrict access to (fence off) any streams previously used for livestock watering. Poultry 

houses use feeding bins or trays; water is provided continuously or through on-demand 

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systems such as nipple or cup drinkers. 

Animals may spend time in non-pasture areas that are for neither housing nor feeding 

purposes. These areas may be for such activities as milking, shearing, birthing, breeding, or 

sales display. If these areas are not pasture, they are part of the CAFO. The inspector will need 

to observe manure management practices in these areas as well. 

Manure and Process Wastewater Management Systems 

Manure Collection 

Dry manure is usually collected by being pushed, scraped, or scooped up. Slurry manure is 

generally collected by scraper or pumped after the addition of small amounts of water. Liquid 

manure is generally collected by flushing with large amounts of water. For indoor facilities, 

manure may be removed by an automated spraying system, a scraping system, a flushing 

system beneath the metal grates, or manual removal. 

In poultry houses with dry manure systems, the manure that builds up adjacent to the feed and 

water devices forms a cake (crust). The collection and removal of that cake is called cake 

removal or crust-out. Poultry houses usually crust out the manure following each flock. A 

machine called a cruster is often used for this process in poultry houses. Poultry operations with 

liquid manure systems collect the manure in long pits underneath the birds’ cages. Large 

earthmoving equipment is used to collect manure at large cattle feedlots. Beef cattle pens are 

usually cleaned after each set of cattle is marketed. Many enclosed swine operations house the 

hogs on a slotted floor that allows the manure and waste feed to drop through for removal. 

Manure pits capture the manure as it falls from the animals’ containment area. Swine manure 

removal methods include under-floor flush, open-gutter flush, pit recharge, and hosing. Dairy 

facilities remove manure through slotted floors, use gutter cleaners or alley scrapers, or flush 

the alleys with water. Many dairies that remove manure by flushing also recycle this water for 

multiple flushes. Milking areas usually produce manure and process wastewater, which are 

generally channeled into the manure and process wastewater handling and storage system. 

Manure Transport 

The transport of manure is related to the solids content. Dry manure cannot be pumped; liquid 

manure cannot be scraped. Dry manure is usually transported directly to the land application 

site in a box-type manure spreader. Manure spreaders are commonly loaded by tractor bucket 

loaders or elevated conveyor units. Slurried and liquid manure can be pumped or flushed 

through pipes and concrete channels to storage or treatment processes. The pipes can be 

above or below the ground. 

Slurry and liquid manure are often loaded into tank trucks or tractor-drawn tanks. Tankers are 

often loaded by stationary pumps, pumps located on a floating barge, and moveable pumps 

operated by a tractor PTO drive. Liquid manure is often transported by pumping through 

permanent and temporary piping to irrigation devices. 

Manure Storage and Treatment 

In most cases, manure is stored for some period between manure production and manure 

disposal. This storage can be long-term (180 days or more) or short-term. Manure storage is 

necessary where disposal or application immediately after collection and removal is impossible 

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Chapter Sixteen Concentrated Animal Feeding Operations 

or impractical. One such situation is avoiding the application of manure during poor 

meteorological conditions. For example, if manure is applied during the winter months, it is 

more likely that the melting snow and spring rains will wash away most of the nutrients before 

the ground thaws enough to absorb them. Manure is stored in three forms: solid, semisolid, and 

liquid. 

Long-term storage usually consists of liquid or semisolid manure, and the storage vessels 

typically consist of lagoons or tanks made from glass-lined steel, concrete staves, poured 

concrete, or earthen waste storage pits. Manure is typically stored for a period of time, then 

applied to the land. The liquid or semisolid waste may be treated in a lagoon; the methane gas 

produced is reclaimed, and the remaining waste is applied to fields. Manure in lagoons is 

biodegraded by bacteria using aerobic or anaerobic processes. To provide an oxygen supply, 

aerobic lagoons must have aeration equipment or larger surface areas than anaerobic lagoons. 

During an inspection the inspector may encounter manure that is stored in piles in fields or 

pastures, piles on feedlots and in livestock pens, or a watertight manure pit with a concrete- or 

clay-lined bottom. Short-term-storage manure is usually in solid form. Solid-manure storage 

areas sometimes have a grass filter strip to absorb any nutrients from leachate. In some cases, 

solid manure might be composted. Operations that store manure in piles exposed to rainfall in 

fields or pastures are considered to have a liquid manure handling system. Permitting 

authorities may authorize a limited period of temporary field storage of manure of no more than 

15 days that would not result in the facility’s meeting the definition of a liquid manure handling 

system (e.g., where this limited time is needed to allow for contract hauling arrangements). 

Once the manure is stockpiled beyond this temporary period, the uncovered stockpile 

constitutes a liquid manure handling system. The presence of such a liquid manure handling 

system affects the regulatory thresholds for chicken and duck operations. 

Liquid and semisolid dairy wastes are stored using the slurry method or the lagoon method. 

Slurry storage is usually in a pit, slurry storage tank, or earth basin. Waste in lagoons is usually 

diluted with water from flush systems or milking parlor washdown. Solid waste storage facilities, 

both indoor and outdoor, are common at dairies. Swine operations often use manure storage 

basins or single- or multi-stage lagoons. 

Runoff control systems, storage area integrity, and management practices are important to 

note. Proper siting of storage areas helps prevent contamination of drinking water supplies and 

other risks to human and animal health. 

Land Application Activities 

Land application is the most common form of manure use at CAFOs. Solid manure is usually 

spread using a mechanical manure spreader. Liquid manure can be applied by an irrigation 

system or surface applied by truck or tanker. It is sprayed on the surface (and, in some cases, 

later incorporated into the soil) or injected into the soil. Swine operations commonly use manure 

spreaders for solids or traveling irrigators, permanent irrigation systems, or portable sprinklers 

for liquids. 

The CAFO is to conduct land application of manure and process wastewater in accordance with 

the applicable CAFO effluent limitations land application BMPs, the site-specific Nutrient 

Management Plan, the nutrient management technical standard established by the permitting 

authority, and the NPDES CAFO permit minimum practices. 

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CAFO Inspection Sampling Procedures 

Rather than determining compliance with permit limitations for specific pollution parameters, 

CAFO sampling is focused on documenting evidence of a nonauthorized discharge to waters of 

the United States. Inspectors might not know whether they will be able to collect samples prior 

to arriving at the site but should be prepared to do so. In addition, if there is no discharge at the 

time of the inspection, inspectors might wish to identify and document likely pathways that a 

discharge would follow and the name and location of the receiving waters if such a discharge 

event should occur in the future. 

Preparation for sampling is often based on a sampling plan. The plan is usually developed by 

the inspector, with input from laboratory personnel and legal counsel as appropriate. A 

sampling plan includes the objectives of the sample, data needs, parameters to be sampled, 

methods, volumes and holding times of samples, documentation and transport, and quality 

control procedures. The remainder of this section covers the various elements typical of 

sampling plans. 

Parameters and Types of Samples at CAFOs 

Inspectors must know before arriving at a CAFO what parameters they intend to sample to 

support a determination that an illegal discharge has occurred. This decision is generally made 

with the input of the EPA legal counsel who would be responsible for managing any 

enforcement action against the facility. Typical parameters sampled at CAFOs are those which 

readily show an effect on water quality by the discharge. These might include Biochemical 

Oxygen Demand (BOD), fecal or total coliform bacteria, specific conductance, and ammonia 

nitrogen. Many other parameters, however, may appropriately be sampled to document such 

discharges. Sampling of any one or a combination of these parameters can aid the inspector in 

documenting an illegal discharge. 

Because discharges from CAFOs are likely to be nonroutine and transitory, grab sampling is 

usually the most appropriate sampling technique. Grab samples are individual samples 

collected over a period of time (not exceeding 15 minutes). They represent conditions at the 

time the sample is collected, and they provide information about instantaneous concentrations 

of pollutants at that specific time. The sample volume needed depends on the types and 

number of analyses to be performed. 

Some parameters may be sampled only by grab sampling, but others may be sampled by either 

grab or composite sampling. Parameters not amenable to compositing include pH, temperature, 

dissolved oxygen, chlorine, purgeable organics, oil and grease, coliform bacteria, and others 

specified in 40 CFR Part 136. Volatile organics, sulfides, phenols, and phosphorus samples can 

be composited but require special handling procedures. BOD and ammonia nitrogen can be 

sampled by using either grab or composite techniques; if composite sampling is used, appropriate 

preservation must be provided during and after the sampling period. 

Sample Volume 

The volume of samples collected depends on the types and number of analyses needed, as 

reflected in the parameters to be measured. The volume of the sample obtained should be 

sufficient for all the required analyses plus an additional amount to provide for any split samples or 

repeat analyses. The laboratory receiving the sample should be consulted for any specific volume 

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required. Specific recommended minimum sample volumes for different pollutant parameters are 

provided in EPA's Methods for Chemical Analysis of Water and Wastes (USEPA 1979) and 

Handbook for Sampling and Sample Preservation of Water and Wastewater (USEPA 1982), and 

in the current EPA approved edition of Standard Methods for the Examination of Water and

Wastewater (American Public Health Association), American Water Works Association, and 

Water Environment Federation. 

Data Handling and Reporting 

Verified analytical results are normally entered into a laboratory data management system of 

some type. The system should contain the sampling data, including sampling time and exact 

location, dates and times, names of analysts, analytical methods or techniques used, and 

analytical results. Data are then reported to the inspector for inclusion in the compliance report. 

Detailed information on laboratory procedures and quality assurance can be found in Chapter 

Seven of this manual. 

Safety Issues and Bio-Security at CAFOs 

Inspector Heath and Safety 

Very few diseases in animals are of concern to humans. However, persons with low immunity can 

contract a specific respiratory illness from poultry called histoplasmosia. In addition, CAFOs might 

store pesticides in both concentrated and dilute form. Inspectors should never enter an area 

where pesticides are being applied. Before entering an area where pesticides have been applied, 

the inspector should be familiar with the pesticide signs, and should know the type of pesticide 

applied, the time and date of application, and whether the area is safe to enter. 

The other major hazards at CAFOs include toxic gases, drowning, electrocution, and hazards 

associated with the equipment used for handling, transporting, and applying manure from CAFOs. 

During an inspection, inspectors must be aware of these potential hazards and seek to avoid the 

dangers they pose. 

Confined spaces at CAFOs, as at other types of facilities, present a safety risk to inspectors. 

Gases such as hydrogen sulfide, carbon dioxide, ammonia, and methane are present in every 

manure pile, and if not properly ventilated, can reach concentrations dangerous to humans. 

Covered or enclosed tank facilities present the greatest danger, especially when manure is being 

agitated or pumped out of the structures. Silos and silage bunkers also represent a confinedspace hazard. CAFO inspectors should ensure that facilities are properly ventilated before 

entering to conduct an inspection. 

Drowning is a possibility where semisolid, slurry, and liquid manures are stored. Manure usually 

forms a surface crust. The thickness of the crust depends on the moisture content and 

consistency of the manure. However, under no conditions is the crust solid enough to support a 

human being. Inspectors should never venture out onto any crusted surfaces during an 

inspection. 

Some owners or operators use tractors to power pumps when transferring waste out of storage 

lagoons. The power sources (takeoffs) present both electrical hazards and physical hazards for 

inspectors wearing loose-fitting clothing. 

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Facilities being washed present an electrocution hazard to the inspector. Wash water might 

conduct electricity from wiring, connections, or equipment to persons in contact with that water. 

Inspectors are advised to stay out of facilities during washdown. 

Equipment used for handling, transporting, and applying manure can be hazardous to the 

operator and to others close by. The operator’s manual for the equipment should document the 

potential hazards for that equipment. Common hazards include getting clothing or limbs caught in 

moving equipment parts; injury from escaping hydraulic fluid; and slippage of tractors, loaders, 

and spreaders. Inspectors should exercise appropriate caution (e.g., but not wearing loose-fitting 

clothing) around any machinery encountered during an inspection. Occupational Safety and 

Health Administration (OSHA) regulations make the private employer responsible for the safety of 

its employees, so the regulatory agency (EPA or the state) might be responsible for the 

inspector’s safety during a CAFO inspection. 

Animal Safety and Bio-Security Issues 

The CAFO inspector should be familiar with all safety obligations and practices regarding basic 

inspections, including regional and state policies or requirements. In addition to the basic health 

and safety risks associated with inspecting facilities, CAFO inspectors have the added 

responsibility to avoid transporting livestock diseases between facilities. Many large livestock 

facilities give the animals medication to prevent diseases and might also disperse hormones. 

Livestock animals are susceptible to diseases from other facilities, and human carriers are a risk 

to livestock operations. Many facilities are concerned about bio-security because of the recent 

outbreaks of foot-and-mouth disease and mad cow disease. Without the proper precautions, 

inspectors might transport diseases between facilities by wearing contaminated clothing or using 

contaminated equipment. The current EPA bio-security policy is provided as Appendix BB. 

Most swine facilities do not allow any person who has been to another swine operation within the 

past 72 hours to access their facility. In addition, many swine operations do not allow access to 

anyone who has visited another livestock operation within the past 24 hours. Inspectors must be 

aware of the specific facility’s bio-security requirements and plan multiple inspections accordingly. 

The inspector might need to call in advance so that the bio-security measures are known before 

the inspection and the information is accessible along with other pre-inspection information. 

To minimize the risk that visitors will carry diseases or infections into livestock facilities, livestock 

owners or operators might ask visitors to abide by their specific bio-security measures. USDA’s 

Animal and Plant Health Inspection Service and the University of Wisconsin recommend the 

following bio-security precautions when visiting farms: 

� Stay off farms if you have been in a foot-and-mouth disease-infected nation within 1 week. 

If this is not possible, wear clothing that has been laundered or dry-cleaned since leaving 

the infected nation. 

� For visitors who have been in contact with livestock or have been on animal farms within 

the past 48 hours, wear clothing and outer garments that were not worn at that time or 

have been laundered since the previous contact. 

� Wear disposable plastic boots or clean rubber boots. Rubber boots must be thoroughly 

cleaned and disinfected before entering and upon leaving the facility. Disposable boots 

must be new before entering the facility and thrown away upon leaving the facility. 

� Carry disposable boots or a disinfectant in your vehicle, as well as a supply of disposable 

face masks. Before you enter areas where animals are kept, remove manure and soil 

from your shoes or boots and disinfect them, or put on disposable boots. 

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� Wash clothing and footwear using approved disinfectant after contact with livestock or 

poultry. 

� Keep a supply of clean or disposable protective clothing in your vehicle. Do not wear this 

clothing at more than one farm without laundering. If you use disposables, throw them 

away after wearing them at one farm. 

� Park away from areas where your vehicle might come in contact with animal waste or 

runoff. 

� Meet the livestock owner or operator away from production areas. 

� Stay away from farm animals or wear a face mask when you are near them. 

� Heed warning signs asking visitors to stay out of buildings where animals are housed. 

� Leave all food in your vehicle. 

� Clean your nostrils and fingernails and wash your hair thoroughly. 

� Dispose of clothing, shoes, equipment, cameras, and other items that are difficult or 

impossible to disinfect. 

� Do not wear items, such as jewelry, watches, glasses, or hairpieces, that cannot be 

disinfected when working around animals. 

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16. D. Multimedia Concerns 

Multimedia Concerns 

This section is intended as a cursory guide for CAFO inspectors who become involved in 

multimedia environmental compliance inspections. 

Multimedia Inspections and Multimedia Screening 

Multimedia compliance investigations are intended to determine a facility’s status of compliance 

with applicable laws, regulations, and permits in more than one medium. CAFO inspectors 

participating in multimedia inspections may refer to the National Enforcement Investigations 

Center’s Multimedia Investigation Manual (NEIC’s____) for further guidance. 

Multimedia Concerns at CAFOs 

CAFOs regulated under the NPDES program might be also subject to the requirements of other 

regulatory programs. The direct relationship of these requirements to CAFOs is hard to determine 

without understanding the other common areas of concern. Multimedia concerns related to 

CAFOs fall into the following areas. 

Pesticides 

If a CAFO grows crops, improper application of pesticides to agricultural fields could be in 

violation of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA). The facility should 

have in its records the registration numbers of the pesticides and any information relating to their 

application. Pesticide applicators must also hold appropriate licenses for application. 

Sources of Drinking Water 

A CAFO that has a discharge could be contaminating the drinking water of the surrounding area if 

the drinking water source is a well. The facility should have its water sampled and analyzed for 

contaminants, and the results should be reported to the state or EPA. This is discussed more 

thoroughly in the following section, Other Regulatory Requirements. 

Other Regulatory Requirements 

Coastal Zone Act Reauthorization Amendments (CZARA) of 1990 

In reauthorizating the Coastal Zone Management Act in 1990, Congress identified nonpoint 

source pollution as a major factor in the continuing degradation of coastal waters. Congress also 

recognized that effective solutions to nonpoint source pollution could be implemented at the state 

and local levels. Therefore, in the Coastal Zone Act Reauthorization Amendments of 1990 

(CZARA), Congress added Section 6217, which calls on states with federally approved coastal 

zone management programs to develop and implement coastal nonpoint source pollution control 

programs. The Section 6217 program is administered at the federal level jointly by EPA and the 

National Oceanic and Atmospheric Administration (NOAA). 

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Section 6217 (g) of CZARA called for EPA, in consultation with other agencies, to develop 

guidance on “management measures” for sources of nonpoint source pollution in coastal waters. 

Under Section 6217 of CZARA, EPA is responsible for developing technical guidance to assist 

states in designing coastal nonpoint source pollution control programs. On January 10, 1993, EPA 

issued its Guidance Specifying Management Measures for Sources of Nonpoint Pollution in 

Coastal Waters, which addresses five major source categories of nonpoint pollution: 

� Urban runoff 

� Agriculture runoff 

� Forestry runoff 

� Marinas and recreational boating 

� Hydromodification 

The guidelines for the agriculture nonpoint source category specifically include management 

measures for “confined animal facilities.” The guidance also specifies management measures for 

erosion and sediment control, nutrient management on cropland, and grazing. These three 

management measures apply to facilities with livestock even if they are not confined animal 

facilities as defined by CZARA. However, they do not apply to CAFOs under the NPDES program. 

This section explains which feedlots are subject to the confined animal facility requirements of 

CZARA and discusses these requirements in more detail. It also briefly explains the nutrient 

management measures, which may be implemented by confined animal facilities. 

CZARA Requirements versus CWA Requirements with Respect to Confined Animal Facilities 

The CZARA guidance document has thresholds for identifying large and small confined animal 

facilities that are lower than those established in the NPDES CAFO regulations. Thus, in coastal 

states the CZARA management measures potentially apply to a greater number of small facilities 

than the NPDES regulations. Despite the fact that both the CZARA management measures for 

confined animal facilities and the NPDES regulations for CAFOs address similar operations, these 

programs do not overlap or conflict with each other. EPA’s CZARA guidance states that any 

facility with an NPDES permit for CAFOs is exempt from CZARA management measures. CZARA 

applies to nonpoint source dischargers. Any CAFO, as defined by 40 CFR Part 122, that has an 

NPDES permit is a point source discharger and thus not subject to CZARA. Similarly, if an AFO 

subject to CZARA management measures later becomes a CAFO (by definition or designation), 

that facility is no longer subject to the CZARA management measures. This means that an AFO 

will never be subject to an NPDES permit and CZARA at the same time. 

The Safe Drinking Water Act 

The following four programs established by the Safe Drinking Water Act (SDWA) might apply to 

select feedlots. The Underground Injection Control Program (UIC) helps protect underground 

sources of drinking water by controlling the pollutants disposed of in injection wells. Injection wells 

that accept feedlot drainage are classified as agricultural drainage wells, one of the many types of 

Class V wells. Currently, all Class V wells are authorized by rule and are subject to the inventory 

requirements at 40 CFR Part 144, but not to the technical requirements. Class V wells, however, 

are subject to a performance standard that prohibits movement of contaminants into an 

underground source of drinking water if the contaminants could cause a violation of a drinking 

water standard or otherwise adversely affect human health. Because well injection of feedlot 

waste and runoff is very uncommon, the UIC program requirements apply to very few feedlots. 

The Sole Source Aquifer Program includes development of a comprehensive management plan 

requiring identification of existing and potential point and nonpoint sources of groundwater 

degradation, an assessment of the relationship between activities on the land surface and 

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Chapter Sixteen Concentrated Animal Feeding Operations 

groundwater quality, and development of management practices to be implemented in the critical 

protection area. If identified as a source of groundwater degradation, a feedlot located above a 

sole source aquifer could be subject to additional management practice requirements. In a sole 

source aquifer area, no federal financial assistance may be used for projects that could 

contaminate the aquifer and create a significant public health hazard. For feedlots above a sole 

source aquifer, permitting authorities should work with USDA-NRCS (Natural Resources 

Conservation Service) and USDA-CFSA (Conservation Farm Service Agency) to determine 

applicable waste retention requirements for facilities that use federal cost-share funds. 

The State Wellhead Protection Areas Program requires each state to adopt a program to protect 

wellhead areas from contaminants that might adversely affect human health. States determine the 

boundaries of their wellhead protection area. A feedlot within a designated wellhead protection 

area identified as a source of contaminants adversely affecting human health could be subject to 

additional discharge limitations or management practices. 

The Surface Water Treatment Rule establishes criteria that public water systems must meet to 

avoid filtration. These criteria include identification of activities that might have an adverse effect 

on the quality of water sources and demonstration, through ownership or written agreements with 

landowners, that all sources of human activities with the potential for such adverse impacts can be 

controlled. Feedlots near public water systems may be asked to enter into such a written 

agreement. 

SDWA also provides EPA with emergency powers to take action when a contaminant enters or is 

likely to enter a public water system or an underground source of drinking water and could 

present an imminent and substantial endangerment to the public health. An action in this case 

may be either an order issued to or a civil action taken against those responsible for the 

contamination. 

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16. E. References 

Guidance 

National Enforcement Investigations Center (NEIC). March 1992. Mulitmedia Investigation 

Manual. 

U.S. Department of Agriculture - Natural Resources Conservation Service. December 2000. 

Comprehensive Nutrient Management Planning Technical Guidance. 

U. S. Department of Agriculture - Natural Resources Conservation Service. Agricultural Waste 

Management Field Handbook 

U. S. Department of Agriculture - Natural Resources Conservation Service. Field Office Technical 

Guide (State Specific) 

U.S. Department of Agriculture - U.S. Environmental Protection Agency. March 1999. Unified 

National Strategy for Animal Feeding Operations. 

U.S. Environmental Protection Agency - Office of Water. December 2003. NPDES Permit Writers’ 

Guidance Manual and Example NPDES Permit for Concentrated Animal Feeding 

Operations. EPA 833-B-04-001. 

U.S. Environmental Protection Agency - Office of Water. November 2003. Producers’ Compliance 

Guide for CAFOs. EPA 821-R-03-010. 

U.S. Environmental Protection Agency - Office of Enforcement and Compliance. August 2003. 

Clean Water Act Enforcement Strategy Update for Concentrated Animal Feeding Operations. 

University of Wisconsin-Madison. 2001. Biosecurity guidelines for UW-Madison Dairy and 

Livestock Facilities. Available at: www.wisc.edu/animalsci/facilities/biosecurity.pdf. Accessed 

May 2001. 

Statutes and Regulations 

Clean Water Act. Section 301. Effluent Limitations (33 USC 1311)


Clean Water Act. Section 304. Information and Guidelines (33 USC 1314)


Clean Water Act. Section 306. National Standards of Performance (33 USC 1316)


Clean Water Act. Section 307. Toxic and Pretreatment Standards (33 USC 1317)


Clean Water Act. Section 402. National Pollutant Discharge Elimination System (33 USC 1342)


40 CFR Part 122. EPA Administered Permit Programs: The National Pollutant Discharge


Elimination System 

40 CRF Part 123. State Program Requirements 

40 CFR Part 412. Concentrated Animal Feeding Operations (CAFO) Point Source Category 

Federal Register Notice. FR 7176. February 12, 2003. National Pollutant Discharge Elimination 

System Permit Regulation and Effluent Limitation Guidelines and Standards for Concentrated 

Animal Feeding Operations (CAFOs); Final Rule. 

Training 

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Chapter Sixteen Concentrated Animal Feeding Operations 

Livestock and Poultry Environmental Stewardship Curriculum, CAFO Fact Sheets, and 

Educational Materials. (http://lpes.org/) 

State Nutrient Management Courses 

U.S. Department of Agriculture - Natural Resources Conservation Service. February 2001. 

Nutrient Management Version 1.1. (Self-Study CD-ROM course on nutrient management) 

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Appendix BB


NPDES CAFO Permit and NMP Review Checklist


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17. APPEARING AS A WITNESS 

Contents Page 

A. Introduction ......................................................... 17-1


B. Pre-Testimony ....................................................... 17-1


Preparation ....................................................... 17-1


Legal Etiquette, Appearance, and Demeanor ............................. 17-2


C.	 Giving Testimony ..................................................... 17-3


General Considerations .............................................. 17-3


Pre-Trial Testimony: Depositions ....................................... 17-4


Trial Testimony: Direct Examination .................................... 17-4


Trial Testimony: Cross-Examination .................................... 17-5


D. Special Considerations ................................................ 17-6


Technical Testimony ................................................ 17-6


Expert Witness .................................................... 17-7


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17-ii 
17. A. INTRODUCTION 

Introduction 

Inspectors perform a vital role throughout the regulatory enforcement process. An enforcement 

action begins with the inspector collecting and documenting on-site evidence. This chapter

deals with the inspector’s responsibility to present evidence in formal legal proceedings. 

Due in large part to the high quality work that inspectors produce, the EPA files strong cases.

Nearly all of the cases that the EPA files result in out of court settlements that will not usually

require the inspector’s testimony. Of the cases that do not settle, a substantial majority of the 

legal action takes place in the EPA administrative law system rather than the federal courts. 

Major differences distinguish administrative from federal courts, such as rapid processing and 

the absence of a jury. Despite the differences between these two legal proceedings, the 

inspector’s role as a witness will remain predominantly the same. 

Under most circumstances an inspector will be called as a “fact witness.” A fact witness 

describes personal knowledge obtained through one of the five senses. Throughout the

enforcement process, everything an inspector hears, sees, samples, or records may become 

evidence about which he or she may be questioned. Many cases are tried years after the field

and laboratory activities have been conducted. Thus, the inspection report and field notebook

should be sufficiently detailed and legible to allow the inspector to reconstruct the inspection “on 

the record.” 

17. B. PRE-TESTIMONY MATTERS 

Preparation 

Preparation is the key to giving accurate and effective testimony. Successful preparation 

requires a substantial time commitment. Attorneys and witnesses work together in two types of

preparation: factual and procedural. 

The inspector will complete most of the factual preparation by writing the inspection report as

described in this manual. The witness and the attorney will meet to discuss details from this 

report. Other items should also be discussed, including the field notebook, photographs, and 

the inspector’s qualifications. Qualifications include the inspector’s educational degree,

professional accreditations, inspector training as required by Executive Order 3500.1, and on 

the job experience. The inspector’s qualifications must never be exaggerated. Even a small 

exaggeration may cause the inspector’s testimony to lack credibility. 

The inspector should inform the EPA attorney of any problems, questions, or concerns in the 

case as early as possible. An example of one such concern are the confidential business 

information (CBI) procedures to which the inspectors must adhere. CBI procedures that bind 

the inspector during an inspection also have implications for the legal proceeding. 

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Chapter Seventeen Appearing as a Witness 

The attorney has the primary responsibility over procedural preparation, which is assembling

the facts for presentation in a formal legal setting. In addition to one-on-one preparation, the

inspector and attorney may consider whether the inspector should participate in a mock trial or 

visit a hearing to observe other witnesses testifying. During one-on-one preparation, the

attorney and the inspector should discuss: 

· Times and dates that require the inspector’s attendance.


· Legal etiquette and procedure.


· General legal framework of the case.


· Significance of the inspector’s testimony in this framework.


· Probable areas of questioning, including direct and cross-examination.


· What documents, if any, will be used by the inspector during testimony.


Before giving testimony, the witness should again review inspection documents, his or her 

professional qualifications, and information provided by the attorney. This review should be 

repeated until the witness has become thoroughly familiar with the details of the testimony and 

how it will be presented. 

An inspector may be subpoenaed to give testimony by the opposing attorney or even by the 

EPA attorney. A subpoena is a Court Order to appear, and it is a mandatory legal process that 

does not suggest dishonesty or bias, an inspector should not be offended if he or she receives 

a subpoena. If an inspector is subpoenaed, the appropriate EPA attorney should be contacted 

immediately. Time will be short to prepare to give testimony or to fight the subpoena. 

Legal Etiquette, Appearance, and Demeanor 

A witness’s conduct should reflect the solemn nature of the administrative or judicial 

proceeding. To act in accordance with required legal etiquette, a witness should: 

· Dress conservatively following the advice of the EPA attorney.


· Arrive early and be available immediately when called to testify.


· Address the judge as “your honor.”


· Treat an administrative proceeding as seriously as a federal court trial.


A witness should not: 

· Whisper, talk, or make jokes in the hearing room. If necessary, a note may be passed.


· Bring magazines or newspapers into the hearing room.


· Discuss the case within the hearing of anyone but the EPA attorney.


Posture, speech, and appearance influence a witness’s credibility. An inspector is a 

professional who collects, preserves, and presents evidence. In order to convey a professional 

demeanor, an inspector should: 

· Firmly but politely speak to the opposing attorney. 

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· Appear natural and animated, but not impatient or overly anxious to testify.


· Minimize nervous tendencies.


· Remain calm.


· Refrain from showing hostility toward the opposing counsel, the specific defendant, or


the regulated community as a whole. 

17. C. GIVING TESTIMONY 

General Considerations 

A witness gives testimony to create a legal record of the facts. Before giving testimony, a 

witness will take an oath that he or she will tell the truth. Failure to tell the truth is actionable as 

perjury. A witness may give pre-trial testimony in a deposition or trial testimony under direct 

examination or cross-examination. 

To give effective testimony, a witness should 1) listen, 2) pause, and then 3) answer if possible. 

Listening carefully to the wording and implications of an attorney’s questions requires significant

effort. If the witness does not understand the question, he or she should stop to think, have the 

question repeated, or have it explained. 

A witness should pause before answering. Pausing provides time to think, makes the response

more considered and deliberate, and gives the attorney time to object if necessary. When 

pausing, the witness should not use words such as “um.” As the court reporter documents 

everything spoken, these words may incorrectly indicate hesitation when later read from the 

written record. 

When answering, a witness should: 

· Reply with a “Yes” or “No” when appropriate.


· Speak in complete sentences when answering more fully.


· Be as descriptive as possible in referring to exhibits or photographs. For example, “In


the upper right hand corner, we see” rather than “Here, we see.” 

· Stop immediately if the judge or either of the lawyers begins to speak. 

· Avoid memorizing answers to potential questions. 

· Never manipulate an answer to benefit one side. 

A witness’s credibility is defined as the degree of confidence that the judge or jury gives to the 

witness’s testimony. The opposing attorney will try to “impeach” a witness’s credibility by 

suggesting the following: bias, inaccuracy, inability to recollect, false testimony, or even 

corruption. To lessen the opposing attorney’s ability to discredit the witness’s testimony, the 

witness should: 

· Always tell the truth.


· Answer only the question asked, without volunteering information. 


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· Explain answers fully. If the opposing attorney does not allow a full explanation, the 

EPA attorney can choose to bring this out later in the trial during a redirect examination. 

· Answer within the limits of his or her knowledge of the facts. 

· Willingly say, “I don’t know,” or “I don’t remember,” if that is the case. 

· Correct any mistakes in his or her previous testimony as soon as a mistake is 

recognized. 

· Carefully identify estimates. 

· Never exaggerate. 

· Never guess. 

· Avoid absolutes, like “I always...” or “I never...”. 

Pre-Trail Testimony: Depositions 

In a federal court trial, an inspector may be subpoenaed to give a deposition, which is pre-trial

questioning under oath by the opposing attorney. Depositions are not often conducted in 

administrative hearings. Participants include the attorneys for each side, a court reporter, and

the witness. Most importantly, a judge will have no role in deposition testimony unless one side 

abuses the process and the other side seeks relief. 

The attorney may use a deposition to “discover” information or to contradict a witness’s 

testimony at trial. In most cases, deposition testimony cannot be used as a substitute for live 

testimony. To properly prepare for and give deposition testimony, an inspector should: 

· Read the notice of deposition.


· Consult with the EPA attorney to determine what documentation will be necessary.


· Realize that he or she is not “off the record” until completely away from the deposition


setting. 

· Request a break whenever needed. 

After the deposition is transcribed, the witness can read it to make any appropriate corrections. 

Small errors always exist, but some transcripts contain absolute disasters. Errors in technical 

details, such as numbers and units, can have a large impact. A witness should never waive the 

right to read and sign the finished deposition. 

Trial Testimony: Direct Examination 

The EPA attorney will question the inspector during direct examination in order to put the facts 

known by the inspector on the record in a well-organized and logical manner. 

A good direct examination leads the inspector through his or her entire testimony using a

dialogue of short questions and answers. The attorney is responsible for asking appropriate

questions in the correct order and ensuring that nothing important is omitted. The witness is 

only responsible for answering the attorney’s questions completely and truthfully. 

In order to avoid legally objectionable or tactically unwise remarks, the witness should trust the 

EPA attorney’s final decision concerning what questions to ask at the hearing. If the inspector

has forgotten a fact, the attorney may refresh the inspector’s recollection with documents, such 

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17-5

as the inspection report. The EPA attorney might also ask, “Is there anything else?” to signal to

the inspector that something has been left out. 

Redirect examination is a round of questioning only concerning issues raised during crossexamination. Redirect will give the EPA attorney an opportunity to reduce any damage done to

the credibility of the inspector’s testimony during cross-examination. 

Trial Testimony: Cross-Examination

Cross-examination, questioning by the opposing attorney, will subject the witness to a more

difficult interrogation than direct examination. The opposing attorney will try to cast doubt on

the credibility of the witness’s testimony. Many witnesses fear counsel techniques such as

leading questioning and twisting interpretation. The EPA attorney will try to protect the witness

from abusive uses of these techniques. 

The witness can also protect the credibility of his or her testimony by 1) answering briefly, 2)

answering accurately, and 3) remaining calm. Answering briefly consists of being responsive to

the question, but not volunteering extra information. Avoid rambling, even if the opposing

counsel remains silent.

In addition to the recommendations in the section “Giving Testimony,” answering accurately

requires listening carefully for the following types of questions:

· Questions that inaccurately paraphrase the witness’s previous testimony. The error

should be corrected or the previous answer restated in full.

· Hypothetical questions or questions requiring a “Yes” or “No” answer. If these questions

may compel a misleading or incomplete answer, the witness should explain the answer

fully at that time or later during redirect if cut short by the opposing attorney.

· Two-part questions. The inspector should ask the attorney to restate the question or

carefully answer each part separately.

Even when a witness’s truthfulness, occupational competence, or professional conclusions are

challenged, he or she should remain calm. An angry, sarcastic, or argumentative answer is

inconsistent with the inspector’s role as a neutral government witness. Remaining calm will add

credibility to the inspector’s testimony. Becoming familiar with the process, including

participation in a mock trial can help reduce the stress of cross-examination. 
Chapter Seventeen Appearing as a Witness

17-6

17. D. SPECIAL CONSIDERATIONS

Technical Testimony

An inspector frequently presents technical facts. The inspector must balance the need to be

technically accurate with the need to reduce scientific issues to simple terms and concepts. 

The first barrier to communicating technical information is the use of jargon. The inspector

should prepare carefully in order to simplify his or her language without over-simplifying the

scientific concepts. The inspector should:

· Speak as clearly as possible. The court reporter may have difficulty recognizing

numbers and unfamiliar technical terms.

· Provide a glossary of technical terms, including acronyms, to the reporter.

· Review the meaning of frequently used acronyms, such as OECA meaning the Office of

Enforcement and Compliance Assurance.

Even after the witness explains the definitions of the technical language, the underlying

concepts may still be difficult to understand. To teach the necessary technical concepts, the

inspector and attorney should consider using:

· Short answers in a logical progression of questions.

· Slow enough questioning to avoid information overload.

· Diagrams and pictures.

· Appropriate analogies.

Finally, the inspector should not try to outdo the opposing attorney on technical issues. Not

only may the inspector confuse the judge or jury in the process, but also a well-prepared

attorney will have thoroughly studied the subject before trial and will have a large advantage in

legal debate. To successfully answer questions regarding technical information, an inspector

should:

· Examine questions and answers for assumptions and exceptions.

· Look for inaccurate paraphrasing of the inspector’s previous testimony.

· Always identify estimates.

· Use references in cases of complicated details. For example, the inspection report

could be consulted before testifying about the characteristics of a specific sample.
Chapter Seventeen Appearing as a Witness

17-7

Expert Witness

Expert witnesses give opinions on the record. An expert witness has technical or other

specialized knowledge that helps the judge or jury better understand the case. In order to

prove a witness’s expertise, his or her qualifications are introduced by one side and crossexamined by the other side. Only those opinions that the witness is qualified to express by

virtue of special training or expertise will be admissible. 

An expert is not necessarily someone from outside the agency with particular academic or

research credentials. Due to the inspector’s professional expertise, he or she might be asked

specific questions that require an opinion or might even be called as an expert witness. The

EPA attorney will object if the opposing counsel asks inappropriate questions and will decide

whether to use the inspector as an expert witness. The inspector should stay carefully within

his or her limits of expertise and knowledge whenever asked a question requiring an opinion.
18. GLOSSARY 

24-hour composite sample: Either a flow or time-proportioned mixture of a certain number of 

discreet aliquots over a period of 24 hours. 

Activated Sludge: A process for removing organic matter from sewage by saturating it with air 

and adding biologically active sludge. 

Acute: A stimulus severe enough to rapidly induce an effect; in aquatic toxicity tests, an effect 

observed in 96 hours or less is typically considered acute. When referring to aquatic toxicology 

or human health, an acute effect is not always measured in terms of lethality. 

Adsorption: An advanced way of treating wastes in which activated carbon removes organic 

matter from wastewater. 

Aeration Tank: A chamber for injecting air into water. 

Aerobic: A life or process that occurs in the presence of oxygen. 

Algae: Plants which grow in sunlit waters and release oxygen into the water. They are a food 

for fish and small aquatic animals. 

Aliquot: A discrete sample used for analysis. 

Alternative Systems: A system utilized in lieu of a conventional system. 

Anaerobic: A life or process that occurs in the absence of oxygen. 

Antidegradation: Policies which ensure protection of water quality for a particular water body 

where the water quality exceeds levels necessary to protect fish and wildlife propagation and 

recreation on and in the water. This also includes special protection of waters designated as 

outstanding natural resource waters. Antidegradation plans are adopted by each State to 

minimize adverse effects on water. 

Authorized Program or Authorized State: A State, Territorial, Tribal, or interstate NPDES 

program which has been approved or authorized by EPA under 40 CFR Part 123. 

Average monthly discharge limitation: The highest allowable average of daily discharges 

over a calendar month, calculated as the sum of all daily discharges measured during that 

month divided by the number of days on which monitoring was performed (except in the case of 

fecal coliform). 

Average weekly discharge limitation: The highest allowable average of daily discharges over 

a calendar week, calculated as the sum of all daily discharges measured during a calendar 

week divided by the number of daily discharges measured during that week. 

Bacteria: Small living organisms which often consume the organic constituents of sewage. 

18-1

Glossary 

Beneficial Uses: The uses of water necessary for the survival or well being of man, 

plants, and wildlife. These uses of water serve to promote the tangible and intangible 

economic, social, and environmental goals. “Beneficial Uses” that may be protected 

against include, but are not limited to: domestic, municipal, agricultural and industrial 

supply; power generation; recreation; aesthetic enjoyment; navigation; and preservation 

and enhancement of fish, wildlife, and other aquatic resources or preserves. 

Best Available Technology Economically Achievable (BAT): Technology-based standard 

established by the Clean Water Act (CWA) as the most appropriate means available on a 

national basis for controlling the direct discharge of toxic and nonconventional pollutants to 

navigable waters. BAT effluent limitations guidelines, in general, represent the best existing 

performance of treatment technologies that are economically achievable within an industrial 

point source category or subcategory. 

Best Conventional Pollutant Control Technology (BCT): Technology-based standard for the 

discharge from existing industrial point sources of conventional pollutants including BOD, TSS, 

fecal coliform, pH, oil and grease. The BCT is established in light of a two-part “cost 

reasonableness” test which compares the cost for an industry to reduce its pollutant discharge 

with the cost to a POTW for similar levels of reduction of a pollutant loading. The second test 

examines the cost-effectiveness of additional industrial treatment beyond BPT. EPA must find 

limits which are reasonable under both tests before establishing them as BCT. 

Best Management Practice (BMP): Permit condition used in place of or in conjunction with 

effluent limitations to prevent or control the discharge of pollutants. May include schedule of 

activities, prohibition of practices, maintenance procedure, or other management practice. 

BMPs may include, but are not limited to, treatment requirements, operating procedures, or 

practices to control plant site runoff, spillage, leaks, sludge or waste disposal, or drainage from 

raw material storage. 

Best Practicable Control Technology Currently Available (BPT): The first level of 

technology-based standards established by the CWA to control pollutants discharged to waters 

of the U.S. BPT effluent limitations guidelines are generally based on the average of the best 

existing performance by plants within an industrial category or subcategory. 

Best Professional Judgment (BPJ): The method used by permit writers to develop 

technology-based NPDES permit conditions on a case-by-case basis using all reasonably 

available and relevant data. 

Bioaccumulation: The progressive accumulation of contaminants in the tissues of organisms 

through any route including respiration, ingestion, or direct contact with contaminated water, 

sediment, pore water, or dredged material to a higher concentration than in the surrounding 

environment. Bioaccumulation occurs with exposure and is independent of the tropic level. 

Bioassay: A test used to evaluate the relative potency of a chemical or a mixture of chemicals 

by comparing its effect on a living organism with the effect of a standard preparation on the 

same type of organism. 

18-2

Glossary 

Biochemical Oxygen Demand (BOD): A measurement of the amount of oxygen utilized by the


decomposition of organic material, over a specified time period (usually 5 days) in a wastewater


sample; it is used as a measurement of the readily decomposable organic content of a


wastewater.


Biosolids: Nutrient-rich organic materials resulting from the treatment of domestic sewage in a


treatment facility. When treated and processed, these residuals can be recycled and applied as


a fertilizer to improve and maintain productive soils and stimulate plant growth. Uses include,


but are not limited to, land application to agricultural land, forest land, a reclamation site or sale


or give away to the public for home lawn and garden use.


Black Water: The term given to any water that carries animal, human or food wastes.


Bypass: The intentional diversion of wastestreams from any portion of a treatment (or


pretreatment) facility.


Categorical Industrial User (CIU): An industrial user subject to National categorical


pretreatment standards.


Categorical Pretreatment Standards: Limitations on pollutant discharges to publicly owned


treatment works promulgated by EPA in accordance with Section 307 of the Clean Water Act


that apply to specified process wastewaters of particular industrial categories [40 CFR §403.6


and Parts 405-471].


Chain-of-Custody: Procedures used to protect samples from tampering and to document such


protection. 


Chemical Oxygen Demand (COD): A measure of the oxygen-consuming capacity of inorganic


and organic matter present in wastewater. COD is expressed as the amount of oxygen


consumed in mg/l. Results do not necessarily correlate to the biochemical oxygen demand


(BOD) because the chemical oxidant may react with substances that bacteria do not


stabilize.


Chlorinator: A device for adding chlorine gas to sewage to kill infectious germs.


Chronic: A stimulus that lingers or continues for a relatively long period of time, often one-tenth


of the life span or more. Chronic should be considered a relative term depending on the life


span of an organism. The measurement of a chronic effect can be reduced growth, reduced


reproduction, etc., in addition to lethality.


Clean Water Act (CWA): An act passed by the U.S. Congress to control water pollution. It was


formerly referred to as the Federal Water Pollution Control Act of 1972 or Federal Water


Pollution Control Act Amendments of 1972 (Public Law 92-500), 33 U.S.C. 1251 et.


seq., as amended by: Public Law 96-483; Public Law 97-117; Public Laws 95-217, 97-117, 97-


440, and 100-04.


Clean Water Act Section 402(p) [33 USC 1342(p)]: The federal statute requiring municipal


and industrial dischargers to obtain NPDES permits for their discharges of storm water.


18-3

Glossary 

Clean Water Act Section 303(d) Listed Water Body : An impaired water body in which water 

quality does not meet applicable water quality standards and/or is not expected to meet water 

quality standards, even after the application of technology-based pollution controls required by 

the CWA. 

Coagulation: The clumping together of solids to make them settle out of the sewage faster. 

Coagulation of solids is brought about with the use of certain chemicals such as lime, alum and 

iron salts. 

Code of Federal Regulations (CFR): A codification of the final rules published daily in the 

Federal Register. Title 40 of the CFR contains the environmental regulations. 

Combined sewage: Domestic and industrial wastewater and storm drainage carried in the 

same pipe. 

Combined Sewer Overflow (CSO): A discharge of untreated wastewater from a combined 

sewer system at a point prior to the headworks of a publicly owned treatment works. CSOs 

generally occur during wet weather (rainfall or snowmelt) when the systems become 

overloaded, bypass treatment works, and discharge directly to receiving waters. 

Combined Sewer System (CSS): A wastewater collection system which conveys sanitary 

wastewaters (domestic, commercial and industrial wastewaters) and storm water through a 

single pipe to a publicly owned treatment works for treatment prior to discharge to surface 

waters. 

Comminutor: A device for the catching and shredding of heavy solid matter in the primary 

stage of waste treatment. 

Compliance Schedule: A schedule of remedial measures included in a permit or an 

enforcement order, including a sequence of interim requirements (for example, actions, 

operations, or milestone events) that lead to compliance with the CWA and regulations. 

Composite Sample: Sample composed of two or more discrete samples. The aggregate 

sample will reflect the average water quality covering the compositing or sample period. 

Composting: The natural biological decomposition of organic material in the presence of air to 

form a humus-like material. 

Concentrated Animal Feeding Operation (CAFO): A facility that confines a specific number 

of animals and meets certain other conditions in the regulations. Wastewater discharge permits 

for these operations are based upon the requirements of the CAFO Effluent Guidelines. 

Confined Space: An enclosed space that an employee can bodily enter and perform assigned 

work, that has limited means of exit and entry. 

Control Authority: The POTW, if it has an approved pretreatment program; in the absence of 

such a program, the NPDES State, if it has an approved pretreatment program or EPA, if the 

State does not have an approved pretreatment program. 

18-4

Glossary 

Conventional Pollutants: Pollutants typical of municipal sewage, and for which municipal


secondary treatment plants are typically designed; defined by Federal Regulation [40 CFR


§401.16] as BOD, TSS, fecal coliform bacteria, oil and grease, and pH.


Conventional Systems: Systems that have been traditionally used to collect municipal


wastewater in gravity sewers and convey it to a central primary or secondary treatment plant


prior to discharge to surface waters.


Conveyance: A channel or passage that conducts or carries water including any pipe, ditch,


channel, tunnel, conduit, well, or container.


Criteria: The numeric values and the narrative standards that represent contaminant


concentrations that are not to be exceeded in the receiving environmental media (surface


water, ground water, sediment) to protect beneficial uses.


Daily Discharge: The discharge of a pollutant measured during a calendar day or any 24-hour


period that reasonably represents the calendar day for purposes of sampling. For pollutants


with limitations expressed in units of mass, the "daily discharge" is calculated as the total mass


of the pollutant discharged over the day. For pollutants with limitations expressed in other units


of measurement, the "daily discharge" is calculated as the average measurement of the


pollutant over the day.


Daily Maximum Limit: The maximum allowable discharge of pollutant during a calendar day.


Where daily maximum limitations are expressed in units of mass, the daily discharge is the total


mass discharged over the course of the day. Where daily maximum limitations are expressed


in


terms of a concentration, the daily discharge is the arithmetic average measurement of the


pollutant concentration derived from all measurements taken that day.


Debris: The remains of anything destroyed or broken, or accumulated loose fragments of rock.


Designated uses: Those uses specified in water quality standards for each water body or


segment whether or not they are being attained.


Diffused Air: A technique by which air under pressure is forced into sewage in an aeration


tank. The air is pumped down into the sewage through a perforated pipe and bubbled through


the sewage.


Digestion: The decomposition of sludge that takes place in tanks and results in the partial


gasification, liquefaction, and mineralization of pollutants.


Director: The Regional Administrator or State Director, as the context requires, or an


authorized representative. When there is no approved State program, and there is an EPA


administered program, Director means the Regional Administrator. When there is an approved


State program, “Director” normally means the State Director.


Discharge: Any addition of any pollutant to waters of the U.S. from any conveyance.


18-5

Glossary 

Discharge Monitoring Report (DMR): The form used (including any subsequent additions, 

revisions, or modifications) to report self-monitoring results by NPDES permittees. DMRs must 

be used by approved States as well as by EPA. 

Distillation: The heating the effluent and removing of the vapor or steam. 

Effluent: The liquid that comes out of a treatment plant after completion of the treatment 

process. 

Effluent Limitation: Any restriction established by the Administrator on quantities, rates, and 

concentrations of chemical, physical, biological and other constituents which are discharged 

from point sources, other than new sources, into navigable waters, the water of the contiguous 

zone or the ocean. 

Erosion: When land is diminished or wanes away due to the effects of wind, water, or glacial 

ice. Often the eroded debris (silt or sediment) becomes a pollutant via storm water runoff. 

Erosion occurs naturally but can be intensified by land clearing activities such as farming, 

development, road building, and timber harvesting. 

Existing uses: Those uses actually attained in the water body on or after November 28, 1975, 

whether or not they are included in the water quality standards. 

Floc: A clump of solids formed in sewage by biological or chemical action. 

Flocculation: The process by which clumps of solids in sewage are made to increase in size 

by chemical, physical, or biological action. 

Flume: A specially shaped open channel flow section providing a change in the channel area 

and/or slope which results in an increased velocity and change in the level of the liquid flowing 

through the flume. A flume normally consists of three sections: (1) a converging section; (2) a 

throat section; and (3) a diverging section. The flow rate through the flume is a function of the 

liquid level at some point in the flume. 

Flow-Weighted Composite Sample: A composite sample consisting of a mixture of aliquots 

collected at a constant time interval, where the volume of each aliquot is proportional to the flow 

rate of the discharge. 

Flow-Proportional Composite Sample: A composite sample that combines discrete aliquots 

of a sample collected over time, based on the flow of the wastestream being sampled. There 

are two methods used to collect this type of sample. One collects a constant sample volume at 

time intervals which vary based on stream flow. The other collects varying sample volumes 

based on stream flow, at constant time intervals. 

First Flush: Individual sample taken during the first 30 minutes of a storm event. The 

pollutants in this sample can often be used as a screen for non-storm water discharges since 

such pollutants are flushed out of the system during the initial portion of the discharge. 

Fungi: Small, non-chlorophyll bearing plants which may play a useful role in trickling filter 

treatment operations. 

18-6

Glossary 

General Permit: An NPDES permit issued under 40 CFR §122.28 that authorizes a category of 

discharges under the CWA within a geographical area. A general permit is not specifically 

tailored for an individual discharger. 

Grab sample: A sample which is taken from a wastestream on a one-time basis without 

consideration of the flow rate of the wastestream and without consideration of time. 

Grading: The cutting and/or filling of the land surface to a desired slope or elevation. 

Gray Water: Domestic wastewater composed of washwater from sinks, kitchen sinks, 

bathroom sinks and tubs and laundry tubs. 

Grinder Pump: A mechanical device which shreds solids and raises the fluid to a higher 

elevation through pressure sewers. 

Groundwater: The body of water beneath the surface of the ground that is made up primarily 

of the water that has seeped down from the surface. 

Hazardous Substance: Any substance, other than oil, which, when discharged in any 

quantities into waters of the U.S., presents an imminent and substantial danger to the public 

health or welfare, including but not limited to fish, shellfish, wildlife, shorelines and beaches 

(Section 311 of the CWA); identified by EPA as the pollutants listed under 40 CFR Part 116. 

Head of Liquid: Depth of flow. 

Illicit Discharge: Any discharge to a municipal separate storm sewer that is not composed 

entirely of storm water except discharges pursuant to an NPDES permit and discharges from 

fire fighting activities. 

Incineration: The burning of sludge or other material to remove the water and reduce the 

remaining residues to ash. 

Infiltration: water other than wastewater that enters a wastewater system and building sewers 

from the ground through such means as defective pipes, pipe joints, connections, and 

manholes. (Infiltration does not include inflow.) 

Infiltration and inflow (I&I): The total quantity of water from both infiltration and inflow. 

Infiltration/Percolation: A land application technique where large volumes of wastewater are 

applied to land, allowed to penetrate the surface and percolate through the underlying soil. 

Inflow: Water other than wastewater that enters a wastewater system and building sewers from 

sources such as roof leaders, cellar drains, yard drains, area drains, foundation drains, drains 

from springs and swampy areas, manhole covers, cross connections between storm drains and 

sanitary sewers, catch basins, cooling towers, storm waters, surface runoff, street wash waters, 

and drainage. (Inflow does not include infiltration.) 

Influent: Water, wastewater, or other liquid flowing into a reservoir, basin or treatment plant, or 

any unit thereof. 

18-7

Glossary 

Indirect Discharge: The introduction of pollutants into a municipal sewage treatment system


from any nondomestic source (i.e., any industrial or commercial facility) regulated under Section


307(b), (c), or (d) of the CWA.


Instantaneous Maximum Limit: The maximum allowable concentration of a pollutant


determined from the analysis of any discrete or composite sample collected, independent of the


flow rate and the duration of the sampling event.


Interceptor Sewer: A sewer without building sewer connections that is used to collect and


carry flows from main and trunk sewers to a central point for treatment and discharge.


Irrigation: A land application technique wherein wastewater is applied to the land to supply the


water and nutrient needs of plants.


Land Application: The discharge of wastewater onto the ground for treatment or reuse.


Landfill: An area of land or an excavation in which wastes are placed for permanent disposal,


and which is not a land application unit, surface impoundment, injection well, or waste pile.


Lateral Sewers: The pipes that run under the streets of a city and receive the sewers from


homes or businesses.


Local Limits: Conditional discharge limits imposed by municipalities upon industrial or


commercial facilities that discharge to the municipal sewage treatment system.


Major Facility: Any NPDES facility or activity classified as such by the Regional Administrator,


or in the case of approved State programs, the Regional Administrator in conjunction with the


State Director. Major municipal dischargers include all facilities with design flows of greater


than


one million gallons per day and facilities with EPA/State approved industrial pretreatment


programs. Major industrial facilities are determined based on specific ratings criteria developed


by EPA/State.


Mass-Based Standard: A discharge limit that is measured in a mass unit such as pounds per


day.


Materials Management Practices: Practices used to limit the contact between significant


materials and precipitation. These may include structural or nonstructural controls such as


dikes, berms, sedimentation ponds, vegetation strips, spill response plans, etc.


Maximum daily discharge limitation: The highest allowable daily discharge. 

Mechanical Aeration: The injection of air into water via mechanical energy that causes the 

waste stream to absorb oxygen from the atmosphere. 

Maximum Extent Practicable (MEP): There is no regulatory definition for MEP. The CWA 

section 402(p)(3)(B)(iii) requires that municipal permits “shall require controls to reduce the 

discharge of pollutants to the maximum extent practicable, including management practices, 

control techniques and system, design and engineering methods, and such other provisions as 

the Administrator or the State determines appropriate for the control of such pollutants. 

18-8

Glossary 

Method Detection Limit (MDL): Defined as the minimum concentration of a substance that 

can be measured and reported with 99 percent confidence that the analyte concentration is 

greater than zero and is determined from analysis of a sample in a given matrix containing the 

analyte. 

Microbes: Minute plant or animal life. Some microbes that may cause disease exist in sewage. 

Million Gallons per Day (mgd): A unit of flow commonly used for wastewater discharges. 

One mgd is equivalent to 1.547 cubic feet per second. 

Mixed Liquor: A mixture of activated sludge and waters, containing organic matter undergoing 

activated sludge treatment in the aeration tank. 

Mixing Zone: An area where an effluent discharge undergoes initial dilution and is extended to 

cover the secondary mixing in the ambient water body. A mixing zone is an allocated impact 

zone where water quality criteria can be exceeded as long as acutely toxic conditions are 

prevented. 

Municipality: A city, town, borough, county, parish, district, association, or other public 

body created by or under state law and having jurisdiction over disposal of sewage, industrial 

wastes, or other wastes, or an Indian tribe or an authorized Indian tribal organization, or a 

designated and approved management agency under section 208 of CWA. 

Municipal Separate Storm Sewer Systems (MS4): A conveyance or system of conveyances 

(including roads with drainage systems, municipal streets, catch basins, curbs, gutters, ditches, 

manmade channels, or storm drains) owned by a State, city, town or other public body, that is 

designed or used for collecting or conveying storm water, which is not a combined sewer, and 

which is not part of a publicly owned treatment works. [40 CFR §122.26(b)(8)]. 

National Pollutant Discharge Elimination System (NPDES): The national program for 

issuing, modifying, revoking and reissuing, terminating, monitoring and enforcing permits, and 

imposing and enforcing pretreatment requirements, under Sections 307, 318, 402, and 405 of 

CWA. 

National Pretreatment Standard or Pretreatment Standard: Any regulation promulgated by 

the EPA in accordance with Sections 307(b) and (c) of the CWA that applies to a specific 

category of industrial users and provides limitations on the introduction of pollutants into publicly 

owned treatment works. This term includes the prohibited discharge standards under 40 CFR 

§403.5, including local limits [40 CFR §403.3(j)]. 

New Source Performance Standards (NSPS): Technology-based standards for facilities that 

qualify as new sources under 40 CFR §122.2 and 40 CFR §122.29. Standards consider that 

the new source facility has an opportunity to design operations to more effectively control 

pollutant discharges. 

Nitrogenous Wastes: Wastes of animal or plant origin that contain a significant concentration 

of nitrogen. 

18-9

Glossary 

Nonconventional Pollutants: All pollutants that are not included in the list of conventional or 

toxic pollutants in 40 CFR Part 401. Includes pollutants such as chemical oxygen demand 

(COD), total organic carbon (TOC), nitrogen, and phosphorus. 

Nonpoint Source Pollution (NPS): Nonpoint source refers to diffuse, widespread sources of 

pollution. Nonpoint Sources include but are not limited to urban, agricultural, or industrial areas, 

roads, highways, construction sites, communities served by septic systems, recreational 

boating activities, timber harvesting, mining, livestock grazing, as well as physical changes to 

stream channels, and habitat degradation. 

Non-Storm Water: Non-storm water consists of all discharges to and from a storm water 

conveyance system that do not originate from precipitation events (i.e., all discharges from a 

conveyance system other than storm water). 

Non-structural BMPs: In general, activities or programs to educate the public or provide low 

cost non-physical solutions. Examples include: activity schedules, prohibitions of practices, 

street sweeping, facility maintenance, detection and elimination of illicit connections and illegal 

dumping, and other low-cost measures. 

Nuisance: As defined in the Porter-Cologne Water Quality Control Act a nuisance is “anything 

which meets all of the following requirements: 1) Is injurious to health, or is indecent, or 

offensive to the senses, or an obstruction to the free use of property, so as to interfere with the 

comfortable enjoyment of life or property. 2) Affects at the same time an entire community or 

neighborhood, or any considerable number of persons, although the extent of the annoyance or 

damage inflicted upon individuals may be unequal. 3) Occurs during, or as a result of, the 

treatment or disposal of wastes.” 

Numeric Effluent Limitations: The typical method by which effluent limits are prescribed for 

pollutants in waste discharge requirements implementing the federal NPDES regulations. 

When numeric effluent limits are met at the “end-of-pipe,” the effluent discharge generally will 

not cause water quality standards to be exceeded in the receiving waters. 

Nutrients: Elements or compounds essential as raw materials for organism growth and 

development (e.g., carbon, oxygen, nitrogen and phosphorous). 

Organic Matter: The carbonaceous waste contained in plant or animal matter and originating 

from domestic or industrial sources. 

Outfall: Point source where an effluent is discharged into receiving waters. 

Overland Flow: A land application technique that cleanses wastewater by allowing it to flow 

over a sloped surface. As the water flows over the surface, the contaminants are removed and 

the water is collected at the bottom of the slope for reuse. 

Oxidation: The addition of oxygen which breaks down organic wastes or chemicals in sewage 

by bacterial and chemical means. 

Oxidation Pond: A man-made lake or body of water in which wastes are consumed by 

bacteria. It is used most frequently with other waste treatment processes. An oxidation pond is 

basically the same as a sewage lagoon. 

18-10

Glossary 

Pathogen: An organism that is capable of producing an infection or disease in a susceptible 

host. 

Peak flow: The maximum flow that occurs over a specific length of time (e.g. daily, hourly, 

instantaneous). 

Percolation: The movement of water through sub-surface soil layers, usually continuing 

downward to the groundwater. 

Permittee: Any "person," as defined at 40 CFR §122.2, authorized by an NPDES Permit to 

discharge to Waters of the United States. 

pH: A measure of the hydrogen ion concentration of water or wastewater; expressed as the 

negative log of the hydrogen ion concentration in mg/l. A pH of 7 is neutral. A pH less than 7 is 

acidic, and a pH greater than 7 is basic. 

Phosphorous: An element that while essential to life, contributes to the eutrophication of lakes 

and other bodies of water. 

pin floc: Small floc particle. 

Point Source: Any discernible, confined, and discrete conveyance, including but not limited to 

any pipe, ditch, channel, tunnel, conduit, well, discrete fixture, container, rolling stock, 

concentrated animal feeding operation, landfill leachate collection system, vessel, or other 

floating craft from which pollutants are or may be discharged. 

Pollutant: Dredged spoil, solid waste, incinerator residue, filter backwash, sewage, garbage, 

sewage sludge, munitions, chemical wastes, biological materials, radioactive materials (except 

those regulated under the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.)), 

heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal, and 

agricultural waste discharged into water. 

Pollution Prevention: Practices and processes that reduce or eliminate the generation of 

pollutants, in contrast to source control, treatment, or disposal. 

Polyelectrolytes: Synthetic chemicals used to speed the removal of solids from sewage. The 

chemicals cause the solids to flocculate or clump together more rapidly than chemicals like 

alum or lime. 

Post-Construction BMPs: A subset of BMPs including structural and non-structural controls 

which detain, retain, filter, or educate to prevent the release of pollutants to surface waters 

during the final functional life of development. 

Practical Quantification Limit (PQL): The lowest level that can be reliably achieved within 

specified limits of precision and accuracy during routine laboratory operating conditions. 

Pressure Sewer: A system of pipes in which the water, wastewater or other liquid is 

transported to a higher elevation by applying a pumping force behind it. 

18-11

Glossary 

Pretreatment: The reduction of the amount of pollutants, the elimination of pollutants, or the 

alteration of the nature of pollutant properties in wastewater prior to or in lieu of discharging or 

otherwise introducing such pollutants into a publicly owned treatment works [40 CFR 

§403.3(q)].cultural waste discharged into water. 

Primary Treatment: The practice of removing some portion of the suspended solids and 

organic matter in a wastewater through sedimentation. Common usage of this term also 

includes preliminary treatment to remove wastewater constituents that may cause maintenance 

or operational problems in the system (i.e., grit removal, screening for rags and debris, oil and 

grease removal, etc.). 

Priority Pollutants: Those pollutants considered to be of principal importance for control under 

the CWA based on the NRDC consent decree settlement [( NRDC et al. v. Train, 8 E.R.C. 2120 

(D.D.C. 1976), modified 12 E.R.C. 1833 (D.D.C. 1979)]; a list of these pollutants is provided as 

Appendix A to 40 CFR Part 423. 

Process Wastewater: Any water which, during manufacturing or processing, comes into direct 

contact with, or results from the production or use of any raw material, intermediate product, 

finished product, byproduct, or waste product. 

Publicly Owned Treatment Works (POTW): A treatment works, as defined by Section 212 of 

the CWA, that is owned by the State or municipality, including any devices and systems used in 

the storage, treatment, recycling, and reclamation of municipal sewage or industrial wastes of a 

liquid nature and sewers, pipes, and other conveyances only if they convey wastewater to a 

POTW treatment plant [40 CFR §403.3]. 

Pump: A mechanical device for causing flow, raising or lifting water or other fluid, or applying 

pressure to fluids. 

Receiving Water: The Waters of the U.S. which includes both surface and groundwaters. 

Runoff Coefficient: The fraction of total rainfall that will appear at the conveyance as runoff. 

Salts: The minerals that water picks up as it passes through the air over and under the ground, 

and as the water is used by households and industry. 

Sand Filters: Filters that physically remove some suspended solids from sewage. Air and 

bacteria decompose additional wastes filtering through the sand. Cleaner water drains from the 

bed. The sludge accumulating at the surface must be removed from the bed periodically. 

Sanitary Sewer: A pipe or conduit (sewer) intended to carry wastewater or water-borne wastes 

from homes, businesses, and industries to the POTW. 

Sanitary Sewer Overflows (SSOs): Untreated or partially treated sewage overflows from a 

sanitary sewer collection system. 

Secondary Industry Category: Any industry category which is not a primary industry category. 

Secondary Treatment: Technology-based requirements for direct discharging municipal 

sewage treatment facilities. Standard is based on a combination of physical and biological 

18-12

Glossary 

processes typical for the treatment of pollutants in municipal sewage. Standards are expressed


as a minimum level of effluent quality in terms of: BOD 5 , suspended solids (SS), and pH


(except as provided for special considerations and treatment equivalent to secondary


treatment).


Sedimentation Tanks: Tanks that help to remove solids from sewage. The wastewater is


pumped to the tanks where the solids settle to the bottom or float on the top as scum. The


scum is skimmed off the top, and solids on the bottom are pumped to incineration, digestion,


filtration or other means of final disposal.


Seepage: The slow movement of water through small cracks or pores of a material, through the


soil, or into or out of a body of surface or subsurface water.


Self-Monitoring: Sampling and analyses performed by a facility to determine compliance with


a permit or other regulatory requirements.


Septic Tanks: Underground tanks where domestic wastes are piped to directly from a home or


homes when a sewer line is not available to carry them to a treatment plant. The bacteria in the


wastes decompose the organic waste and the sludge settles on the bottom of the tank. The ef­


fluent flows out of the tank into the ground through drains. The sludge is pumped out of the


tanks, usually by commercial firms, at regular intervals.


Sewage Sludge: Solid, semi-solid, or liquid residue generated during the treatment of domestic


sewage in a treatment works [40 CFR §503.9(w)]. Sewage sludge includes, but is not limited


to, domestic septage; scum or solids removed in primary, secondary, or advanced wastewater


treatment processes; and a material derived from sewage sludge. Sewage sludge


does not include ash generated during the firing of sewage sludge in a sewage sludge


incinerator or grit and screenings generated during preliminary treatment of domestic sewage in


a treatment works.


Sewer: A system of pipes that collects and delivers wastewater to treatment plants or receiving


streams.


Significant Industrial User (SIU): An indirect discharger that is the focus of control efforts


under the national pretreatment program; includes all indirect dischargers subject to national


categorical pretreatment standards, and all other indirect dischargers that contribute 25,000


gpd or more of process wastewater, or which make up five percent or more of the hydraulic or


organic loading to the municipal treatment plant, subject to certain exceptions [40 CFR


§403.3(t)].


Sludge: The solid matter that settles to the bottom, floats, or becomes suspended in


sedimentation tanks and must be disposed of by filtration and incineration or by transport to ap­


propriate disposal sites.


Spill Prevention Control and Countermeasure Plan (SPCC): A plan prepared by a facility to


minimize the likelihood of a spill and to expedite control and cleanup activities should a spill


occur.


Standard Industrial Classification (SIC) Code: A code number system used to identify


various types of industries. The code numbers are published by the Superintendent of


18-13

Glossary 

Documents, U.S. Government Printing Office, Washington, D.C. 20402. A particular industry 

may have more than one SIC code if it conducts several types of commercial or manufacturing 

activities onsite. 

Sterilization: The destruction of all living organisms. In contrast, disinfection is the destruction 

of most of the living organisms. 

Storm Sewer: A separate system of pipes that carries only runoffs from buildings and land 

during a storm. 

Storm Water: Discharges generated by runoff from land and impervious areas such as paved 

streets, parking lots, and building rooftops during rainfall and snow events that often contain 

pollutants in quantities that could adversely affect water quality. Most storm water discharges 

are considered point sources and require coverage by an NPDES permit. 

Structural Controls: Physical facilities or controls which may include secondary containment, 

treatment measures, (e.g. first flush diversion, detention/retention basins, and oil/grease 

separators), run-off controls (e.g., grass swales, infiltration trenches/basins, etc.), and 

engineering and design modification of existing structures. 

Sump Pump: A mechanism used for removing water or wastewater from a sump or wet well. 

Suspended Solids: The small particles of solid pollutants which are present in sewage and 

which resist separation from the water by conventional means. 

Technology-Based Effluent Limit: A permit limit for a pollutant that is based on the capability 

of a treatment method to reduce the pollutant to a certain concentration. 

Time Composite Sample: A composite sample prepared by collecting fixed volume aliquots at 

specified time intervals, which are combined into a single sample for analysis. 

Total Dissolved Solids: The total dissolved (filterable) solids as determined by use of the 

method specified in 40 CFR part 136. 

Total Maximum Daily Load (TMDL): The maximum amount of a pollutant that can be 

discharged into a water body from all sources (point and non-point) and still maintain water 

quality standards. Under Clean Water Act Section 303(d), TMDLs must be developed for all 

water bodies that do not meet water quality standards after application of technology-based 

controls. 

Total Organic Carbon (TOC): The amount of organic carbon in water. 

Total Suspended Solids (TSS): A measure of the filterable solids present in a sample, as 

determined by the method specified in 40 CFR Part 136. 

Toxic Pollutants: Pollutants or combinations of pollutants, including disease-causing agents, 

which after discharge and upon exposure, ingestion, inhalation or assimilation into any 

organism, either directly from the environment or indirectly by ingestion through food chains, 

will, on the basis of information available to the Administrator of EPA, cause death, disease, 

behavioral abnormalities, cancer, genetic mutations, physiological malfunctions, (including 

18-14

Glossary 

malfunctions in reproduction) or physical deformations, in such organisms or their offspring. 

Toxic pollutants include those pollutants listed by the Administrator under CWA Section 

307(a)(1) or any pollutant listed under Section 405(d) which relates to sludge management. 

Toxicity: Adverse responses of organisms to chemicals or physical agents ranging from 

mortality to physiological responses such as impaired reproduction or growth anomalies. 

Toxicity Reduction Evaluation (TRE): A site-specific study conducted in a stepwise process 

designed to identify the causative agent(s) of effluent toxicity, isolate the sources of toxicity, 

evaluate the effectiveness of toxicity control options, and then confirm the reduction in effluent 

toxicity. 

Toxicity Test: A procedure to determine the toxicity of a chemical or an effluent using living 

organisms. A toxicity test measures the degree of effect on exposed test organisms of a 

specific chemical or effluent. 

Trickling Filter: A support media for bacterial growth, usually a bed of rocks or stones. The 

sewage is trickled over the bed so the bacteria can break down the organic wastes. 

Turbidity: The capability of light to pass through water. 

Upset: An exceptional incident in which there is unintentional and temporary noncompliance 

with the permit limit because of factors beyond the reasonable control of the permittee. An 

upset does not include noncompliance to the extent caused by operational error, improperly 

designed treatment facilities, inadequate treatment facilities, lack of preventive maintenance, or 

careless or improper operation. 

Urban Runoff: All flows in a storm water conveyance system, including storm water (wet 

weather flows) and non-storm water illicit discharges (dry weather flows). 

Use Attainability Analysis (UAA): A structured scientific assessment of the factors affecting 

the attainment of a designated use, such as physical, chemical, biological, and economic 

factors as described in §131.10(g). 

Variance: Any mechanism or provision under Sections 301 or 316 of the CWA or under 40 

CFR Part 125, or in the applicable “effluent limitations guidelines” which allows modification to 

or waiver of the generally applicable effluent limitations requirements or time deadlines of the 

CWA. This includes provisions which allow the establishment of alternative limitations 

based on fundamentally different factors. 

Waste Treatment Plant: A series of tanks, screens, filters, and other processes by which 

pollutants are removed from water. 

Wastesload Allocation (WLA): The proportion of a receiving water’s total maximum daily load 

that is allocated to one of its existing or future point sources of pollution. 

Water Quality-Based Effluent Limit (WQBEL): A value determined by selecting the most 

stringent of the effluent limits calculated using all applicable water quality criteria (e.g., aquatic 

life, human health, and wildlife) for a specific point source to a specific receiving water for a 

given pollutant. 

18-15

Glossary 

Water Quality Criteria: Comprised of numeric and narrative criteria. Numeric criteria are 

scientifically derived ambient concentrations developed by EPA or States for various pollutants 

of concern to protect human health and aquatic life. Narrative criteria are statements that 

describe the desired water quality goal. 

Water Quality Standards (WQS): A law or regulation that consists of the beneficial use or 

uses of a water body, the numeric and narrative water quality criteria that are necessary to 

protect the use or uses of that particular water body, and an antidegradation statement. 

Waters of the United States: All waters that are currently used, were used in the past, or may 

be susceptible to use in interstate or foreign commerce, including all waters subject to the ebb 

and flow of the tide. Waters of the United States include but are not limited to all interstate 

waters and intrastate lakes, rivers, streams (including intermittent streams), mudflats, sand 

flats, wetlands, sloughs, prairie potholes, wet meadows, play lakes, or natural ponds. [See 40 

CFR §122.2 for the complete definition.] 

Watershed: That geographical area which drains to a specified point on a watercourse, 

usually a confluence of streams or rivers (also known as drainage area, catchments, or 

river basin). 

Weir: A device used to gauge the flow rate of liquid through a channel; is essentially a dam 

built across an open channel over which the liquid flows, usually through some type of notch. 

Wet Weather Flow: Dry weather flow combined with storm water introduced into a combined 

sewer, and dry weather flow combined with inflow in a separate sewer. 

Whole Effluent Toxicity (WET): The total toxic effect of an effluent measured directly with a 

toxicity test. 

Virus: The smallest form of microorganism capable of causing disease. 

18-16

Glossary 

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18-17

APPENDIX A


EPA ORDER 3500.1


TRAINING AND DEVELOPMENT FOR


COMPLIANCE INSPECTORS/


FIELD INVESTIGATORS

This page intentionally left blank. 
Appendix A EPA Order 3500.1 

** Note: This is copy of text of EPA Order 3500.1 **


EPA ORDER


Classification No.: 3500.1


Approval Date: June 29, 1988


TRAINING AND DEVELOPMENT FOR COMPLIANCE INSPECTORS/FIELD


INVESTIGATORS


1. PURPOSE. This Order establishes a consistent Agency-wide training and 

development program for employees leading environmental compliance 

inspections/field investigations. 

2. APPLICABILITY. This Order applies to all Environmental Protection Agency (EPA) 

personnel who lead or oversee the conduct of compliance inspections/field on a full- or 

part-time basis under any of EPA's statutes. This order is advisory to State and local 

agencies. 

3. POLICY. It is the policy of the Environmental Protection Agency to ensure that 

those who lead environmental compliance inspections/field investigations are properly 

trained to perform these functions in a legally and technically sound manner. 

4. REFERENCES. 

a. EPA 1440. Occupational Health and Safety Manual: Chapter 7, Occupational 

Health and Safety Training. 

b. EPA Order 1440.2, Health and Safety Requirements for Employees Engaged 

in Field Activities. 

c. EPA order 1440.3, Respiratory Protection. 

d. Agency-wide Program to Train, Develop and Recognize Compliance 

Inspectors/Field Investigators: A Program Description, June 1988. 

5. DEFINITIONS. 

a. Compliance Inspections/Field Investigation Function. The function includes 

leading, or overseeing State/local, contractor or other personnel conducting any of the 

following activities for the purpose of establishing the compliance status of facilities or 

sites with applicable laws, standards, regulations, permits and/or of supporting 

appropriate enforcement action (administrative, civil judicial or criminal), including: 

(1) planning and carrying out inspections of pollution abatement equipment, 

relevant facility operations and maintenance practices, self-monitoring practices and 

records, and laboratory equipment; 

A-1

Appendix A EPA Order 3500.1 

(2) gathering and developing evidence, including but not limited to emission 

monitoring measurements, other analytical field procedures such as sampling and the 

associated quality assurance procedures, and in-depth engineering evaluations; and 

(3) maintaining field logs, recording field observations photographically, analyzing 

sampling and emissions data, and preparing reports of observations along with any 

supporting documentation. 

Any EPA employee performing these activities regardless of job title or program 

shall be considered a compliance inspector/field investigator for the purposes of this 

Order. The terms compliance inspector/field investigator will be used throughout this 

Order. This function does not include field activities or investigations for purposes such 

as research and development, which are unrelated to compliance monitoring or 

enforcement. 

Not all individuals performing work as On-Scene Coordinators (OSCs) and 

Remedial Project Managers (RPMs) under the CERCLA program are covered by the 

definition of the compliance inspection/field investigation function. Additional program 

guidance will be developed to assist Regions in distinguishing these functions from 

other programmatic responsibilities. 

b. New Compliance Inspector/Field Investigators. Including: 

(1) Individuals newly employed by EPA subsequent to the issuance date of 

this Order regardless of previous training in and experience leading environmental 

compliance inspections/field investigations, or 

(2) Individuals rehired by EPA or transferred within EPA, subsequent to the 

issuance date of this Order, with no previous training in and experience leading 

environmental compliance inspections/field investigations. 

c. Experienced Compliance Inspectors/Field Investigators. Including: Individuals 

who were employed by EPA on the issuance date of this policy, and/or who have 

previous training in and experience leading environmental compliance inspections/field 

investigations in any one of EPA's compliance and enforcement programs. 

d. First-line Supervisors of Inspectors. A first-line supervisor is the immediate 

supervisor of the day-to-day work of an individual who leads or oversees compliance 

inspections/field investigations. The first-line supervisor, who is responsible for the 

official performance appraisal, may be "new" or “experienced" as defined above in 

Items 5(b) or 5(c). 

e. Contract Inspectors and Others. This category includes contract personnel 

and employees of a grantee organization under the Senior Environmental Employment 

Program, performing compliance inspections/field investigations under EPA's statutes. 

f. Leading an Inspection. Leading an inspection means independently 

A-2

Appendix A EPA Order 3500.1 

conducting a compliance inspection/field investigation or directing an 

inspection/investigation with others as support staff. 

g. Curriculum. Curriculum refers to defined content presented in a sequence of 

supervised self-study, formal on-the-job and/or classroom training: 

(1) Supervised Self-Study. Self-study means any knowledge gained through 

independent, personal study, and overseen by a first-line supervisor or an experienced 

inspector/investigator. 

(2) On-the-JobTraining. On-the-job training (OJT) means structuredtrainingthat 

relates principles or theories to work-related skills which are demonstrated and applied in 

the field environment during an actual compliance inspection/field investigation. 

(3) Classroom/classes.. This refers broadly to any form of instruction, flexible 

in format and size, to include seminars, workshops, lecture-type or video-assisted 

classes, or question-and-answer sessions following prior independent self-study, that 

fosters group interaction with an instructor or an experienced inspector. 

h. Completing Required Training. Completion of required training means 

completing self-study, OJT and participation in classes covering the content described 

in applicable training curricula. 

6. TRAINING PROGRAM. EPA's training program consists of three parts -

Occupational Health and Safety Curriculum, Basic Curriculum, and Program-Specific 

Curricula - as follows. 

a. Occupational Health and Safety Curricula. EPA Order 1440.2 establishes 

basic, intermediate, advanced and refresher requirements for occupational health and 

safety training for all EPA employees before engaging in any field activities. In addition, 

EPA compliance inspectors/field investigators must meet requirements, where these 

apply, of EPA Order 1440.3 for Respiratory Protection. A summary of the curriculum is 

found in Appendix B of Reference 4(d) above. Contractor personnel must meet training 

requirements of applicable regulations of the Occupational Safety and Health 

Administration (OSHA). 

b. Basic Inspector Curriculum. This Curriculum establishes required training to 

provide a comprehensive overview of knowledge and skills needed for compliance 

inspections/field investigations under any EPA statute. It consists of a course, that 

integrates legal, technical and administrative subjects, with communication skills. It 

also includes the Occupational Health and Safety Curriculum cited in 6(a) above. The 

Basic Curriculum is summarized in Appendix C of Reference 4(d) above. Related 

supplemental Training is recommended to further develop some of these skills, as 

summarized in Appendix F of Reference 4(d) above. 

c. Program-Specific Curricula. The Program-Specific Minimum Curriculum for 

each major environmental program establishes required training in legal, programmatic 

A-3

Appendix A EPA Order 3500.1 

and technical subjects. Any EPA compliance inspector conducting inspections in more 

than one program is required to have completed the relevant Program-Specific 

Minimum Curricula in each such program. Program-Specific Specialized Training is 

recommended to further develop inspection skills. Summaries of these curricula are 

available in Appendix D, of Reference 4(d) above. A summary of multi-media (multiprogram) training recommendations is available in Appendix E of Reference 4(d) above. 

d. Refresher Training. 

(1) Occupational Health and Safety: EPA Orders 1440.2 and 1440.3 require 

refresher training annually. 

(2) Basic and Program-Specific Minimum Curricula: Refresher training in both 

the Basic Curriculum and Program-Specific Minimum Curricula is strongly 

recommended, but at the discretion of the first-line supervisor. At a minimum, refresher 

training should occur every three years, or more frequently, depending on the needs of 

the individual, and changing emphases or needs in the compliance and enforcement 

program. 

7. REQUIREMENTS AND EXCEPTIONS. 

a. Before Any Field Activities. All compliance inspectors and first-line 

supervisors of inspectors are required to complete applicable occupational health and 

safety training before any field activities as defined in EPA Orders 1400.2 and 1400.3. 

b. Before Leading Inspections/Investigations. All compliance inspectors/field 

investigators must complete the Basic Curriculum and the Program-Specific Minimum 

Curriculum in the assigned program area(s) before leading an inspection. Experienced 

inspectors may be excepted from the Basic Curriculum, but new inspectors may not. 

There may be limited exceptions to program-specific requirements for new and 

experienced inspectors. 

c. Within One Year When Supervising. The requirements to complete the Basic 

and Program-Specific Minimum Curriculum apply to first-line supervisors of compliance 

inspectors. First-line supervisors shall meet these requirements within one year of 

appointment to the supervisory position, if they have not already done so. If the firstline supervisor directs inspectors/investigators in two or more programs, the supervisor 

may need additional time to complete all of the applicable Program-Specific Minimum 

Curricula, and should do so as soon as practicable. Experienced first-line supervisors 

may be excepted from the Basic Curriculum, but new ones may not. There may be 

limited exceptions to program-specific requirements for new and experienced first-line 

supervisors. 

d. Procedures for Exceptions. 

A-4

Appendix A EPA Order 3500.1 

(1) Health and Safety Training. Any exceptions to the occupational health 

and safety training requirements must be in accordance with Paragraph 9(d), EPA 

Order 1440.2, or the provisions of 1440.3. 

(2) Basic and Program-Specific Minimum Curricula. In the Regions, 

exceptions must be approved by the Regional Administrator. Delegation below this 

level may be made to the Deputy Regional Administrator or a cross-regional panel of 

managers established for this purpose, but excluding the immediate first- or second-line 

supervisor of the individual for whom the exception is being requested. For Program 

Offices with inspectors based in Headquarters, the Assistant Administrator shall 

approve exceptions for those inspectors. Delegation below this level may be made to 

the Deputy Assistant Administrator, or Office Director, or in the case of OECM, to the 

Director of the National Enforcement Investigations Center (NEIC). The first-line 

supervisor shall prepare a written request based upon guides for evaluating the 

previous knowledge, experience and/or training of the inspector, and shall submit this to 

the approving official, according to procedures adopted in the Region or Headquarters, 

whichever apply. A copy of the approved written request shall be placed in the 

employee's official personnel file along with other training records. 

8. EFFECTIVE DATE. 

a. Occupational Health and Safety Training. The requirements of EPA Orders 

1440.2 and 1440.3 are in effect and will remain in effect. 

b. Basic and Program-Specific Minimum Curricula. This Order is effective on the 

date of issuance; however, requirements are phased in as follows: 

(1) New Inspectors. Beginning October 1, 1989, new inspectors shall not 

lead inspections unless they have completed the Basic Curricula, and have completed, 

or have been formally excepted, from the Program-Specific Minimum Curricula. 

(2) Experienced Inspectors. Beginning October 1, 1991, experienced 

inspectors shall not lead inspections unless they have completed or have been formally 

excepted from the Basic and Program-Specific Minimum Curricula. 

(3) First-line Supervisors. Beginning October 1, 1989, all first-line supervisors 

shall meet the requirements of this Order or have been formally excepted within one 

year of appointment to the supervisory position, or as soon as practicable, for those 

with two or more programs. 

(4) Contract Inspectors and Others. Training requirements for EPA contract 

inspectors shall be appropriately-phased into future contracts or solicitations involving 

compliance inspection work. These requirements shall be incorporated into future 

assistance agreements awarded under the Senior Environmental Employment Program 

involving compliance inspections. 

9. RESPONSIBILITIES. This section lists the primary responsibilities for 

A-5

Appendix A EPA Order 3500.1 

implementing this Order. Appendix G of Reference 4(d) above contains a more 

detailed list of responsibilities. 

a. Assistant Administrator for Enforcement and Compliance Monitoring (OECM,). 

The Assistant Administrator for Enforcement and Compliance Monitoring is responsible 

for: 

(1) Updating this Order, and overseeing and evaluating implementation of the 

overall program requirements every 3 years; 

(2) Developing, updating and disseminating student manuals and instructor's 

guides for the Basic Curriculum to the Regions, coordinating the selection of and 

maintaining a list of instructors from the Regions and Headquarters; and 

(3) Organizing a board of Senior Agency Managers from Headquarters and 

Regions, and inspectors/investigators to advise him/her in carrying out the 

responsibilities listed above. 

b. Assistant Administrator for Administration and Resources Management. The 

Assistant Administrator for Administration and Resources Management is responsible 

for: 

(1) Updating and providing sufficient materials for occupational health and 

safety training, or approving non-EPA courses to meet the requirements of EPA Orders 

1440.2 and 1440.3, and reviewing program-specific health and safety training. 

(2) Training and evaluating EPA personnel designated as instructors for 

delivering the Inspector Health and Safety Curriculum; and 

(3) Coordinating and disseminating a timely schedule of classes of the Health 

and Safety, Basic, and Program-Specific Curricula, in consultation with OECM, 

Program Offices and the Regions. 

c. Assistant Administrators. The Assistant Administrators are responsible for: 

(1) Implementing the requirements of this Order and Agency program 

[Reference 4(d)] within their areas of jurisdiction, including periodically evaluating 

implementation; 

(2) Developing, updating, and disseminating materials and schedules for 

classes under the Program-Specific Curricula, in consultation with Regions and States, 

and providing a plan by October 30, 1988, for implementing the Basic Curriculum for 

inspectors based in Headquarters; 

(3) Establishing guides for first-line supervisors of inspectors to evaluate the 

training and development needs of compliance inspectors/field investigators and 

approving requests for exceptions; 

A-6

Appendix A EPA Order 3500.1 

(4) Determining who among those inspectors/investigators based in 

Headquarters are subject to this Order, and reviewing and approving exceptions to the 

training requirements requested for these personnel. 

(5) Ensuring in future contracts and assistance agreements awarded under 

the Senior Environmental Employment Program involving compliance inspections that 

training is required by means of statements of work or other appropriate vehicles; and 

(6) Establishing standing work groups including Regions, and States where 

appropriate, to help carry out these responsibilities and to improve the quality of the 

compliance monitoring function. 

d. Regional Administrators. The Regional Administrators are responsible for: 

(1) Implementing the requirements of this Order and Agency program 

(Reference 4(d)) within their areas of jurisdictions, including periodically evaluating 

implementation; 

(2) Determining who in the Region is subject to this Order, and reviewing and 

approving any exceptions to the training requirements; 

(3) Ensuring in future contracts involving compliance inspections that training is 

required by means of statements of work or other appropriate vehicles; 

(4) Supporting in-house instruction for the Basic Curriculum, by working with 

OECM to identify Regional personnel to serve as classroom instructors and providing a 

Regional implementation plan by October-30, 1988; and 

(5) Ensuring each program identifies States’ inspector training needs annually 

through the State/EPA Enforcement Agreements process; assisting States in identifying 

ways to meet their training needs; and coordinating training opportunities. 

e. Line Supervisors. Line supervisors in Program or Environmental Service 

Divisions, are responsible for: 

(1) Ensuring quality compliance inspections/field investigations using 

performance standards, periodic appraisals, appropriate assignments to ensure 

development, and recognition of personnel engaged in the compliance monitoring 

function; and 

(2) Identifying employees who require training, ensuring that employees 

comply with the requirements of this Order, preparing requests for exceptions, and 

maintaining records of actions. 

f. Compliance Inspectors/Field Investigators. Compliance inspectors/field 

investigators are responsible for. 

A-7

Appendix A EPA Order 3500.1 

(1) Advising their supervisor about the history and extent of relevant training 

and experience, and assisting in the preparation of an Individual Development Plan to 

meet the requirements of this Order; and 

(2) Applying and maintaining the knowledge, skills, and techniques acquired 

through training to ensure that inspections/investigations are accomplished in a 

technically and legally sound manner. 

/s/


James Barnes


Deputy Administrator


Dated: June 29, 1988


A-8

APPENDIX B


EPA ORDER 1440.2 


HEALTH AND SAFETY REQUIREMENTS FOR


EMPLOYEES ENGAGED IN FIELD ACTIVITIES

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Appendix B EPA Order 

1440.2 

July 12, 

1981 

PROTECTIVE SERVICES - SAFETY


HEALTH AND SAFETY REQUIREMENTS FOR EMPLOYEES ENGAGED 

IN FIELD ACTIVITIES 

1. PURPOSE. This Order establishes policy, responsibilities, and mandatory requirements 

for occupational health and safety training and certification, and occupational medical 

monitoring of Agency employees engaged in field activities. 

2. DEFINITIONS. 

a. The term "field activities" as used in this Order means EPA program activities that are 

conducted by EPA employees outside of EPA administered facilities. These activities include 

environmental and pesticides sampling, inspection of water and wastewater treatment plants, 

and hazardous material spills and waste site investigations, inspections, and sampling. 

b. The term "health and safety training" means scheduled, formal or informal training 

courses, approved and sponsored by EPA and conducted by EPA or its contracted agents 

which is designed to develop, improve and upgrade the health and safety knowledge of EPA 

employees involved in field activities. 

c. The term "occupational medical monitoring" means surveillance over the health status of 

employees by means of periodic medical examinations or screening in accordance with the 

Agency's Occupational Medical Monitoring guidelines. 

d. The term "certification" as used in this Order means that the employee has successfully 

completed the minimum classroom and field training requirements for the specified level of 

training and the Agency has issued a certificate attesting that the employee met these 

requirements. 

3. REFERENCES. 

a. 29 CFR 1910, Parts 16, 94, 96, 106, 109, 111, 134, 151, 1000, Occupational Health and 

Safety Standards. 

b. Executive Order 12196, Section 1-201, Sec. (k), Occupational Health and Safety 

Programs for Federal Employees. 

c. 29 CFR 1960.59(a), Occupational Safety and Health for the Federal Employee. 

d. EPA Occupational Health and Safety Manual, Chapter 7(1). 

e. EPA Training and Development Manual, Chapter 3, Par 7(b). 

B-1

Appendix B EPA Order 

1440.2 

f. Occupational Health and Safety Act of 1971, P.L. 91-596, Sec.6. 

g. EPA Order on Respiratory Protection (Proposed). 

h. 49 CFR, Parts 100-177, Transportation of Hazardous Materials. 

i. EPA Order 1000.18, Transportation of Hazardous Materials. 

j. EPA Order 3100.1, Change 1, Uniforms, Protective Clothing, and Protective Equipment. 

4. BACKGROUND. Field activities are a critical part of most EPA programs. These activities 

range from routine environmental reconnaissance sampling, inspections, and monitoring, to 

entering and working in environments with known and unknown hazards. Since protection can 

not be engineered into the field working situation, the protection of personnel engaged in field 

activities involves training employees in safe operational procedures and the proper use of 

appropriate personal protective clothing and equipment. 

5. APPLICABILITY. This Order applies to all EPA organizational units which have employees 

engaged in field activities. 

6. POLICY. It is the policy of the Environmental Protection Agency to carry out its field 

activities in a manner that assures the protection of its employees. 

7. RESPONSIBILITIES. 

a. Assistant Administrators, Regional Administrators, Deputy Assistant Administrators, 

Laboratory Directors, and Division Directors. These officials are responsible within their 

jurisdictions for implementing the provisions of this Order and for budgeting the necessary 

funds for employee training and certification, personal protective clothing and equipment, and 

occupational medical monitoring programs. 

b. Supervisors. Supervisors are responsible for complying with the requirements of this 

Order for employee training and certification, and occupational medical monitoring programs. 

They will identify those employees who require training and certification, and occupational 

medical monitoring, and assure they receive it to comply with the provisions of this Order and 

will insure these requirements are properly contained in position descriptions and job postings. 

c. Employees. Employees are responsible for making known upon request from their 

supervisors the extent of their individual occupational health and safety training and the history 

of their occupational medical monitoring participation. Employees should notify their supervisor 

of any hazardous work situation and make suggestions for corrective measures. Employees 

are responsible for applying the knowledge, skills, and techniques acquired through training in a 

manner that will help assure their health and safety and that of fellow workers. 

d. Occupational Health and Safety Designees. The Occupational Health and Safety 

Designees are responsible for identifying program areas that require training and certification, 

and occupational medical monitoring; recommending or providing training and certification 

resources to meet the requirements of this Order; and maintaining records of persons receiving 

training and certification. 

B-2

Appendix B EPA Order 

1440.2 

e. Office of Occupational Health and Safety. The Director, Office of Occupational Health 

and Safety is responsible for establishing policy and requirements for adequate training and 

certification programs for field activities, developing and maintaining an occupational medical 

monitoring program, approving health and safety training and certification programs for 

employees involved in field activities, and for evaluating the results of these training and 

certification programs. 

8. OBJECTIVES. 

a. Training and Certification. The objective of the health and safety training and 

certification programs for employees involved in field activities are: 

(1) To assure that EPA employees are aware of the potential hazards they may 

encounter during the performance of field activities; 

(2) To provide the knowledge and skills necessary to perform the work with the least 

possible risk to personal health and safety; 

(3) To assure that Agency program goals are accomplished in as safe and healthful 

manner as feasible; and 

(4) To assure that EPA employees can safely disengage themselves from an actual 

hazardous situation which may occur during a field activity. 

b. Occupational Medical Monitoring. The objectives of the occupational Medical Monitoring 

program are: 

(1) To detect any adverse effects of occupational exposure on the employees health 

and to initiate prompt corrective actions when indicated; and 

(2) To assure that employees assigned arduous or physically taxing jobs or jobs 

requiring unique skills are able to perform those jobs without impairing their health and safety or 

the health and safety of others. 

9. TRAINING AND CERTIFICATION REQUIREMENTS. Employees shall not be permitted to 

engage in routine field activities until they have been trained and certified to a level 

commensurate with the degree of anticipated hazards. 

a. Basic Level. All employees shall be provided a minimum of 24 hours of health and 

safety training prior to their becoming involved in normal, routine field activities. The training 

shall include but not be limited to classroom instruction in all the following subject areas: 

(1) Employee Rights and Responsibilities;


(2) Nature of Anticipated Hazards;


(3) Emergency Help and Self-Rescue;


(4) Vehicles - Mandatory Rules and Regulations;


(5) Safe Use of Field Equipment;


(6) Use, Handling, Storage, and Transportation of Hazardous Materials;


(7) Personal Protective Equipment and Clothing, Use and Care; and


(8) Safe Sampling Techniques.


B-3

Appendix B EPA Order 

1440.2 

In addition to classroom instruction, the employee shall accompany an employee experienced 

in field activities and perform actual field tasks for a minimum of three days within a period of 

three months after classroom instruction. Employees satisfactorily completing these 

requirements will receive certification at the Basic Level of training from the Occupational 

Health and Safety Designee at the Reporting Unit. 

b. Intermediate Level. All inexperienced employees who are to work with experienced 

employees in uncontrolled hazardous waste and hazardous spills sites investigators or 

employees engaged in other activities which at a later data are determined by the Director, 

Office of Occupational Health and Safety, to present unique hazards requiring additional 

training, shall be provided a minimum of 8 hours of additional health and safety training. This 

training shall include (in addition to the Basic Level requirements) but not be limited to the 

following subject matter: 

(1) Site surveillance, observation, and safety plan development;


(2) Use and decontamination of totally enclosed protective clothing and equipment;


(3) Use of field test equipment for radioactivity, explosivity, and other


measurements; and 

(4) Topics specific to other identified activities. 

In addition to classroom instruction, the employee shall accompany another employee 

experienced in hazardous waste and spill site investigations and/or cleanup operations and 

perform actual field tasks for a minimum of three days within a three month period, following 

classroom instruction. The employee should also be able to provide on-the-job training and 

instructions to inexperienced employees during normal routine field activities (as required 

above). Employees satisfactorily completing these requirements will be certified at the 

Intermediate Level by the Occupational Health and Safety Designee at the Reporting Unit. 

c. Advanced Level. All employees who manage uncontrolled hazardous waste site and 

spill site monitoring, sampling, investigations, and cleanup operations shall be provided a 

minimum of 8 hours additional health and safety training. The classroom training shall include 

but not be limited to (in addition to the Basic and Intermediate Level requirements), instruction 

in the following subject areas: 

(1) Management of restricted and safe zones; 

(2) Rules of Handling the Press and VIP's; and 

(3) Safe Use of Specialized Sampling Equipment. 

In addition to classroom instruction, the employee shall accompany another employee with 

experience in managing hazardous waste and spill site investigations or cleanup operations and 

perform actual field tasks for a minimum of three days within a period of three months after 

classroom instruction. After satisfactorily completing these requirements, employees will 

receive Advanced Level certification from the Occupational Health and Safety Designee at the 

Reporting Unit. 

d. General. 

(1) An employee may receive certification at the next higher level by completing only 

the additional training requirements if certified at the next lower level within the previous oneyear period. 

B-4

Appendix B EPA Order 

1440.2 

(2) The Director, Office of Occupational Health and Safety, may certify employees 

based on an evaluation of previous training, education, and experience. Recommendations for 

this type certification should be made to the Director by the Occupational Health and Safety 

Designee at the Reporting Unit. 

10. FREQUENCY OF TRAINING. Employees at the Basic, Intermediate, and Advanced 

Levels shall complete a minimum of 8 hours of refresher classroom instruction annually 

consisting of a review of all subject areas to maintain their certification. In addition to the 

classroom instruction, employees shall have demonstrated by having performed actual field 

tasks that they have sufficient practical experience to perform their assigned duties in a safe 

and healthful manner. 

11. RECORD OF TRAINING. 

a. A record of the level of training and certification shall be maintained in the employee's 

official personnel file. 

b. The Occupational Health and Safety Designee shall maintain a roster of employee 

training and certification so that a schedule of annual training can be established. 

c. The Occupational Health and Safety Designee shall issue a certificate to the employee 

showing the level of training and certification. 

12. OCCUPATIONAL MEDICAL MONITORING REQUIREMENTS. All employees routinely 

engaged in field activities which present the probability of exposure to hazardous or toxic 

substances, which are arduous or physically taxing, or which require the use of respiratory 

protective equipment shall be included in the Agency's Occupational Medical Monitoring 

Program. Employees should not be permitted to engage in field activities unless they have 

undergone a baseline medical examination (as defined in the Agency's Occupational Medical 

Monitoring Guidelines), which will show physical fitness and provide a base to measure any 

adverse effects their activities may have on these individuals. 

13. SAVING PROVISIONS. Changes in the Act, Executive Order, or EPA and OSHA 

standards and guidelines which occur after the effective date of this Order will automatically 

come under the purview of this Order on the effective date of the change. 

Full implementation of this Order shall be within one year of its effective date 

Edward J. Hanley


Director, Office of Management


Information and Support Services


B-5

APPENDIX C


REVISED FACT SHEET: SAFETY AND HEALTH


REQUIREMENTS FOR EPA INSPECTORS

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Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

May 14, 2001 

MEMORANDUM 

SUBJECT:	 Revised Fact Sheet: Safety and Health Requirements for EPA 

Compliance Inspectors 

FROM:	 Michael Alushin, Director /S/ 

Compliance Assessment and Media Programs Division 

TO:	 Regional Enforcement Division Directors, Regions 1, 2,4, 6, 8 

Regional Media Division Directors, Regions 3, 5, 7, 9, 10 

Regional Science and Technology Division Directors, Regions 1-10 

This memorandum transmits a revised fact sheet to distribute to the regional 

inspectors in your respective organizations. We prepared the fact sheet in response to 

requests for a quick reference summary made at the National Inspector Workshop we 

held last November. If you wish more information, you should obtain copies of EPA 

Orders 1440.1, 1440.2, 3500.1, and the OSHA requirements in 29 CFR 1910.120. The 

fact sheet discusses how to obtain copies of these documents. 

This revised fact sheet was developed to address concerns expressed by Regional 

safety and health officers dealing with refresher health and safety training. The following 

highlights considerations leading to the revisions we made to the fact sheet: 

• Language in the various safety and health orders can be interpreted in several ways 

•	 After reviewing Regional concerns, we have decided to revise the fact sheet to 

interpret the Orders as requiring only a minimum of eight hours annual refresher 

training 

•	 EPA inspectors that have been trained to the intermediate or advanced level need 

different refresher training than inspectors trained to the basic level 

C-1

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

We encourage the Regions, based on the number of intermediate and advanced 

level inspectors in their Region, to provide training on the specific risks posed to these 

inspectors. The Regions should be providing safety and health refresher courses specific 

to the level the inspector has achieved (basic, intermediate or advanced). The basic 

level refresher course can generally be met by reviewing the “Safety, Health and 

Environmental Management Training for Field Activities”, in conjunction with the field 

refresher requirement. We encourage you to review the various EPA Orders dealing with 

safety and health of EPA employees that are posted on the EPA Inspector Website. The 

website address is: http://INTRANET.EPA.GOV/OECA/OC/METD/INSPECTOR 

Thank you for your attention. We sincerely hope the revised fact sheet will improve 

the understanding of the health and safety requirements in order to provide EPA 

inspectors with a safe and healthy working environment. If you have any questions about 

this fact sheet, you can contact either OECA (Ken Gigliello at 202-564-2300) or OARM 

(Jerry Oakley at 202-564-2082). 

cc:	 OC Division Directors 

ORE Division Directors 

OCEFT Division Directors 

OARM/Safety, Health and Management Division 

Enforcement Coordinators, Regions I-X 

Safety and Health Officers, Regions I-X 

REVISED FACT SHEET


Safety and Health Requirements for EPA Compliance Inspectors


C-2

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

(May 11, 2001) 

Introduction	 This fact sheet is intended to be a quick reference guide for EPA 

compliance inspectors. It provides a summary of the requirements of EPA 

Orders 1440.1 and 1440.2, and OSHA 29 CFR 1910.120 (e)(3)-(9). EPA 

compliance inspectors should obtain copies of the specific Orders and the 

OSHA regulations for more specific information. EPA Orders dealing with 

safety and health are posted on the EPA Inspector Website. The website 

address is: http://INTRANET.EPA.GOV/OECA/OC/METD/INSPECTOR 

Background	 EPA Order 1440.1, dated May, 1998, Safety, Health and Environmental 

Management Program, establishes new policies, delegates authorities, 

defines management functions and responsibilities, and creates Agencywide organizational structure for the administration of Safety, Health and 

Environmental Management (SHEEP). Copies of the Order can be 

obtained from the Office of Administration and Resource Management 

(ARM), Safety, Health and Environmental Management Division (Phone: 

202-564-1640), or the Regional Safety and Health Officer. 

EPA Order 1440.1 is an omnibus Order designed to replace all specific 

EPA Orders dealing with safety, health and environmental management. 

This action was taken to minimize the number of orders and to enable more 

flexibility in modifying regulations through the use of guidelines. 

When EPA Order 1440.1 was finalized, the ARM was beginning a review of 

the entire issue of training requirements for both field and laboratory 

employees. Until this review was completed, ARM did not want to make 

changes to the Orders related to training. 

As a result, EPA Order 1440.2, Health and Safety Requirements for 

Employees Engaged in Field Activities, was not incorporated into EPA 

Order 1440.1. However, ARM expects to do so in the Spring of 2001. ARM 

is examining several alternatives and when the review is completed, they 

will produce a set of guidelines to be included under EPA Order 1440.1. 

This will eliminate EPA Order 1440.2. Until that time, EPA Order 1440.2 

remains in effect. 

The guidelines that have been, and will be developed to replace existing 

Orders will be issued to EPA personnel to explain statutory and regulatory 

C-3

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

mandates, to interpret their application to EPA activities, and to identify the 

knowledge, skills, and abilities of personnel who must implement them. 

The guidelines are recommendations, and do not have to be followed 

exactly. 

Guidelines	 Approximately 55 safety, health and environmental management guidelines 

have been developed to date to help EPA manage its safety, health and 

environmental management responsibilities. The guidelines developed to 

date covering a wide range of topics including management systems, 

environmental statutes, transferring real property, office building 

compliance, fire protection and life safety, chemical handling and safety, 

laboratory procedures, forklift operations, electrical safety, radiation, 

lockout/tagout, occupational noise, workplace hazards, hazard 

communication, handling of PCBs and asbestos, and personal protective 

equipment. 

EPA Order 

1440.2	 EPA Order 1440.2, dated July 12, 1981, and titled Health and Safety 

Requirements for Employees Engaged in Field Activities, establishes policy, 

responsibilities, and mandatory requirements for occupational health and 

safety training and certification, and occupational medical monitoring of 

Agency employees engaged in field activities. The Order is seven (7) 

pages in length. The Order establishes three (3) levels of initial health and 

safety training: basic (24 hours), intermediate (8 hours), and advanced (8 

hours). The specific requirements for each level are listed below. This 

Order is incorporated by reference into EPA Order 3500.1, Training and 

Development for Lead Compliance Inspectors/Field Investigators, dated 

June 29, 1988. This Order is currently being revised but the EPA Order 

1440.1 reference will be included in the revised Order. 

The Order only reflects EPA’s internal training requirements and does NOT 

eliminate the requirements for field personnel working with hazardous 

materials covered by 29CFR 1910.120 (e)(3)-(9). These OSHA regulations 

require training for employees working at clean-up operations conducted 

under the Superfund or RCRA correction action programs, voluntary 

cleanup operations, operations involving hazardous waste at RCRA 

Treatment, Storage and Disposal Facilities (TSDF’s), and emergency 

response operations for releases of hazardous substances. The 

requirements can be retrieved from the OSHA web site at http://www.oshaslc.gov/OshStd_data/1910_0120.html. While many of these requirements 

are similar and some training will count toward meeting both sets of 

requirements, it should be remembered that they are separate 

requirements. 

C-4

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

Basic	 The basic level training shall include, but not be limited to, classroom 

instruction in all of the following areas: 

� Employee rights and responsibilities


� Nature of anticipated hazards


� Emergency self-help and rescue


� Vehicles – mandatory rules and regulations


� Safe use of field equipment


� Use, handling, storage, and transportation of hazardous material


� Personal protective equipment and clothing, use, and care, and


� Safe sampling techniques


In addition to classroom instruction, the employee shall accompany an


employee experienced in field activities and perform actual field activities


for a minimum of three (3) days within a period of three months after


classroom instruction.


Intermediate	 The intermediate level training is required for employees who engage in 

activities at uncontrolled hazardous waste and hazardous spill site 

investigations or employees engaged in other activities which are 

determined at a later date to present unique hazards requiring additional 

training. The intermediate training shall include, but not be limited to, to the 

following subject areas: 

� Site surveillance, observation, and safety plan development 

� Use and decontamination of totally enclosed protective 

clothing/equipment 

� Use of field test equipment for radioactivity, exclusivity, and other 

measurements 

� Topics specific to other identified activities 

In addition to classroom instruction, the employee shall accompany an 

employee experienced in hazardous waste and spill site investigations 

and/or cleanup operations and perform actual field activities for a minimum 

of three (3) days within a period of three months after classroom instruction. 

Advanced	 The advanced level training is required for employees who manage 

uncontrolled hazardous waste and spill site monitoring, sampling, 

investigations and cleanup operations. The advanced training shall include, 

but not be limited to, to the following subject areas: 

C-5

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

� Management of restricted and safe zones 

� Rules of handling the press and VIP’s 

� Safe use of specialized sampling equipment 

In addition to classroom instruction, the employee shall accompany an 

employee experienced in managing hazardous waste and spill site 

investigations or cleanup operations and perform actual field activities for a 

minimum of three (3) days within a period of three months after classroom 

instruction. 

Refresher	 Refresher training requirements are a minimum of eight (8) hours for 

all EPA inspectors. The type of training required depends upon which 

level of training the EPA inspector has completed. Basic level 

refresher training is probably appropriate for most EPA inspectors. 

For EPA inspectors that have taken intermediate and advanced level 

safety and health training, refresher training should be tailored to the 

specific needs of the particular EPA inspectors, where possible. The 

Regions and/or ARM are responsible for developing and delivering 

this level-specific refresher training. 

In addition to the classroom instruction, employees shall have 

demonstrated sufficient practical experience to perform their duties in 

a safe and healthful manner by having performed actual field tasks 

related to their level of training. 

C-6

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

Safety and Health Training Availability 

Training How to Get? 

Whe re 

Delivered? 

Comm ents 

EPA Safety 

and Health 

Environmenta 

l Management 

Training for 

Field 

Activities --

computer 

based CDrom course 

Jerry Oakey 

(ARM) 

202-564-

2082 

Includes modules on employee rights and responsibilities, 

nature of anticipated hazards (in-depth), per sonal protective 

equipment, some safe use of field and sampling equipment, 

and transportation of hazardous materials. not 

cover emergency self-help and rescue, mandatory rules and 

regulations for vehicles, and specific field and sampling 

equipment procedures. 

This CD was not available when EPA Order 1440.2 was 

written in 1981. M has approved CD-rom training as an 

acceptable alternative to traditional classroom training with a 

couple of caveats: 1) Some activities (e.g., respirator f it 

testing) require hands-on training, and are not covered by 

CD-rom training, 2) The one requirement that all technolog ybased training to be acceptable to EPA and OSHA is for the 

user have access, either on-site or by other means of 

communication, to a source of information to answer any 

specific questions that may occur during the technologybased training. this is the supervisor, the local 

health and safety program manager, or an experienced 

employee. 

Under the existing CD-rom course (SHE’D Disk #2), ARM 

allows one hour of training credit per training module. 

CD-rom includes 34 modules. tudents are required to take 

a total of 24 modules to meet the health and safety 

requirements. fic modules are required 

to be taken. oose six (6) additional 

modules from the remaining 16 modules that address the 

type of work they routinely conduct. 

The SHE’D disk #2 only covers the basic EPA 24-hour 

course. be used as part of the 

annual 8-hour refresher program. 

CD does 

AR

Generally

The 

S

Eighteen (18) speci

The student must then ch

Some of the modules can

C-7

Appendix C Revised Fact Sheet: Safety and Health Requirements for EPA Inspectors 

Health and 

Safety 

Training Live 

Course 

Limited 

availability in 

Edison, NJ, 

Cincinnati, 

OH and 

selected 

Regions. 

This course is a full 40-hour course that covers employee 

rights and responsibilities, nature of anticipated hazards (indepth), personal protective equipment, some saf e use of field 

and sampling equipment, and transportation of hazardous 

materials. covers emergency self-help and 

rescue, mandatory rules and regulations for vehicles, and 

specific field and sampling equipment procedures. 

This course also

First aid and 

CPR courses 

American 

Red Cross 

and other 

commercial 

vendors 

These two courses can be combined in a one day event or 

taken separately. d courses offered by the Red Cross 

only need to be taken every 3 years. ourses are 

required every year. 

First ai

CPR c

Vehicle rules 

and 

regulations 

Shipment of 

Hazardous 

Materials 

Regional 

Health and 

Safety 

Training 

Officer. 

or 

commercial 

vendors offer 

a defensive 

driving 

course. 

ARM 

distributed a 

DOT course 

on CD-rom 

to 

Regions. 

Courses are 

commercially 

available. 

GSA 

the 

Since EPA inspectors spend a considerable amount of time 

driving to conduct inspections, it is required that they know 

what to do in case of an accident or other mishap. 

In addition, since driving is a hazard of the job, inspectors 

should, on some routine basis, take a defensive driving 

course to hone and sharpen their skills. 

All inspectors who ship hazardous materials should take the 

DOT or commercially available course. 

Contact the Regional Safety and Health Program manager 

for details. 

OC recently transmitted a fact sheet for inspectors on DOT 

training requirements for shipping hazardous materials. 

Other courses ARM ARM can be contacted for additional CD-rom and web-based 

courses to supplement field personnel training on topics such 

as radiation protection, due diligence-real property transfers, 

and OECA compliance training manuals. 

C-8

APPENDIX E


SAMPLE SECTION 308 LETTER

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Appendix E Sample Section 308 Letter 

Certified Mail—Return Receipt Requested 

Date 

Dear Sir: 

Pursuant to the authority contained in Section 308 of the Clean Water Act (33 

U.S.C. 1251 et seq.), representatives of the U.S. Environmental Protection Agency 

(EPA), or a contractor retained by EPA, is planning to conduct a compliance 

monitoring inspection of your operations, including associated waste treatment 

and/or discharge facilities located at (site of inspection). This inspection will 

ascertain the degree of compliance with the requirements of the National Pollutant 

Discharge Elimination System (NPDES) permit issued to your organization. 

Our representatives may observe your process operations, inspect your monitoring 

and laboratory equipment and methods, collect samples, and examine appropriate 

records, and they will be concerned with related matters. 

In order to facilitate easy access to the plant site, please provide the name of the 

responsible facility official who can be contacted upon arrival at the plant. 

Additionally, we would appreciate receiving a list of the safety equipment you 

would recommend that our representatives have in their possession in order to 

enter and conduct the inspection safely. Please provide the information requested 

within 14 days of receipt of this letter. 

If you have any questions concerning this inspection, please call (appropriate 

designated official). 

Sincerely,


Director


Water Management Division


Sample Section 308 Letter 

E-1 
Appendix E Sample Section 308 Letter 

This page intentionally left blank. 

E-2

APPENDIX F

FINAL FACT SHEET: THE DO’S AND DON’TS OF

USING U.S. EPA CREDENTIALS
2

This page intentionally left blank. 
Appendix F Final Fact Sheet: The Do’s and Don’ts of 

Using U.S. EPA Credentials 

DATED: JUNE 1, 2000; SIGNED: MICHAEL STAHL 

MEMORANDUM 

SUBJECT: Final Fact Sheet: 

The United States Environmental Protection Agency Credentials Fact Sheet 

FROM: Michael Stahl, Acting Directors/ MICHAEL STAHL 

Office of Compliance 

TO: See Attached List 

Purpose The purpose of this memo is to transmit the final fact sheet on the United States 

Environmental Protection Agency (U.S. EPA) credentials. The fact sheet does not 

change existing EPA policies on credentials. The fact sheet is designed to inform 

EPA managers, supervisors, and employees of the overall process regarding U.S. EPA 

credentials. The fact sheet pertains only to EPA employees. The fact sheet contains 

information on the definition, policy, authority, language, issuing procedures, 

accountability, renewal, potential penalties for improper use, and specific do’s and 

don’ts. 

Process A draft fact sheet was transmitted for your review on April 14, 2000. The Office of 

Compliance (OC) received comments on the draft fact sheet from Regions 2, 3, 4, 6, 7 

and 8, and from the Office of General Counsel (OGC), the Office of Environmental 

Justice (OEJ), the Office of Regulatory Enforcement (ORE), and the Office of 

Administration and Resource Management (OARM). The fact sheet was revised 

based on the comments. 

Request Please distribute a copy of the fact sheet to all EPA employees holding EPA 

credentials. The fact sheet will also be posted on the OC Compliance Inspector Web 

Site. (http://intranet.epa.gov/oeca/oc/metd/inspector) 

Future OARM will include a copy of the fact sheet with the credentials when they are 

Procedure renewed every three (3 years). 

Thank you for your attention to this request. 

F-1
Appendix F Final Fact Sheet: The Do’s and Don’ts of 

Using U.S. EPA Credentials 

Addressees: 

Eric Schaeffer, Director, ORE

Leo D’Amico, Director, OCEFT

Barry Breen, Director, OSRE

James C. Nelson, Associate General Counsel, Cross-Cutting Issues Law Office

Barry Hill, Director, Office of Environmental Justice

John Fogarty, Acting Director, Office of Planning and Policy Analysis

Craig Hooks, Director, Federal Facilities Enforcement Office

Rich Lemley, Director, Facilities Management and Services Division

Steve Zeigler, Chief, Security and Property Management Branch 

Regional Enforcement Division Directors, Regions I-X

Regional Science and Technology Division Directors, Regions I-X

Regional Enforcement Coordinators, Regions I-X

Regional Security Managers, Regions I-X

ORE Division Directors

OC Division Directors

OSRE Division Directors

Louis Halkias, Acting Director, Criminal Investigations Division

Jonathan Cole, Director, Legal Counsel and Resource Management Division

Diana A. Love, Director, NEIC

Gerald Bryan, Director, NETI

Yvette Jackson, OARM

Ken Gigliello, OC 

F-2
Appendix F Final Fact Sheet: The Do’s and Don’ts of 

Using U.S. EPA Credentials 

The Do’s and Don’ts of Using U.S. EPA Credentials 

These do’s and don’ts are established based on good management practices for ensuring the 

proper use of EPA credentials by EPA employees. The practical purpose of the do’s and don’ts 

is to make EPA employees aware of the importance to safeguard credentials, and limit their use 

to ONLY enforcement functions. 

DO’S DON’TS 

Do use for official duties described in the 

credentials 

Do NOT use for non-enforcement government 

business 

Do use to conduct compliance inspections Do NOT allow anyone to hold or take possession 

of your credentials 

Do use to conduct compliance investigations Do NOT loan the credentials to anyone. This 

includes other EPA employees. 

Do use when responding to environmental 

complaints and/or spills 

Do NOT photocopy the credentials 

Do use to conduct facility audits Do NOT fail to report a lost or stolen credentials 

to your supervisor 

Do use to verify status as an EPA official when 

interviewing witnesses in the field 

Do NOT allow anyone else to photocopy or use 

the credentials 

Do use as identification for entry into facilities 

regulated under federal environmental laws and 

regulations 

Do safeguard storage of credentials 

Do always immediately report if the EPA 

credentials is lost or stolen to your immediate 

supervisor 

F-1
Appendix F Final Fact Sheet: The Do’s and Don’ts of 

Using U.S. EPA Credentials 

FACT SHEET ON CREDENTIALS ISSUED TO EPA EMPLOYEES 

DO’S AND DON’TS 

5/23/00 

Source: EPA Security Manual, Physical Security Section, Volume 4850-1, dated 7/16/84 

DEFINITION The 1984 Security Manual defines an EPA credential as: “An EPA credential is a 

pocket warrant authorized by the Administrator, Assistant Administrator, or 

Regional Administrator that identifies the bearer as having the authority to act in 

an enforcement, inspection, survey, or investigation capacity.” However, the 

EPA’s legal authority to perform the enforcement, inspection, survey, or 

investigation functions is based on the applicable federal environmental statutes 

passed by the United States Congress and signed by the President of the United 

States. The credential evidences the proper delegation of this authority and 

does not provide independently the authority to undertake these activities. 

POLICY EPA credentials should be issued only to those officers and employees who 

routinely need them to actively perform official enforcement, inspection, survey 

or investigative functions. EPA credentials generally are not issued to non-EPA 

employees, but in certain situations may be issued to State or tribal personnel, 

contractors, or grantees. In the event that non-EPA employees are authorized by the 

Administrator, Regional Administrator, or Assistant Administrator to possess EPA 

credentials, the credentials will be issued by the Regional Office, Lab, or other 

organization which has responsibility for overseeing the duties of the credentialed 

non-EPA employee. 

LANGUAGE The language on the EPA credential states: 

United States of America Environmental Protection Agency 

This is to Certify that (EPA Employee’s Name)

Whose Signature and Photograph Appear Below is a Duly Commissioned

(blank space for insertion of title)

Each credential includes ONE of the following titles:

Inspector, Compliance Officer, Enforcement Officer, 

On-Scene Coordinator, Remedial Project Manager, 

Debarment Counselor or Law Judge 

Authorized to Conduct Official Investigations and 

Inspections Pursuant to All Federal Laws 

Administered by the United States 

Environmental Protection Agency

F-2
Appendix F Final Fact Sheet: The Do’s and Don’ts of 

Using U.S. EPA Credentials 

ISSUANCE The requesting Headquarters program, media office, Regional office or Lab, 

should transmit a brief memorandum of justification to the Headquarters Office of 

Administration and Resources Management (OARM) requesting credentials to be 

issued to specific EPA employees. The memo should include the names, titles, 

organization, official duties, date of request, and the signature of requesting 

official. The requesting party is responsible for ensuring that the bearer has met 

applicable training requirements (e.g., EPA Order 3500.1). OARM (Security 

Management) will issue the federal credentials to the named employees after 

review of the information. 

ACCOUNTABILITY Since credentials are issued only to assist the bearer in the performance of 

official duties, the credentials should be returned to OARM when the 

bearer leaves the position requiring the EPA credentials. The employee’s 

office should send OARM a brief note explaining the reason the 

credentials are being returned (e.g., retirement, employee reassigned to a 

position not requiring a credential) 

If the EPA credentials are lost or stolen, the bearer should promptly notify his or her 

immediate supervisor, in writing, and a copy should be sent to OARM. A brief report 

of the circumstances surrounding the loss or theft should be forwarded to the Security 

Management Staff along with the new request. If a new set of credentials is required, 

the above procedures will be followed. Failure to promptly notify the supervisor of 

a lost or stolen credential could result in disciplinary action against the bearer. 

RENEWAL EPA credentials will be renewed every three (3) years by OARM. The Security 

Management Official will transmit a list of Regional employees whose credentials 

will expire to the Security Representative in each Region for review. The 

Security representative is responsible for ensuring that all listed personnel still 

have a need for the credential and applicable training is up-to-date. Once the list 

has been updated and returned to the HQ Security Management Official, OARM 

will renew the Regional credentials. All credentials are reissued on a rolling 

monthly basis to each Region (e.g., January for Region I, February for Region II, 

etc.) 

Each Headquarters Office will receive a listing of employees whose credentials will 

expire. The Office Director is responsible for ensuring that all listed personnel still have 

a need for the credential and applicable training is up-to-date. OARM will renew these 

credentials on a first-come, first-served basis. All Headquarters credentials expire in 

December of the calendar year. 

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Appendix F Final Fact Sheet: The Do’s and Don’ts of 

Using U.S. EPA Credentials 

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F-4
APPENDIX G

EPA'S MEMORANDUM ON ENTRY

PROCEDURES
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Appendix G EPA’s Memorandum on Entry Procedures 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

WASHINGTON, D.C. 20460 

11 APR 1978 

MEMORANDUM OFFICE OF ENFORCEMENT 

TO: Regional Administrators 

Surveillance and Analysis Division Directors 

Enforcement Division Directors 

FROM: Assistant Administrator for Enforcement 

SUBJECT: Conduct of Inspections After the Barlow's Decision 

I. Summary 

This document is intended to provide guidance to the Regions in the conduct of 

inspections in light of the recent Supreme Court decision in Marshall v. Barlow's, Inc., 

U.S. , 98 S. Ct. 1816 (1978). The decision bears upon the need to obtain warrants or 

other process for inspections pursuant to EPA-administered Acts. 

In Barlow's, the Supreme Court held that an OSHA inspector was not entitled to 

enter the non-public portions of a work site without either (1) the owner's consent, or (2) a 

warrant. The decision protects the owner against any penalty or other punishment for 

insisting upon a warrant. 

In summary, Barlow's should only have a limited effect on EPA enforcement 

inspections: 

• Inspections will generally continue as usual; 

• Where an inspector is refused entry, EPA will seek a warrant through the 

U.S. Attorney; 

• Sanctions will not be imposed upon owners of establishments who insist on 

a warrant before allowing inspections of the non-public portions of an 

establishment. 

The scope of the Barlow's decision is broad. It affects all current inspection 

programs of EPA, including inspections conducted by State personnel and by contractors. 

The Agency's procedures for inspections, particularly where entry is denied, were largely 

in accord with the provisions of Barlow's before the Supreme Court issued its ruling. 

Nevertheless, a number of changes in Agency procedure are warranted. Thus, it is 

important that all personnel involved in the inspection process be familiar with the 

procedural guidelines contained in this document. 

G-1
Appendix G EPA’s Memorandum on Entry Procedures 

This document focuses on the preparation for and conduct of inspections, including 

(1) how to proceed when entry is denied, (2) under what circumstances a warrant is 

necessary, and (3) what showing is necessary to obtain a warrant. 

II. Conduct of Inspections 

The following material examines the procedural aspects of conducting inspections 

under EPA-administered Acts. Inspections are considered in three stages: (1) preparation 

for inspection of premises, (2) entry onto premises, and (3) procedures to be followed 

where entry is refused. 

A. Preparation 

Adequate preparation should include consideration of the following factors 

concerning the general nature of warrants and the role of personnel conducting 

inspections. 

(1) Seeking a Warrant Before Inspection 

The Barlow's decision recognized that, on occasion, the Agency may wish to 

obtain a warrant to conduct an inspection even before there has been any refusal to allow 

entry. Such a warrant may be necessary when surprise is particularly crucial to the 

inspection, or when a company's prior bad conduct and prior refusals make it likely that 

warrantless entry will be refused. Pre-inspection warrants may also be obtained where the 

distance to a U.S. Attorney or a magistrate is considerable so that excessive travel time 

would not be wasted if entry were denied. At present, the seeking of such a warrant prior 

to an initial inspection should be an exceptional circumstance, and should be cleared 

through Headquarters. If refusals to allow entry without a warrant increase, such warrants 

may be sought more frequently. (For specific instructions on how to obtain a warrant, see 

Part D.) 

(2) Administrative Inspections v. Criminal Investigations 

It is particularly important for both inspectors and attorneys to be aware of the 

extent to which evidence sought in a civil inspection can be used in a criminal matter, and 

to know when it is necessary to secure a criminal rather than a civil search warrant. There 

are three basic rules to remember in this regard: (1) If the purpose of the inspection is to 

discover and correct, through civil procedures, noncompliance with regulatory 

requirements, and administrative inspection (civil) warrant may be used; (2) if the 

inspection is in fact intended , in whole or in part, to gather evidence for a possible criminal 

prosecution, a criminal search warrant must be obtained under Rule 41 of the Federal 

Rules of Criminal Procedure; and (3) evidence obtained during a valid civil inspection is 

generally admissible in criminal proceedings. These principles arise from the recent 

Supreme Court cases of Marshall v. Barlow's, Inc., supra; Michigan v. Tyler, U.S. , 98 

S.Ct. 1942 (1978); and U.S. v. LaSalle National Bank, U.S. , 57 L. Ed: 2d 221 (1978). 

It is not completely clear whether a combined investigation for civil and criminal violations 

may be properly conducted under civil or "administrative" warrant, but we believe a civil 

warrant can properly be used unless the intention is clearly to conduct a criminal 

investigation. 

G-2
Appendix G EPA’s Memorandum on Entry Procedures 

(3) The Use of Contractors to Conduct Inspections 

Several programs utilize private contractors to aid in the conduct of inspections. 

Since, for the purpose of inspections, these contractors are agents of the Federal 

government, the restrictions of the Barlow's decision also apply to them. If contractors are 

to be conducting inspections without the presence of actual EPA inspectors, these 

contractors should be given training in how to conduct themselves when entry is refused. 

With respect to obtaining or executing a warrant, an EPA inspector should always 

participate in the process, even if he was not at the inspection where entry was refused. 

(4) Inspections Conducted by State Personnel 

The Barlow's holding applies to inspections conducted by State personnel and to 

joint Federal/State inspections. Because some EPA programs are largely implemented 

through the States, it is essential that the Regions assure that State-conducted inspections 

are conducted in compliance with the Barlow's decision, and encourage the State 

inspectors to consult with their legal advisors when there is a refusal to allow entry for 

inspection purposes. State personnel should be encouraged to contact the EPA Regional 

Enforcement Office when any questions concerning compliance with Barlow's arise. 

With regard to specific procedures for States to follow, the important points to 

remember are: (1) The State should not seek forcible entry without a warrant or penalize 

an owner for insisting upon a warrant, and (2) the State legal system should provide a 

mechanism for issuance of civil administrative inspection warrants. If a State is enforcing 

an EPA program through a State statute, the warrant process should be conducted 

through the State judicial system. Where a State inspector is acting as a contractor to the 

Agency, any refusal to allow entry should be handled as would a refusal to an Agency 

inspector as described in section II.B.3. Where a State inspector is acting as a State 

employee with both Federal and State credentials, he would utilize State procedures 

unless the Federal warrant procedures are more advantageous, in which case, the warrant 

should be sought under the general procedures described below. The Regions should 

also assure that all States which enforce EPA programs report any denials of entry to the 

appropriate Headquarters Enforcement Attorney for the reasons discussed in section 

II.B.4. 

B. Entry 

(1) Consensual Entry 

One of the assumptions underlying the Court's decision is that most inspections 

will be consensual and that the administrative inspection framework will thus not be 

severely disrupted. Consequently, inspections will normally continue as before the 

Barlow's decision was issued. This means that the inspector will not normally secure a 

warrant before undertaking an inspection but, in an attempt to gain admittance, will present 

his credentials and issue a notice of inspection where required. The establishment owner 

may complain about allowing an inspector to enter or otherwise express his displeasure 

with EPA or the Federal government. However, as long as he allows the inspector to 

enter, the entry is voluntary and consensual unless the inspector is expressly told to leave 

the premises. On the other hand, if the inspector has gained entry in a coercive manner 

(either in a verbal or physical sense), the entry would not be consensual. 

G-3
Appendix G EPA’s Memorandum on Entry Procedures 

Consent must be given by the owner of the premises or the person in charge of 

the premises at the time of the inspection. In the absence of the owner, the inspector 

should make a good faith effort to determine who is in charge of the establishment and 

present his credentials to that person. Consent is generally needed only to inspect the 

non-public portions of an establishment - i.e., any evidence that an inspector obtains while 

in an area open to the public is admissible in an enforcement proceeding. 

(2) Withdrawal of Consent 

The owner may withdraw his consent to the inspector at any time. The 

inspection is valid to the extent to which it has progressed before consent was withdrawn. 

Thus, observations by the inspector, including samples and photographs, obtained before 

consent was withdrawn, would be admissible in any subsequent enforcement action. 

Withdrawal of consent is tantamount to a refusal to allow entry and should be treated as 

discussed in section II.B.3. below, unless the inspection had progressed far enough to 

accomplish its purposes. 

(3) When Entry is Refused 

Barlow's clearly establishes that the owner does have the right to ask for a 

warrant under normal circumstances.1 Therefore, refusal to allow entry for inspection 

purposes will not lead to civil or criminal penalties if the refusal is based on the inspector's 

lack of warrant and one of the exemptions discussed in Part C does not apply. If the 

owner were to allow the inspector to enter his establishment only in response to a threat of 

enforcement liability, it is quite possible that any evidence obtained in such an inspection 

would be inadmissible. An inspector may, however, inform the owner who refused entry 

that he intends to seek a warrant to compel the inspection. In any event, when entry is 

refused, the inspector should leave the premises immediately and telephone the 

designated Regional Enforcement Attorney as soon as possible for further instructions. 

The Regional Enforcement Attorney should contact the U.S. Attorney's Office for the 

district in which the establishment desired to be inspected is located and explain to the 

appropriate Assistant United States Attorney the need for a warrant to conduct the 

particular inspection. The Regional Attorney should arrange for the United States Attorney 

to meet with the inspector as soon as possible. The inspector should bring a copy of the 

appropriate draft warrant and affidavits. Samples are provided in the appendix to this 

document. 

(4) Headquarters Notification 

It is essential that the Regions keep Headquarters informed of all refusals to 

allow entry. The Regional Attorney should inform the appropriate Headquarters 

Enforcement Attorney of any refusals to enter and should send a copy of all papers filed to 

Headquarters. It is necessary for Headquarters to monitor refusals and Regional success 

in obtaining warrants to evaluate the need for improved procedures and to assess the 

impact of Barlow's on our compliance monitoring progress. 

1 FIFRA inspections are arguably not subject to this aspect of Barlow's. See discussion, p. 5 and 6. 

G-4 
Appendix G EPA’s Memorandum on Entry Procedures 

C. Areas Where a Right of Warrantees Entry Still Exists 

(1) Emergency Situations 

In an emergency, where there is no time to get a warrant, a warrantees 

inspection is permissible. In Camera v. Municipal Court, 387 U.S. 523 (1967), the 

Supreme Court states that "nothing we say today is intended to foreclose prompt 

inspections, even without a warrant, that the law has traditionally upheld in emergency 

situations." Nothing stated in Barrow's indicates any intention by the court to retreat from 

this position. The Regions will always have to exercise considerable judgement 

concerning whether to secure a warrant when dealing with an emergency situation. 

However, if entry is refused during and emergency, the Agency would need the assistance 

of the U.S. Marshal to gain entry, and a warrant could probably be obtained during the 

time necessary to secure that Marshal's assistance. 

An emergency situation would include potential imminent hazard situations, as 

well as situations where there is potential for destruction of evidence or where evidence of 

a suspected violation may disappear during the time that a warrant is being obtained. 

(2) FIFRA Inspection 

There are some grounds for interpreting Barrow's as not being applicable to 

FIFRA inspections. The Barrow's restrictions do not apply to areas that have been subject 

to a long standing and pervasive history of government regulation. An Agency 

administrative law judge held recently that even after the Barrow's decision, refusal to 

allow a warrantees inspection of a FIFRA regulated establishment properly subjected the 

owner to civil penalty. N. Jones & Co., Inc., I.F. & R Docket No. III-121C (July 27, 1978). 

For the present, however, FIFRA inspections should be conducted under the same 

requirements applicable to other enforcement programs. 

(3) "Open Fields" and "In Plain View" Situations 

Observation by inspectors of things that are in plain view, (i.e., of things that a 

member of the public could be in a position to observe) does not required a warrant. Thus, 

an inspector's observations from the public area of a plant or even from certain private 

property not closed to the public are admissible. Observations made even before 

presentation of credentials while on private property which is not normally closed to the 

public are admissible. 

D. Securing a Warrant 

There are several general rules for securing warrants. Three documents have to 

be drafted: (a) an application for a warrant, (b) an accompanying affidavit, and (c) the 

warrant itself. Each document should be captioned with the District Court of jurisdiction, 

the title of the action, and the title of the particular document. 

The application for a warrant should generally identify the statutes and 

regulations under which the Agency is seeking the warrant, and should clearly identify the 

site or establishment desired to be inspected (including, if possible, the owner and/or 

operator of the site). The application can be a one or two page document if all of the 

factual background for seeking the warrant is stated in the affidavit, and the application so 

G-5
Appendix G EPA’s Memorandum on Entry Procedures 

states. The application should be signed by the U.S. Attorney or by his Assistant U.S. 

Attorney. 

The affidavits in support of the warrant application are crucial documents. Each 

affidavit should consist of consecutively numbered paragraphs, which describe all of the 

facts that support warrant issuance. If the warrant is sought in the absence of probable 

cause, it should recite or incorporate the neutral administrative scheme which is the basis 

for inspecting the particular establishment. Each affidavit should be signed by someone 

with personal knowledge of all the facts stated. In cases where entry has been denied, 

this person would most likely be the inspector who was denied entry. Note that an affidavit 

is a sworn statement that must either be notarized or personally sworn to before the 

magistrate. 

The warrant is a direction to an appropriate official (an EPA inspector, U.S. 

Marshal or other Federal officer) to enter a specifically described location and perform 

specifically described inspection functions. Since the inspection is limited by the terms of 

the warrant, it is important to specify to the broadest extent possible the areas that are 

intended to be inspected, any records to be inspected, any samples to be taken, and any 

articles to be seized, etc. While a broad warrant may be permissible in civil administrative 

inspections, a vague or overly broad warrant will probably not be signed by the magistrate 

and may prove susceptible to constitutional challenge. The draft warrant should be ready 

for the magistrate's signature at the time of submission via a motion to quash and 

suppress evidence in Federal District court. Once the magistrate signs the draft warrant, it 

is an enforceable document. Either following the magistrate's signature or on a separate 

page, the draft warrant should contain a "return of service" or "certificate of service". This 

portion of the warrant should indicate upon whom the warrant was personally served and 

should be signed and dated by the inspector. As they are developed, more specific 

warrant issuance documents will be drafted and submitted to the Regions. 

E. Standards or Bases for the Issuance of Administrative Warrants 

The Barrow's decision establishes three standards or bases for the issuance of 

administrative warrants. Accordingly, warrants may be obtained upon a showing: 1) of 

traditional criminal probable cause, 2) of civil probable cause, or 3) that the establishment 

was selected for inspection pursuant to a neutral administrative inspection scheme. 

(1) Civil Specific Probable Cause Warrant 

Where there is some specific probable cause for issuance of a warrant such as 

an employee complaint or competitor's tip, the inspector should be prepared to describe to 

the U.S. Attorney in detail the basis for this probable cause. 

The basis for probable cause will be stated in the affidavit in support of the 

warrant. This warrant should be used when the suspected violation is one that would 

result in a civil penalty or other civil action. 

G-6
Appendix G EPA’s Memorandum on Entry Procedures 

(2) Civil Probable Cause Based on a Neutral Administrative Inspection Scheme 

Where there is no specific reason to think that a violation has been committed, a 

warrant may still be issued if they Agency can show that the establishment is being 

inspected pursuant to a neutral administrative scheme. As the Supreme Court stated in 

Barrow's: 

"Probable cause in the criminal law sense is not required. For purposes of 

an administrative search, such as this, probable cause justifying the 

issuance of a warrant may be based not only on specific evidence of an 

existing violation, but also on a showing that "reasonable legislative or 

administrative standards for conducting an . . . inspection are satisfied with 

respect to a particular (establishment)." A warrant showing that a specific 

business has been chosen for an OSHA search on the basis of a general 

administrative plan for the enforcement of the act derived from neutral 

sources such as, for example, dispersion of employees in various type of 

industries across a given area, and the desired frequency of searches in any 

of the lesser divisions of the area, would protect an employers Fourth 

Amendment rights. 

Every program enforced by the Agency has such a scheme by which it prioritizes and 

schedules its inspections. For example, a scheme under which every permit holder in a 

given program is inspected on an annual basis is a satisfactory neutral administrative 

scheme. Also, a scheme in which one out of ever three known PCB transformer repair 

shops is inspected on an annual basis is satisfactory, as long as neutral criteria such as 

random selection are used to select the individual establishment to be inspected. 

Headquarters will prepare and transmit to the Regions the particular neutral administrative 

scheme under which each program's inspections are to be conducted. Inspections not 

based on specific probable cause must be based on neutral administrative schemes for a 

warrant to be issued. Examples of two neutral administrative schemes are provided in the 

appendix. (Attachments II and III) 

The Assistant U.S. Attorney will request the inspector to prepare and sign an 

affidavit that states the facts as he knows them. The statement should include the 

sequence of events culminating in the refusal to allow entry and a recitation of either the 

specific probable cause or the neutral administrative scheme which led to the particular 

establishment's selection for inspection. The Assistant U.S. Attorney will then present a 

request for an inspection warrant, a suggested warrant, and the inspector's affidavit to a 

magistrate or Federal district court judge.2 

2 The Barrow's decision states that imposing the warrant requirement on OSHA would not invalidate warrantees 

search provisions in other regulatory statutes since many such statutes already "envision resort to Federal court 

enforcement when entry is refused". There is thus some question as to whether the existence of a non-warrant Federal

court enforcement mechanism in a statute requires the use of that mechanism rather than warrant issuance. We believe 

that the Barrow's decision gives the Agency the choice of whether to proceed through warrant issuance or through an

application for an injunction, since the decision is largely based on the fact that a warrant procedure imposes virtually no 

burden on the inspecting Agency. In addition, any Agency could attempt to secure a warrant prior to inspection on an ex

parte basis, something not available under normal injunction proceedings. Several of the acts enforced by the EPA have 

provisions allowing the Administrator to seek injunctive relief to assure compliance with the various parts of a particular

statute. There may be instances where it would be more appropriate to seek injunctive relief to gain entry to a facility

than to attempt to secure a warrant for inspection, although at this point we cannot think of any. However, since the

warrant process will be far more expeditious than the seeking of an injunction, any decision to seek such an injunction for

inspection purposes should be cleared through appropriate Headquarters staff. 

G-7 
Appendix G EPA’s Memorandum on Entry Procedures 

(3) Criminal Warrants 

Where the purpose of the inspection is to gather evidence for a criminal 

prosecution, the inspector and the Regional Attorney should request that the U.S. Attorney 

seek a criminal warrant under Rule 41 of the Federal Rules of Criminal Procedure. This 

requires a specific showing of probable cause to believe that evidence of a crime will be 

discovered. Agency policy on the seeking of criminal warrants has not been affected by 

Barrow's. The distinction between administrative inspections and criminal warrant 

situations is discussed in Section II.A.2. 

F. Inspecting with a Warrant 

Once the warrant has been issued by the magistrate or judge, the inspector may 

proceed to the establishment to commence or continue the inspection. Where there is a 

high probability that entry will be refused even with a warrant or where there are threats of 

violence, the inspector should be accompanied by a U.S. Marshal when he goes to serve 

the warrant on the recalcitrant owner. The inspector should never himself attempt to make 

any forceful entry of the establishment. If the owner refuses entry to an inspector holding 

a warrant but not accompanied by a U.S. Marshal, the inspector should leave the 

establishment and inform the Assistant to the U.S. Attorney and the designated Regional 

Attorney. They will take appropriate action such as seeking a citation for contempt. 

Where the inspector is accompanied by a U.S. Marshal, the Marshal is principally charged 

with executing the warrant. Thus, if refusal or threat to refuse occurs, the inspector should 

abide by the U.S. Marshal's decision whether it is to leave, to seek forcible entry, or 

otherwise. 

The inspector should conduct the inspection strictly in accordance with the 

warrant. If sampling is authorized, the inspector must be sure to carefully follow all 

procedures, including the presentation of receipts for all samples taken. If records or other 

property are authorized to be taken, the inspector must receipt the property taken and 

maintain an inventory of anything taken from the premises. This inventory will be 

examined by the magistrate to assure that the warrant's authority has not been exceeded. 

G. Returning the Warrant 

After the inspection has been completed, the warrant must be returned to the 

magistrate. Whoever executes the warrant, (i.e., whoever performs the inspection), must 

sign the return of service form indicating to whom the warrant was served and the date of 

service. He should then return the executed warrant to the U.S. Attorney who will formally 

return it to the magistrate or judge. If anything has been physically taken from the 

premises, such as records or samples, an inventory of such items must be submitted to 

the court, and the inspector must be present to certify that the inventory is accurate and 

complete. 

III. Conclusion 

Except for requiring the Agency to formalize its neutral inspection schemes, and 

for generally ending the Agency's authority for initiating civil and/or criminal actions for 

refusal to allow warrantees inspections, Barrow's should not interfere with EPA 

enforcement inspections. 

G-8
Appendix G EPA’s Memorandum on Entry Procedures 

Where there is doubt as to how to proceed in any entry case, do not hesitate to 

call the respective Headquarters program contact for assistance. 

Marvin B. Durning 

G-9
Appendix H Digital Camera Guidance 

APPENDIX H 

Digital Camera Guidance for EPA Civil Inspections and 

Investigations 
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U.S. EPA - Office of Compliance (Mail Code: 2223A) 

National Compliance Monitoring Policy Branch 

1200 Pennsylvania Avenue, N.W. 

Washington, DC 20460 

EPA-305-F-06-002 

 Digital Camera Guidance for EPA

 Civil Inspections and Investigations

 July 2006
July 17, 2006 EPA 305-F-06-002 

USE OF DIGITAL CAMERAS FOR CIVIL INSPECTIONS AND INVESTIGATIONS 

STATEMENT OF GUIDANCE

EPA has determined it is acceptable to use digital cameras/photographs for 

documenting civil inspections and investigations provided certain requirements are met. This 

document is for guidance purposes only. Photographs recorded, maintained, or reproduced in a 

manner other than as described in the recommended steps may nevertheless be used as 

evidence in developing or going forward with an agency action. However, the person 

responsible for such photographs should consult with EPA counsel on the appropriate use, 

handling, and documentation of such photographs. This document is intended for the guidance 

of EPA staff. It does not set forth requirements that are binding on EPA staff or on third parties 

or courts. The fact that a particular requirement set forth in this document is not satisfied shall 

not be relevant to the admissibility or legal force of a particular digital photograph. 

INTRODUCTION

EPA inspectors often include photographs taken during the inspection in the inspection 

report to support their observations. Generally, EPA inspection manuals for specific programs 

address the use of photographs. In recent years, inspectors have begun to use digital cameras. 

The use of digital images presents somewhat different issues related to the use of these 

electronic images as evidence. To be effective, the image should be of sufficient clarity and 

detail to support the observations, and should represent what the inspector saw with the 

appropriate level of detail. Credibility of the digital image (as well as any photographic image 

whether digital or film) and acceptability in court (i.e. evidence) depends on the ability of the 

photographer (or the witness who was present when the photograph was taken) to authenticate 

the photograph by answering the simple question: Is this a fair and accurate representation of 

what you saw? To address potential concerns, this document sets forth EPA's guidance on the 

use of digital photographs and identifies requirements necessary to ensure the integrity of the 

pictures. 

The document addresses image capturing, storage, and handling. In addition, this 

document provides an overview of digital camera technology, peripheral equipment, and 

recommended steps found in Appendix A. Credibility of digital images in court usually depend on 

reliability, reproducibility, and security. It is acceptable to make changes to digital images such 

as cropping, enlarging, or making it lighter/darker to improve the sharpness provided the 

inspector does all the following: 

• Records how, when, and where the picture was taken; 

• Logs the steps used in processing the image when they include techniques other 

than those used in a traditional photographic darkroom; 

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July 17, 2006 EPA 305-F-06-002 

• Complies with a written SOP that includes the recommended steps set forth in 

this document; and 

• Ensures the preservation of the original digital image. 

RECOMMENDED PROCEDURES

Inspectors should take precautions to ensure the integrity of the digital image and 

resulting photographs because these are easy to manipulate. Appendix B of this document 

provides technical information and considerations related to digital camera use. Inspectors 

should ensure they meet the following minimum requirements when using digital photographs to 

document EPA civil inspections and investigations: 

A. The integrity of the digital image should be preserved: 

1. When inspectors use digital photographs as evidence, the person testifying 

should be able to verify the authenticity of the printed image. This includes 

knowledge on how the image was acquired, its relevance to the case, and how it 

corroborates testimony as to issues which may be disputed in the case. 

2. The quality of the photograph should be good enough to show details, objects, 

and relevant information. 

B. Inspectors using a digital camera for inspections should be able to capture, store, print, 

and handle digital images properly: 

1. Inspectors should have equipment which will allow the secure use and storage of 

the digital images such as storage media, printer, and computer. (The Basic 

Technical Information Section, Appendix B, provides further details on 

equipment). 

2. The inspector should follow the recommended steps for handling the digital 

image. Each Regional office with inspection authority using digital cameras 

should develop recommended steps governing their use. Appendix A of this 

document contains a model of the recommended steps. 

3. The inspector should not delete any digital images while conducting an inspection 

regardless of whether they are of poor quality. 

4. A record of any copies of the digital images given to a facility should be kept in 

EPA’s inspection file. The record should identify and describe the digital images 

and can be noted in the field notes, on a Photo-Log, or as a separate list. 

5. Protect CBI. Digital photos which may contain Confidential Business Information 

(CBI) should not be sent via e-mail. When taking, storing, using, or transferring 

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July 17, 2006 EPA 305-F-06-002 

digital photos which contain CBI data inspectors should follow standard CBI 

procedures regarding use of computers and electronic storage media at all times. 

C. Inspectors should maintain an Archival Copy of all images taken: 

1. Inspector/photographer should create an archival copy1

 of all original images 

taken during the inspection as soon as practical after image capture. Inspectors 

should NOT delete any photographs taken. This archival copy should be labeled 

and maintained in the inspection file in a secure location. Any enhancements 

needed on the image should be made only to a working copy.

2 (NEVER EDIT 

THE ORIGINAL IMAGES OR ARCHIVAL COPY). Ideally unalterable storage 

media such as a read-only Compact Disk (CD-R) should be used to create the 

archival copy. If this option is not available, other storage media (including 

alterable) may be used for the archival copy, provided the images can be verified 

and Chain-of-Custody procedures are followed to prevent tampering. When using 

an alterable storage media, cyclic redundancy check3

 software can be used to 

verify the images. 

2. When mailing the archival copy via postal mail, inspectors should place the 

storage media in a protective jacket, pouch, or equivalent with a custody seal and 

follow the procedures used for mailing samples to ensure its integrity. 

3. If digital images are CBI, CD’s containing there images should be stored following 

appropriate CBI procedures. 

D. The inspector should keep a Photo-Log in the inspection file of all the photographs taken 

including the printed images referenced in the inspection report: 

1. The Photo-log is a record of the archival copy, which includes all the photographs 

taken during the inspections. 

2. The record should include: identity of the photographer, date, time, location, 

[including information identifying the location such as EPA Identification numbers, 

latitude, and longitude], and a brief description of the pictures, (including anything 

1

An archival copy is an unchanged, unedited copy of the original images that will be used as the permanent record. 

It is the functional equivalent to the “negatives” in film photography. 

2

The working copy is the “back-up” copy of the original images which may be used to make minor enhancements or 

edits such as cropping and improving contrast. 

3

Cyclic Redundancy Check (CRC) is a technique to obtain data reliability. It is used to protect blocks of data called 

Frames. The CRC performs a mathematical calculation on a block of data and returns a number that represents the 

content and organization of that data, a checksum. By comparing the checksum of one block of data to another, it 

can be determined wether they match. 

3 H-3 
July 17, 2006 EPA 305-F-06-002 

worthy of special note). This record may be a list of the photos noted as part of 

the field notes, may be a separate photo list, or a separate Photo-Log. 

3. For working copies, If images are transferred from one storage media to another 

or changes are made to an image, EPA should keep a record in the inspection file 

of the identity of the person making the transfer/change and the date of transfer or 

change. The record should include the type of change. Minor edits can be made 

to the working copy such as cropping, reduction, enlargement, or contrast 

improvement. Each change should be saved as a separate image file and 

documented so that all enhancements can be reconstructed, if necessary. 

4. The inspection report should contain printed copies of the digital photos 

referenced in the report. The printed images should be initialed by the inspector 

and dated when the photo was taken (unless the photo is already imprinted with 

the date taken). 

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July 17, 2006 EPA 305-F-06-002 

REFERENCES/ADDITIONAL INFORMATION

1. Berg, Erik, “Legal Ramifications of Digital Imaging In Law Enforcement”, Forensic Science 

Communications, Vol 2, No. 4, October 2000, Available at 

www.fbi.gov/hq/lab/fsc/backissu/oct2000/berg.htm. 

2. Azcarate, Penney, “Digital Imaging Technology and the Prosecutor”, Prosecutor, 

January/February 2000, (34 FEB Prosecutor 26). Available at 

http://www.paamtrafficsafety.com/hot_topics/digital.pdf. 

3. “Guidelines for Field Applications of Imaging Technologies”, Scientific Working Group on 

Imaging Technologies (SWGIT), Version 2.0, June 8, 1999, Forensic Science Communications, 

Vol. 2, No. 1, January 2000, Available at www.fbi.gov/hq/lab/fsc/backissu/jan2000/swigit.htm. 

4. “Definitions and Guidelines for Use of Imaging Technologies in the Criminal Justice System”, 

Scientific Working Group on Imaging Technologies, Version 2.2, December 7, 2000, Forensic 

Science Communications, Vol. 3, No. 3, July 2001, Available at 

http://www.fbi.gov/hq/lab/fsc/backissu/july2001/swgitltr.htm. 

5. Camp, William W., “Practical Uses of Digital Photography In Litigation”, ATLA Annual 

Convention Reference Materials, July 2000, Volume 2, Attorney’s Information Exchange Group 

(AIEG). 

6. Keane, James I., “585 Prestidigitalization: Magic, Evidence and Ethics In Forensic Digital 

Photography”, Ohio Northern Law Review, 1999, Twenty-second Annual Law Review 

Symposium Courtroom 2000: Technology and the Legal System Symposium Article (25 Ohio N 

U I. Rev.585). 

7. Carbine, James E. and McLain, Lynn, “Proposed Model Rules Governing the Admissibility of 

Computer-Generated Evidence”, January 1999, Santa Clara Computer and High Technology 

Law Journal (15 Santa Clara Computer & High Tech L.J. 1). 

8. Lynch, Peter A. “Digital Cameras and the Fire Investigator: A Trap for the Unwary”, Cozen & 

O’Connor, San Diego Regional Office. Available at www.interfire.org/features/camera.asp. 

9. Staggs, Steven, “The Admissibility of Digital Photographs In Court”. Available at www.crimescene-investigator.net/admissibilityofdigital.html. 

10. Herbert, Rusty and Gigger, Richard, (EPA Region 6), “Background Information for Digital 

and Photographic Imaging” and “Draft Region 6 Standard Operating Procedure Digital Camera 

Imaging” June 2001. 

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July 17, 2006 EPA 305-F-06-002 

11. Blitzer, Herbert L. and Jacobia, Jack, Forensic Digital Imaging and Photography, Academic 

Press, 2002. 

12. TSCA Confidential Business Information Security Manual, Office of Pollution Prevention and 

Toxics, April 1995. 

Websites: 

1. www.digital-camerastore.com/digitalinfor2.htm - good basic info and lists of cameras/prices. 

2. www.cliffshade.com/dpfwiw/advice.htm – “Advice for first-time digital camera users”, – good 

overview of digital camera use with links to more information. 

3. www.cooking-italian-food.com/photography.htm – “Digital Camera Guide - Photography 

Definitions and Terminology”, - discussion of resolution, optical/digital zoom, ISO, storage 

media, and other basic terminology. 

4. “An Introduction to Image Compression”, - www.debugmode.com/imagecmp/. 

5. “Resolution, File Size & Image Quality”, - www.haroldsphoto.com/digital.asp. 

6. “Frequently Asked Questions on Digital Photography”, - www.photodrive.ru/faq6_e.htm. 

7. Maresware Forensic and Analysis Software - a list of commercial forensic software, including 

cyclic redundancy check. www.dmares.com/maresware/DOCS/press_release.htm. 

8. “Error Detection and Correction”, - description of Cyclic Redundancy Check ­

www.linktionary.com/e/error.html. 

9. “Understanding Cyclic Redundancy Check”, - http://4d.com/acidoc/CMU/CMU79909.htm. 

a description of how the CRC error detection system algorithm works. 

10. photoalley.com - on-line digital camera “store”. 

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July 17, 2006 EPA 305-F-06-002 

APPENDIX A 

Recommended Steps for the Use of Digital Cameras 

A. Creating Digital Pictures 

1. Camera Use 

The Inspector should be familiar with the camera’s features before using it during 

inspections. He/she should read appropriate manuals and practice using the camera before an 

inspection. In addition, the inspector should know the following: 

• How to store an image; 

• The capacity of the storage media being used; 

• How to transfer images from one storage media to another; 

• How and what is needed to print good quality images; 

• How to use the different settings (resolution choice, digital zoom, close-up, 

flash, etc.); and 

• The camera’s limitations (weather, zooming, lighting). 

2. Preparing to Take Pictures 

Before taking pictures, the inspector should: 

• Ensure that the camera and supporting equipment are appropriate to the task. 

The camera should possess appropriate resolution and capacity for the type of 

photo required, including close-up or distance photos, if needed; 

• Ensure that the camera is in working order; 

• Check the settings – make sure the date/time settings are properly set; 

• Make sure there is adequate storage media for the projected number of photos 

needed; and 

• Make sure that fresh and back-up batteries are available. 

B. Photo Image Storage/Handling and Security. 

1. Storing/Handling Images. 

The inspector should use the following procedures when storing/handling digital images: 

• Number each Storage Media (storage card, smart media, or other card) 

sequentially and label it with the name of the facility and date taken. Indicate what 

pictures from the inspection are contained on each. 

• Store each incident/inspection’s images on one storage media card, if possible, 

clearly identifying pictures captured for each inspection. 

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July 17, 2006 EPA 305-F-06-002 

• Images from one incident/inspection should not be split between two electronic 

storage cards unless the storage media does not have enough memory to store 

all the images from one inspection/incident. 

• Before each inspection create an “end-card” image label and photograph it. 

• If images from more than one incident/inspection need to be captured on a single 

storage card, insert a “blank” image after the “end card” image. 

• Ensure that there is adequate space on your hard drive, and as soon as possible 

after each incident/inspection, download the images from the camera’s storage 

media to the hard drive of the computer, verifying that the images have been 

successfully transferred. (DO NOT CHANGE THE IMAGES IN ANY WAY). 

• Using the downloaded images, copy them to a CD-R or other permanent storage 

media to create the archival copy. (Do not edit or change the image). 

• Label the archival copy with the time, date, name of facility/site, and “Archival 

Copy”. 

• File the archival copy with inspection report in a secure location. If the archival 

copy is on alterable storage media, file it with a Chain of Custody form. 

• Once an archival copy is securely filed, the original storage media may be erased 

and re-used. 

• Create a second copy (“Working Images”) from the downloaded images to use 

for enhancements such as cropping or contrast. Label this “Working Images”. 

• If any images are changed, save each change as a separate file so that it can be 

replicated, if necessary. 

• Note any image changes and record the file numbers on the Photo-Log or photo 

record and include it with the Inspection Report. 

• Once the archival copy and a working copy have been made, the images may be 

removed from the hard drive to free up memory, if needed. 

2. Image Security. 

The original images and/or archival copy should be stored either with the inspection file, 

in a locked file cabinet, or in an other secure location. If any of the information is CBI, all CBI 

procedures should be followed, including use of secure computers, storage media, data 

handling, and transmission. See your local Document Control Officer if you have any questions 

regarding proper CBI procedures. 

• If the archival copy is kept on alterable storage media (such as USB), each 

archival copy should have a Chain of Custody form to document access to the 

images. 

The Chain of Custody form should include: 

1. The identity of the photographer; 

2. The date and location where the photos were taken; 

3. The file identification numbers of the photos in the set; and 

4. A log to record the identity, signature, date, and time of any person having 

access to the photos/images. 

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July 17, 2006 EPA 305-F-06-002 

• If the archival copy is stored on alterable media: 

1. Each person viewing or using the archival copy should sign the Chain of 

Custody Log; and 

2. To send via postal mail to another location, place it in a jacket, pouch, or 

equivalent holder with a custody seal and the Chain of Custody form 

(follow the same procedures used when mailing samples). 

• The Region should have a file management procedure in place mandated by EPA 

Records Schedule 211 and EPA Records Management Regulations which can 

be found at: http://www.epa.gov/records/policy/schedule/sched/211.htm. 

• Inspector should be careful when handling images and avoid extreme 

temperatures, electricity, x-rays (airports), power surges, or other similar events, 

which might cause electrostatic interference and thus impact the image quality. 

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July 17, 2006 EPA 305-F-06-002 

APPENDIX B 

Basic Technical Information Section Related to Digital Camera Use 

Digital and film photography share many similarities. Both create an image through the 

use of a light-sensitive medium. In the case of digital cameras, light falls on a grid of detectors 

known as a charge coupled device, CCD, and produces a pattern of electrical charges that are 

measured, converted to numbers, and stored. Each value in the grid corresponds to a picture 

element, (also known as a pixel) in the digital image.4 The electrical output of the CCD is sent to 

a converter that changes the image to a digital output which is then stored in the camera as a 

computer data file with each file representing a different photograph.5 The following information 

includes a discussion of some important factors relevant to digital camera use. 

Resolution 

Digital camera resolution is the amount of sharpness or detail in the image and is 

dependent on the number of pixels in the image. This is generally determined by the number of 

pixels across the width and height of the CCD. Pixel count is established by multiplying these 

numbers. Therefore, it is important to know the maximum CCD resolution (total number of pixels 

in a camera’s sensor) in order to know the film equivalent capability of the digital camera. This 

is generally stated as “x” Mega Pixels. For example, 1280 x 960 pixels would give the film 

resolution of a 5" x 7" print and 1600 x 1200 pixels would give the film resolution of a 8" x 10" 

print. 

For higher quality, multi-purpose use, CCD resolution in the 3.1+ mega pixel range is 

needed. Higher mega pixel levels allows creation of a greater number of images with a high 

level of detail that will not be lost if the image should be enlarged. This is important where larger 

photos may be necessary and/or where greater detail is important. It is also important if more 

than a few high resolution pictures are going to be needed during an inspection. 

The quality of a printed photo is only partially dependent on the camera resolution. 

Printer resolution capability is also an important factor when printing photos. 

Photo Storage and Printing 

Storage and printing are other important considerations for the use of digital cameras. 

The computer is most often the mechanism used to store and print digital photos. To transfer 

images from the digital camera’s memory to the computer, the camera is connected to the 

computer using a Universal Serial Bus (USB) port. Most computers have a USB port that simply 

4

Erik C. Berg, “Legal Ramifications of Digital Imaging in Law Enforcement”, Forensic Science Communications, 

October 2000. 

5

Penney Azcarate, “Digital Imaging Technology and the Prosecutor”, Prosecutor, January/February 2000. 

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July 17, 2006 EPA 305-F-06-002 

connects to the camera with a plug-in cable and images can be downloaded to the hard drive. If 

a USB port is not available, a card reader can be connected to the printer port to transfer images 

to the computer and the images then can be stored on the computer’s hard drive. However, if 

the hard drive were to fail the images could be lost so back-up storage is necessary. Some 

cameras are also equipped to transfer the images directly from the camera to the computer. 

The disadvantage of this system is that if the transfer is interrupted some images could be lost. 

Images can be printed at the same time they are downloaded, or printed as needed. For 

truly photographic quality prints, a commercial developer is recommended, particularly if large 

pictures are required. (Commercial developers have access to a different process that can 

provide better color and resolution than that afforded by in-house processing). For in-house 

viewing or most general purposes, a good quality color ink-jet printer using archival inks is 

recommended, particularly if the photos will be stored for a long period of time. For high quality 

images, premium glossy photo paper will give a great degree of color accuracy, even under 

magnification. For general purposes plain paper, photo quality ink-jet paper, premium photo 

paper, etc. can be selected depending on the necessary quality outcome. 

Storage Media/Memory 

A digital camera uses and/or contains random access memory (RAM) to store the 

images. When RAM is used up, it should be restored in order to take more pictures. There are 

currently several types of storage media used to record digital photos. The most common ones 

are Smart Media, Compact Flash, and Stick Memory. Also available is another card-sized 

storage media, an IBM “Microdrive”, which fits the Compact Flash Type II card slot and can store 

up to 1 gigabyte of data when used with a compatible camera. Regardless of the storage media 

used by the camera, pictures can be downloaded and stored either on the computer’s hard drive 

or on a compact disk (CD) if the computer is equipped with a CD “burner”. 

The number of photos which can be taken per session is a function of the resolution 

selected and the amount of memory required. This is somewhat dependent on the file format 

used. Most digital cameras use a file format which “compresses” the image so that more 

pictures can be stored on the storage media. There are two file types used to store the digital 

images on the storage media. A “lossless” file is one where no data is lost. Two file format types 

frequently used by digital cameras to capture “lossless” images are TIFF (Tagged Image File 

Format) and RAW (that has not been altered, processed or manipulated in any way). Lossless 

files or lossless compressed files tend to be quite large. Because these images require so much 

memory, to store more than one or two digital images in this format requires a very high capacity 

(and expensive) storage media, so this is primarily used only by professional photographers 

using high-end equipment. 

Another file type in which some data may be lost is known as a “lossy” file. Images stored 

this way take up less much less room but may lose some data or image quality. However, the 

resultant “loss” may not be significant to over-all picture quality. One type of “lossy” file format 

that is currently used by most digital cameras is a standard file format known as JPEG (Joint 

Photographic Experts Group). This file format is designed to address the known limitations of the 

human eye and was named for the committee that devised and wrote the standard. At the 

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July 17, 2006 EPA 305-F-06-002 

highest JPEG resolution, even though there may be some small loss of image quality, it would not 

be obvious to the human eye. (This is less true for pictures of things like signs or other very hardedged objects). When the camera saves files in the JPEG format, the amount of compression 

(image quality) must be decided upon. Most cameras give you the option in the setup menu to 

choose the JPEG image quality: fine (1:4 compression ratio), normal (1:8 compression ratio), and 

basic (1:16 compression ratio). The decision is always a compromise between image quality and 

the number of files that can be fit on a memory card. Unless many images need to be crammed 

onto the card, or the final quality is not that crucial, it is recommended to always use the camera 

setting that delivers the highest quality (lowest compression level). In most cases, a high-quality 

compression setting (fine) produces excellent image quality and generates compact file sizes 

that will allow many images to be fit onto a storage card. Generally, a 3.1 Mega Pixel (MP) 

camera using a 16 Mega Byte (MB) storage medium at high resolution could store approximately 

only two TIFF files, but could store at least 12 JPEG photos with no noticeable image loss. 

Most digital cameras come with built-in picture file identifier (which assigns a unique 

number to each picture), date, and time stamps. This is an important feature which can be 

helpful for record-keeping purposes. 

Power Supply 

Because they are electronic, digital cameras require significantly more power than other 

types. As a result, batteries can drain quickly. This can be true even when batteries are left in 

the camera and are not in use. Repeated viewing of images through the camera’s liquid crystal 

display (LCD) screen can also rapidly deplete batteries. This is particularly significant for digital 

cameras because battery depletion can cause the camera settings to be lost, in addition to being 

problematic if the power suddenly disappears when needed during use.

 Most digital cameras use nickel metal hydride (NiMH rechargeable batteries) others use 

nickel cadmium (NiCd, rechargeable), lithium (non-rechargeable), and of course, alkaline (nonrechargeable). Of these, the NiMH batteries are the most economical because of their basic 

cost, rechargeability, length of charge, and long service life. (They are also environmentally 

preferable to the nickel cadmium batteries which are gradually being phased out). The lithium 

batteries are useful as cold-weather back-ups. Having extra battery sets is essential when using 

digital cameras for anything more than a few quick shots. 

Optical Zoom 

Another factor affecting picture quality, particularly for close-ups or distance, is optical 

zoom. Optical zoom is “true zoom” or telephoto, which makes the image appear closer without 

losing detail (a 2x optical zoom is roughly equivalent to a 35-70 mm zoom on a film camera). 

Digital zoom is really just built in image enlargement with some resulting loss of photo detail. 

Cameras with a higher degree of optical zoom allow for a greater degree of flexibility in use 

without loss of image quality. 

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July 17, 2006 EPA 305-F-06-002 

Computer Requirements 

If a computer is equipped with a CD “burner”, the images can be stored on a read-only 

CD (CD-R). This has several advantages. Images stored to a CD-R are created by permanently 

altering the disc with a laser light beam. CD writers cannot delete laser marks, so the images 

can be stored without alteration and any alteration would be detectable. This is only true for CDR, not CD-RW (read-write). The “original” images could be stored this way to form an 

unalterable archive and it is feasible to store large numbers of images in a small amount of space 

(a typical CD can store hundreds of images). Once the images are archived to a CD-R, copies 

of the unaltered “originals” can be made from the CD-R and any necessary enhancements, such 

as improving contrast or “cropping” can be done on the copies and properly noted in a Photo-Log 

for future reference. Each change should be saved as a separate image file and documented so 

that all enhancements can be reconstructed, if necessary. 

An alternative to using the CD-R is to store the images on a USB Flash Drive or computer 

hard drive and use commercially available software to perform a “Cyclic Redundancy Check” 

(CRC) on the stored images. The software performs a calculation that generates a unique 

number which can be checked later against the stored data to ensure that they match, indicating 

that the data also matches. 

A computer has two types of memory, hard disk storage and Random Access Memory 

(RAM). The computer’s hard disk drive is the memory used to store the digital images before 

transferring them to another storage medium, such as a CD-R. A high-capacity hard drive is 

needed if many digital images will be downloaded at one time. A hard disk drive should not be 

filled to more than 70% of its maximum capacity in order to not cause performance deterioration. 

A computer with at least a 10 gigabyte hard drive is recommended at a minimum, but the amount 

of hard drive memory needed will depend on what other programs are resident which use 

memory, and how many pictures will be downloaded from the camera’s storage media before 

being transferred to CD-R or other permanent storage. 

Computer speed is another consideration. Speed is normally measured in millions of 

cycles per second or MHz. Speed affects how fast the digital images can be downloaded or 

edited. A speed of at least 233 MHz is recommended, although computers are now available at 

speeds of 2000 MHz (2Ghz). 

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APPENDIX I


EPA'S MEMORANDUM ON 


DEFICIENCY NOTICE GUIDANCE

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Appendix I EPA's Memorandum on Deficiency Notice Guidance 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

WASHINGTON, D.C. 20460 

MEMORANDUM OFFICE OF ENFORCEMENT 

SUBJECT:	 "Deficiency Notice" Implementation to Improve Quality Assurance in NPDES 

Permittee Self-Monitoring Activities 

FROM: Director, Enforcement Division (EN-338) 

TO:	 Enforcement Division Directors, Regions I - X 

Surveillance and Analysis Division Directors, Regions I - X 

Director, National Enforcement Investigations Center, Denver 

The Enforcement Divisions and the Surveillance and Analysis Divisions in several 

Regions have developed a form, called a Deficiency Notice, which their inspectors issue at the 

end of compliance inspections. This Deficiency Notice alerts NPDES permittees to problems in 

their routine self-monitoring activities. On June 11, 1979, the Office of Water Enforcement 

proposed that all the Regional offices adopt this form along with the Guidance for its use, and 

asked for your comments on this proposal. The Deficiency Notice and Guidance, which are 

attached, reflect your comments. 

We have ordered the Deficiency Notice Forms, which will be printed on no-carbonrequired paper and will be color coded in pads to correlate with the NPDES Compliance 

Inspection Form (EPA 3560-3). You may reproduce the attached form for use until you receive 

these forms. 

The Deficiency Notice was designed so that State NPDES programs might easily use it. 

However, EPA cannot now sanction its use by the States since the Office of Management and 

Budget (OMB) has not authorized the form for non-Federal use. We will attempt to get OMB 

approval. 

Since the Deficiency Notice provides a swift and simple mechanism for responding to 

deficiencies in self-monitoring data, I believe that its use will substantially improve the 

performance of wastewater treatment facilities without creating additional resource burdens or 

enforcement problems. If you have any questions about the Deficiency Notice or its use, 

please do not hesitate to call Gary Polvi of my staff at 755-0994. 

J. Brian Molloy 

Attachments 

I-1

Appendix I EPA's Memorandum on Deficiency Notice Guidance 

DEFICIENCY NOTICE GUIDANCE 

Purpose 

The purpose for using the Deficiency Notice is to provide a swift and simple method for 

improving the quality of data from NPDES self-monitoring activities. Since an inspector may 

issue a Deficiency Notice during any NPDES compliance inspection to alert the permittee to 

either existing or potential problems in self-monitoring, its receipt prompts the permittee to 

quickly take corrective action, as close as possible to the time the inspector perceives the 

problem. 

Scope 

The Deficiency Notice is a tool for use in conjunction with any type of EPA NPDES 

compliance inspection (i.e., compliance evaluation, sampling, performance audit, biomonitoring, 

etc.), during which the inspector identifies problems with self-monitoring that warrant response. 

The Deficiency Notice and Guidance were designed so that State NPDES compliance 

monitoring programs could also easily use them. (Note the use of the term "regulatory 

authority" throughout this guidance.) However, EPA cannot yet sanction the States' use of this 

form because the Office of Management and Budget (OMB) has not yet approved the form for 

non-Federal use. 

Use of the Deficiency Notice does not apply to a wide range of possible permit 

violations. It is to be used by the inspector to alert permittees to deficiencies in their selfmonitoring activities only. The enforcement office of the regulatory authority (i.e., the EPA 

Regional Enforcement Division or its State counterpart), not the inspector, will continue to 

handle violations relative to compliance schedules or effluent limitations. 

Form Description 

The Deficiency Notice (see attachment) is one page long and is for use in conjunction 

with the standard EPA Compliance Inspection Form (EPA 3560-3 September, 1977). The 

reverse side of the Notice contains general instructions to inspectors for completing the form. 

The regulatory authority using the form may add other specific instructions that do not conflict 

with this guidance. 

The form has four sections: (1) basic facility data, (2) deficiencies, (3) comments, and 

(4) inspector identification. These sections contain individual spaces where the inspector 

during an inspection can log deficiencies in the following self-monitoring activities: (1) 

monitoring location, (2) flow measurement, (3) sample collection/holding time, (4) sample 

preservation, (5) test procedures, (6) record keeping, (7) other self-monitoring deficiencies (i.e., 

sampling frequency, instrument calibration, etc.). Since the existing Compliance Inspection 

Form (which inspectors now complete) includes questions and answers relating to the above 

seven activities, inspectors should not need much additional time to complete this Deficiency 

Notice. 

I-2

Appendix I EPA's Memorandum on Deficiency Notice Guidance 

Administrative Procedures 

With few exceptions (see March 7, 1977 EMS Guide), the handling and tracking of 

Deficiency Notices will follow the normal EPA Enforcement Management System (EMS) 

procedures. Inspectors can issue the Deficiency Notice to a permittee immediately following a 

compliance inspection if they discover any permit deficiencies which the Notice includes. Under 

unusual circumstances inspectors may delay issuing a Deficiency Notice until after conferring 

with other officials of the regulatory authority. 

EMS requires the offices responsible for inspections and for NPDES enforcement to 

jointly establish a policy delineating the procedure for the permittee to appropriately respond to 

the Deficiency Notice. In the EPA Regions, the Directors of the Enforcement Division and the 

Surveillance and Analysis (S&A) Division will develop this policy. If the offices agree to allow 

the permittee to submit a separate written response rather than to include the response as part 

of a regular Discharge Monitoring Report (DMR) submission, they will require the inspector to 

record the necessary mailing instructions and deadline for response under the additional 

comment section of the Deficiency Notice. The inspector indicates the appropriate method for 

the permittee's response in the "requested action" section of the Deficiency Notice. Due to the 

nature of most self-monitoring problems it is reasonable for the regulatory authority to ask that 

the permittee submit a written description of any corrective actions within 15 work days after 

receiving the Notice. Where the permittee is asked to respond as part of a regular DMR 

submission, a similar reporting time allowance should be allotted. In either response option, the 

inspector should always indicate in the Deficiency Notice the requested date for permittee 

response. 

Having the permittee document Deficiency Notice corrective actions as part of a regular 

DMR submission establishes accountability for the compliance inspection in the official NPDES 

permit compliance file even before a compliance review is undertaken. This is a resource 

efficient method of documenting the minimum benefit from performing inspections. 

The issuance of a Deficiency Notice is not a formal enforcement action. It is not 

intended and must not be construed as an administrative or legal order to the permittee. 

Therefore, the action by the permittee to respond is voluntary, but incentive for such response 

comes from the positive consideration it may have on further formal enforcement follow-up of 

the inspection. 

When the regulatory authority receives the permittee's response to the Deficiency 

Notice, they will review the inspection data and the permittee's response according to EMS 

procedures. If during routine reviews of inspection data, the authorities note deficiencies in 

self-monitoring data and note that the inspector did not issue a Deficiency Notice, they may 

issue one at any time. 

The responsibility for all enforcement activity shall always remain in the 

enforcement/compliance review office of the regulatory authority. After agreement between the 

Directors of the Regional Enforcement Division and the S&A Division, these offices should 

incorporate details for insuring which office retains which responsibility into the Regional EMS. 

Whether or not a Deficiency Notice has been issued, the enforcement office of the regulatory 

authority can take administrative or legal action at any time. Also, a Deficiency Notice may not 

be appropriate in those cases where additional enforcement action is expected or litigation 

against the permittee is already underway. 

I-3

Appendix I EPA's Memorandum on Deficiency Notice Guidance 

EPA Deficiency Notice Form 

DEFICIENCY NOTICE PERMITTEE (Facility) NAME AND ADDRESS

NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM (NPDES) 

(Read instructions on back of last part before completing) 

PERMITTEE REPRESENTATIVE (Receiving this Notice)/Title NPDES PERMIT NO. 

During the compliance inspection carried out on (Date) the deficien cies note d below w ere found . 

Additional areas of deficiency may be brought to your attention following a complete review of the Inspection Report and other in-formation on 

file with the REGULATORY AUTHORITY administering your NPDES PERMIT. 

D MONITORING LOCATION (Describe) S E I C N E C I F E 

FLOW MEASUREMENT (Describe) 

SAMPLE COLLECTION / HOLDING TIME (Describe) 

SAMPLE PRESERVATION (Describe) 

TEST PROC EDURES S ECTION 304(h). 40 CFR 136 (Describe) 

RECORD KEEPING (Describe) 

OTHER SELF-MONITORING DEFICIENCIES (Describe) 

ADDITIONAL COMMENTS 

REQUESTED ACTION—Your attention to the correction of the deficiencies noted above is requested. Receipt of a description of the corrective actions taken 

will be considered in the determination of the need for further Administrative or Legal Action. ponse is to be (Inspector line out inappro -priate

response method): (1) Include with your next NPDES Disch arge Monitoring Report (DM R) or (2) submitted as directed by the inspector. Ques-tions regarding possible follow-up action can be answered by the REGULA TORY AUTHOR ITY to which your DMRs are submitted and which administers your NPDE S Permit. 

INSPECTOR'S SIGNATURE INSPECTOR'S ADDRESS/PHONE NO. REGULATORY AUTHORITY/ADDRESS DATE 

Your res

INSPECTOR'S PRINTED NAME 

EPA Form 3560-4 (2-80) 

I-4

APPENDIX J
 
 

NPDES COMPLIANCE INSPECTION REPORT
 
 

FORM 3560-3
 
 

 Revised April 2006 
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United States Environmental Protection Agency
 


Washington, D.C. 20460
 


Water Compliance Inspection Report 

Section A: National Data System Coding (i.e., PCS)
 

Transaction Code NPDES yr/mo/day Inspection Type Inspector Fac Type
 

1 2 5 3 11 12 17 18 19 20

Remarks 

21 66

Inspection Work Days Facility Self-Monitoring Evaluation Rating BI QA -----------------------------Reserved--------------------------­

67 ! 69 70 71 72 73 74 75 80

Section B: Facility Data 

Name and Location of Facility Inspected (For industrial users discharging to POTW, also Entry Time/Date Permit Effective Date 

include POTW name and NPDES permit number) 

Exit Time/Date Permit Expiration Date 

Name(s) of On-Site Representative(s)/Title(s)/Phone and Fax Number(s) Other Facility Data (e.g., SIC NAICS, and other descriptive information) 

Name, Address of Responsible Official/Title/Phone and Fax Number Contacted

G Yes G No

Section C: Areas Evaluated During Inspection (Check only those areas evaluated) 

Permit Self-Monitoring Program Pretreatment MS4 

Records/Reports Compliance Schedules Pollution Prevention

Facility Site Review Laboratory Storm Water 

Effluent/Receiving Waters Operations & Maintenance Combined Sewer Overflow 

Flow Measurement Sludge Handling/Disposal Sanitary Sewer Overflow 

Section D: Summary of Findings/Comments 

(Attach additional sheets of narrative and checklists, including Single Event Violation codes, as necessary) 

SEV Codes SEV Description 

99999 _________________________________________________ 

99999 _________________________________________________ 

99999 _________________________________________________ 

99999 _________________________________________________ 

Name(s) and Signature(s) of Inspector(s) Agency/Office/Phone and Fax Numbers Date 

Signature of Management Q A Reviewer Agency/Office/Phone and Fax Numbers Date 

EPA Form 3560-3 (Rev 4-06) Previous editions are obsolete. 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INSTRUCTIONS 

Section A: National Data System Coding (i.e., PCS) 

Column 1: Transaction Code: Use N, C, or D for New, Change, or Delete. All inspections will be new unless there is an error in the data entered. 

Columns 3-11: NPDES Permit No. Enter the facility's NPDES permit number - third character in permit number indicates permit type for U=unpermitted, 

G=general permit, etc.. (Use the Remarks columns to record the State permit number, if necessary.) 

Columns 12-17: Inspection Date. Insert the date entry was made into the facility. Use the year/month/day format (e.g., 04/10/01 = October 01, 2004). 

Column 18: Inspection Type*. Use one of the codes listed below to describe the type of inspection: 

A Performance Audit U IU Inspection with Pretreatment Audit ! Pretreatment Compliance (Oversight) 

B 

C 

Compliance Biomonitoring 

Compliance Evaluation (non-sampling) 

X 

Z 

Toxics Inspection 

Sludge - Biosolids @ Follow-up (enforcement) 

D Diagnostic # Combined Sewer Overflow-Sampling { Storm Water-Construction-Sampling 

F 

G 

Pretreatment (Follow-up) 

Pretreatment (Audit) 

$ 

+ 

Combined Sewer Overflow-Non-Sampling 

Sanitary Sewer Overflow-Sampling } Storm Water-Construction-Non-Sampling 

I 

J 

M 

N 

O 

P 

R 

Industrial User (IU) Inspection 

Complaints 

Multimedia 

Spill 

Compliance Evaluation (Oversight) 

Pretreatment Compliance Inspection 

Reconnaissance 

& 

\ 

= 

2 

3 

4 

5 

Sanitary Sewer Overflow-Non-Sampling 

CAFO-Sampling 

CAFO-Non-Sampling 

IU Sampling Inspection 

IU Non-Sampling Inspection 

IU Toxics Inspection 

IU Sampling Inspection with Pretreatment 

: 

~ 

< 

-

> 

Storm Water-Non-Construction-Sampling 

Storm Water-Non-ConstructionNon-Sampling Storm Water-MS4-Sampling 

Storm Water-MS4-Non-Sampling 

Storm Water-MS4-Audit 

S Compliance Sampling 6 IU Non-Sampling Inspection with Pretreatment 

7 IU Toxics with Pretreatment 

Column 19: Inspector Code. Use one of the codes listed below to describe the lead agency in the inspection. 

A — State (Contractor) O— Other Inspectors, Federal/EPA (Specify in Remarks columns) B ---- EPA (Contractor) P— Other Inspectors, State (Specify in Remarks columns) E — Corps of Engineers R — EPA Regional Inspector J — Joint EPA/State Inspectors—EPA Lead S — State Inspector L ---- Local Health Department (State) T — Joint State/EPA Inspectors—State lead N — NEIC Inspectors 

Column 20: Facility Type. Use one of the codes below to describe the facility. 

1 — Municipal. Publicly Owned Treatment Works (POTWs) with 1987 Standard Industrial Code (SIC) 4952.
 


2 — Industrial. Other than municipal, agricultural, and Federal facilities.
 


3 — Agricultural. Facilities classified with 1987 SIC 0111 to 0971.
 


4 — Federal. Facilities identified as Federal by the EPA Regional Office.
 


5 — Oil & Gas. Facilities classified with 1987 SIC 1311 to 1389.
 


Columns 21-66: Remarks. These columns are reserved for remarks at the discretion of the Region.
 


Columns 67-69: Inspection Work Days. Estimate the total work effort (to the nearest 0.1 work day), up to 99.9 days, that were used to complete the
 


inspection and submit a QA reviewed report of findings. This estimate includes the accumulative effort of all participating inspectors; any effort for laboratory
 


analyses, testing, and remote sensing; and the billed payroll time for travel and pre and post inspection preparation. This estimate does not require detailed
 


documentation.
 


Column 70: Facility Evaluation Rating. Use information gathered during the inspection (regardless of inspection type) to evaluate the quality of the facility
 


self-monitoring program. Grade the program using a scale of 1 to 5 with a score of 5 being used for very reliable self-monitoring programs, 3 being
 


satisfactory, and 1 being used for very unreliable programs.
 


Column 71: Biomonitoring Information. Enter D for static testing. Enter F for flow through testing. Enter N for no biomonitoring.
 


Column 72: Quality Assurance Data Inspection. Enter Q if the inspection was conducted as followup on quality assurance sample results. Enter N
 


otherwise.
 


Columns 73-80: These columns are reserved for regionally defined information.
 


Section B: Facility Data 

This section is self-explanatory except for "Other Facility Data," which may include new information not in the permit or PCS (e.g., new outfalls, names of 

receiving waters, new ownership, other updates to the record, SIC/NAICS Codes, Latitude/Longitude). 

Section C: Areas Evaluated During Inspection 

Check only those areas evaluated by marking the appropriate box. Use Section D and additional sheets as necessary. Support the findings, as necessary, 

in a brief narrative report. Use the headings given on the report form (e.g., Permit, Records/Reports) when discussing the areas evaluated during the 

inspection. 

Section D: Summary of Findings/Comments 

Briefly summarize the inspection findings. This summary should abstract the pertinent inspection findings, not replace the narrative report. Reference a 

list of attachments, such as completed checklists taken from the NPDES Compliance Inspection Manuals and pretreatment guidance documents, including 

effluent data when sampling has been done. Use extra sheets as necessary. 

*Footnote: In addition to the inspection types listed above under column 18, a state may continue to use the following wet weather and CAFO inspection 

types until the state is brought into ICIS-NPDES: K: CAFO, V: SSO, Y: CSO, W: Storm Water 9: MS4. States may also use the new wet weather, CAFO 

and MS4 inspections types shown in column 18 of this form. The EPA regions are required to use the new wet weather, CAFO, and MS4 inspection types 

for inspections with an inspection date (DTIN) on or after July 1, 2005. 
 

 

Attachment 3 ­

Single Event Violation Table
 
             

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Single Event Violation Table ­ Codes and Descriptions*
 

CODE DESCRIPTION CODE DESCRIPTION 

Effluent Violations CSO 

A0018 Approved Bypass A0C18 Approved Bypass 

A0013 Failed Toxicity Test A0024 Dry weather overflow 

A0023 Industrial Spill B0030 Failure to Develop Adequate LTCP 

A0017 Inspection sample above historic DMR range B0031 Failure to Implement LTCP 

A0022 Narrative Effluent Violation B0029 Failure to Implement Nine Minimum Controls (NMCs) 

A0012 Numeric effluent violation BC291 Failure to implement required NMC #1(Proper operation and maintenance) 

A0016 Reported Fish Kill BC292 Failure to implement required NMC #2 (Maximum use of the collection 

system) 

A0011 Unapproved Bypass BC293 Failure to implement required NMC #3 (Review pretreatment 

requirements) 

A0015 Unauthorized Discharge of Brine BC294 Failure to implement required NMC #4 (Maximization of flow) 

Management Practice Violations BC295 Failure to implement required NMC #5 (Elimination of dry weather flow) 

B0019 Best Management Practice Deficiencies BC296 Failure to implement required NMC #6 (Control of solids) 

B0024 Biosolids/Sewage Sludge Violation (Part 503) BC297 Failure to implement required NMC #7 (Pollution prevention programs) 

B0026 Failure to Allow Entry BC298 Failure to implement required NMC #8 (Public notification) 

B0012 Failure to Conduct Inspections BC299 Failure to implement required NMC #9 (Monitoring) 

B0027 Failure to Develop Adequate SPCC Plan B0C41 Failure to Maintain Records or Meet Record Keeping Requirements 

B0017 Failure to develop any or adequate SWPPP/SWMP C0C11 Failure to monitor 

B0011 Failure to Develop/Enforce Standards E0C16 Failure to submit required report (non-DMR) 

B0028 Failure to Implement SPCC Plan E0C13 Improper/Incorrect reporting 

B0018 Failure to Implement SWPPP/SWMP B0044 LTCP implementation schedule milestone missed 

B0041 Failure to Maintain Records A0C22 Narrative effluent violation 

B0040 Improper Chemical Handling E0C14 Noncompliance with section 308 Information Request 

B0023 Improper Land Application (non-503, non-CAFO) A0C12 Numeric effluent violation 

B0020 Improper Operation and Maintenance A0C11 Related Unapproved Bypass 

B0025 Inflow/Infiltration (I/I) A0021 Unauthorized CSO Discharge to Waters/Wet Weather 

B0021 Laboratory Not Certified A0025 Unauthorized overflow to dry land or building backup 

B0022 No Licensed/Certified Operator B0045 Violation of a milestone in a permit 

B0042 Violation of a milestone in an order B0C42 Violation of a milestone in an order 

Monitoring Violations SSO 

C0017 Analysis not Conducted A0S18 Approved Bypass 

C0011 Failure to Monitor for non-Toxicity Requirements A0020 Discharge to Waters 

C0021 Failure to Monitor for Toxicity Requirements D0S11 Discharge without a valid permit (includes satellite systems) 

C0015 Frequency of Sampling Violation B0S41 Failure to Maintain Records or Meet Record Keeping Requirements 

C0018 Improper Analysis or Lab Error C0S11 Failure to monitor 

C0014 Invalid/Unrepresentative Sample E0018 Failure to report other violation 

C0016 No Flow Measurement Device E0019 Failure to report violation that may endanger public health 122.41(l)(7) 

Permitting Violations D0S12 Failure to submit required permit application info (includes satellite 

systems) 

D0014 Application Incomplete B0S20 Improper Operation and Maintenance 

D0011 Discharge Without a Valid Permit A0S22 Narrative effluent violation 

D0012 Failure to Apply for a Permit E0S14 Noncompliance with section 308 Information Request 

D0015 Failure to Pay Fees A0S12 Numeric effluent violation 

D0016 Failure to Submit Timely Permit Renewal Application A0026 Overflow to Dry Land or Building Backup 

D0013 Unapproved Operation A0S11 Related Unapproved Bypass 

D0017 Violation Specified in Comment BS42A Violation of milestone in an administrative order 

BS42J Violation of milestone in judicial decree 

B0046 Violation of sewer moratorium or restriction 

Reporting Violations Storm Water Construction 

E0017 Failure to Notify D0R11 Discharge without a permit 

1
 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

E0012 Failure to Submit DMRs D0R18 Failure to apply for a notice of termination 

E0016 Failure to submit required report (non-DMR, non-pretreatment) B0R12 Failure to Conduct Inspections 

E0013 Improper/ Incorrect Reporting B0C17 Failure to develop any or adequate SWPPP/SWMP 

E0011 Late Submittal of DMRs B0C18 Failure to Implement SWPPP/SWMP 

E0014 Noncompliance with Section 308 Information Request B0R41 Failure to Maintain Records 

Pretreatment C0R11 Failure to Monitor 

C0012 Baseline Monitoring Report Violation BR19A Failure to properly install/implement BMPs 

B0P12 Failure to Conduct Inspections BR19B Failure to properly operate and maintain BMPs 

B0P11 Failure to Develop/Enforce Standards D0R12 Failure to submit required permit application information 

B0013 Failure to Enforce Against I/U E0R16 Failure to submit required report (non-DMR) 

B0015 Failure to Establish Local Limits A0R22 Narrative effluent violation 

C0013 Failure to Establish Self-Monitoring Requirements E0R14 Noncompliance with section 308 Information Request 

B0014 Failure to Issue SIU Permits A0R12 Numeric Effluent Violation 

B0016 Failure to Meet Inspection and Sampling Plan for SIUs B0R42 Violation of a milestone in an order 

E0015 Failure to submit required report (non-DMR) Storm Water MS4 

B0P40 Improper Chemical Handling D0M11 Discharge without a permit 

A0014 IU Violation of Pretreatment Standards D0M18 Failure to apply for a notice of termination 

CAFO B0M12 Failure to Conduct Inspections 

B0A19 Best Management Practice Deficiencies B0M17 Failure to develop any or adequate SWPPP/SWMP 

B0038 Direct Animal Contact with Waters of US B0M18 Failure to Implement SWPPP/SWMP 

D0A11 Discharge without a permit B0M41 Failure to Maintain Records or Meet Record Keeping 

B0A12 Failure to Conduct Inspections C0M11 Failure to Monitor 

B0032 Failure to Develop any or adequate NMP BM19A Failure to properly install/implement BMPs 

B0033 Failure to Implement NMP BM19B Failure to properly operate and maintain BMPs 

B0A41 Failure to Maintain Records or Meet Record Keeping 

Requirements D0M12 Failure to submit required permit application information 

B0043 Failure to meet order final compliance date E0M16 Failure to submit required report (non-DMR) 

C0A11 Failure to Monitor A0M22 Narrative effluent violation 

D0A12 Failure to submit required permit application information E0M14 Noncompliance with section 308 Information Request 

C0019 Failure to Test Manure A0M12 Numeric Effluent Violation 

B0A40 Improper Chemical Handling B0M42 Violation of a milestone in an order 

B0A23 Improper Land Application Storm Water Non-Construction 

B0039 Improper Manure Handling (not including land application) D0N11 Discharge without a permit 

B0037 Improper Mortality Management D0N18 Failure to apply for a notice of termination 

B0036 Improper O&M of Storage Facility B0N12 Failure to Conduct Inspections 

E0A13 Improper/Incorrect reporting B0N17 Failure to develop any or adequate SWPPP/SWMP 

B0034 Insufficient Buffers/Setbacks B0N18 Failure to Implement SWPPP/SWMP 

B0035 Insufficient Storage Capacity B0N41 Failure to Maintain Records 

A0A22 Narrative effluent violation C0N11 Failure to Monitor 

E0A16 No Annual Report Submitted BN19A Failure to properly install/implement BMPs 

C0020 No Depth Marker BN19B Failure to properly operate and maintain BMPs 

E0A14 Noncompliance with section 308 Information Request D0N12 Failure to submit required permit application information 

A0A12 Numeric effluent violation E0N16 Failure to submit required report (non-DMR) 

A0019 Production Area Runoff A0N22 Narrative effluent violation 

B0A42 Violation of a milestone in an order E0N14 Noncompliance with section 308 Information Request 

A0N12 Numeric Effluent Violation 

B0N42 Violation of a milestone in an order 

* N. B. The codes and code names listed herein may change over time. Please consult ICIS-NPDES and PCS system 

documentation for updated lists. 

2
 
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APPENDIX K

SAMPLE DISCHARGE 

MONITORING REPORT FORM
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Paperwork Reduction Act Notice 

Public reporting burden for this collection of information is estimated to vary from a range of 10 hours as an average 

per response for some minor facilities, to 110 hours as an average per response for some major facilities, with a 

weighted average for major and minor facilities of 18 hours per response, including time for reviewing instructions, 

searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the 

collection of information. Send comments regarding the burden estimate or any other aspect of this collection of 

information, including strategies for reducing this burden, to Chief, Information Policy Branch, PM-223, U.S. 

Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460; and to the Office of Information and 

Regulatory Affairs, Office of Management and Budget, Washington, DC 20503. 

General Instructions 

1. If form has been partially completed by preprinting, disregard instructions directed at entry of that information 

already preprinted. 

2. Enter “Permittee Name/Mailing Address (and facility name/location, if different),” “Permit Number,” and 

“Discharge Number” where indicated. (A separate form is required for each discharge.) 

3. Enter dates beginning and ending “Monitoring Period” covered by form where indicated. 

4. Enter each “Parameter” as specified in monitoring requirements of permit. 

5. Enter “Sample Measurement” data for each parameter under “Quantity” and “Quality” in units specified in 

permit. “Average” is normally arithmetic average (geometric average for bacterial parameters) of all sample 

measurements for each parameter obtained during “Monitoring Period”; “Maximum” and “Minimum” are 

normally extreme high and low measurements obtained during “Monitoring Period.” (Note to municipals with 

secondary treatment requirement: Enter 30-day average of sample measurements under “Average,” and enter 

maximum 7-day average of sample measurements obtained during monitoring period under “Maximum.”) 

6. Enter “Permit Requirement” for each parameter under “Quantity” and “Quality” as specified in permit. 

7. Under “No Ex” enter number of sample measurements during monitoring period that exceed maximum (and/or 

minimum or 7-day average as appropriate) permit requirement for each parameter. If none, enter “0.” 

8. Enter “Frequency of Analysis” both as “Sample Measurement” (actual frequency of sampling and analysis used 

during monitoring period) and as “Permit Requirement” specified in permit. (e.g., Enter “Cont,” for continuous 

monitoring, “1/7" for one day per week, “1/30" for one day per month, “1/90" for one day per quarter, etc.) 

9. Enter “Sample Type” both as “Sample Measurement” (actual sample type used during monitoring period) and 

as “Permit Requirement,” (e.g., Enter “Grab” for individual sample, “24HC” for 24-hour composite, “N/A” for 

continuous monitoring, etc.) 

10. Where violations of permit requirements are reported, attach a brief explanation to describe cause and 

corrective actions taken, and reference each violation by date. 

11. If “no discharge” occurs during monitoring period, enter “No Discharge” across form in place of data entry. 

12. Enter “Name/Title of Principal Executive Officer” with “Signature of Principal Officer of Authorized Agent,” 

“Telephone Number,” and “Date” at bottom of form. 

13. Mail signed Report to Office(s) by date(s) specified in permit. Retain copy for your records. 

14. More detailed instructions for use of this Discharge Monitoring Report (DMR) form may be obtained from 

Office(s) specified in permit. 

Legal Notice 

This report is required by law (33 U.S.C. 1318; 40 C.F.R. 125.27). Failure to report or failure to report truthfully can 

result in civil penalties not to exceed $10,000 per day of violation; or in criminal penalties not to exceed $25,000 

per day of violation, or by imprisonment for not more than one year, or by both. 

EPA Form 3320-1 (Rev. 3/99) 

K-1 
PERMITTEE NAME/ADDRESS (Include Facility Name/Location if Different) NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM (NPDES) 

 DISCHARGE MONITORING REPORT (DMR) 

NAME ADDRESS PERMIT NUMBER DISCHARGE NUMBER 

MONITORING PERIOD 

FACILITY YEAR MO DAY YEAR MO DAY LOCATION FROM TO 

PARAMETER 

QUANTITY OR LOADING QUALITY OR CONCENTRATION 

AVERAGE MAXIMUM UNITS MINIMUM AVERAGE MAXIMUM 

SAMPLE 

PERMIT 

REQUIREMENT 

SAMPLE 

PERMIT 

REQUIREMENT 

SAMPLE 

PERMIT 

REQUIREMENT 

SAMPLE 

PERMIT 

REQUIREMENT 

SAMPLE 

PERMIT 

REQUIREMENT 

SAMPLE 

PERMIT 

REQUIREMENT 

SAMPLE 

PERMIT 

REQUIREMENT 

NAME/TITLE PRINCIPAL EXECUTIVE OFFICER I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate 

the information submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge 

and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations. SIGNATURE OF PRINCIPAL EXECUTIVE 

TYPED OR PRINTED OFFICER OR AUTHORIZED AGENT 

COMMENT AND EXPLANATION OF ANY VIOLATIONS (Reference all attachments here) EPA Form 3320-1 (Rev. 03-99) Previous editions may be used. This is a 4-part 

K-2 
APPENDIX L

APPROVED METHODS FOR THE ANALYSIS OF 

SEWAGE SLUDGE (40 CFR 503)
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APPROVED METHODS FOR THE ANALYSIS OF SEWAGE SLUDGE 

(40 CFR Part 503) 

Parameter Analysis Method a/ 

Arsenic SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7060B b/ 

SW-846 Method 7061B b/ 

Cadmium SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7130 b/ 

SW-846 Method 7131B b/ 

Copper SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7210 b/ 

SW-846 Method 7211 b/ 

Lead SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7420 b/ 

SW-846 Method 7421 b/ 

Mercury 

SW-846 Method 7471B 

Molybdenum SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7481 b/ 

Nickel SW-846 Method 7521 b/ 

SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7520 b/ 

Selenium SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7740 b/ 

SW-846 Method 7741B b/ 

Zinc SW-846 Method 6010B b/ 

SW-846 Method 6020 b/ 

SW-846 Method 7950 b/ 

SW-846 Method 7951 b/ 

Fecal Coliform (MPN) SM-18th Method 9221 E (MPN) 

& Appendix F, EPA/625/R-92/013 

Salmonella bacteria Appendix G, EPA/625/R-92/013 

Helminth Ova Appendix I, EPA/625/R-92/013 

Enteric Viruses Appendix H, EPA/625/R-92/013 

Nitrate (as N) SM-18th Method 4500-NO3 

-

SW-846 Method 9056 

SW-846 Method 9210 

Nitrite (as N) SM-18th Method 4500-NO2 
Ammonia (as N) SM-18th Method 4500-NH3 

Organic Nitrogen Value calculated TKN minus NH3-N 

Total Kjeldahl Nitrogen (TKN) SM-18th Method 4500-Norg 

Total Solids SM-18th Method 2540 G 

Total Volatile Solids SM-18th Method 2540 G 

Total Phosphorus SM-18th Method 4500-P 

pH SW-846 Method 9045C 

TCLP SW-846 Method 1311 

Paint Filter Test SW-846 Method 9095A

 a/ The references for the specified analytical methods are listed below: 

EPA/626/R-92/013 means Environmental Regulations and Technology, Control of 

Pathogens and Vector Attraction in Sewage Sludge (Including Domestic Septage) 

Under 40 CFR Part 503, EPA Publication EPA/625/R-92/013, Revised October 1999. 

Use the indicated appendix. A copy of the document can be downloaded in PDF 

format from the Region 8 Biosolids Web page at 

http://www.epa.gov/region8/water/wastewater/biohome/biohome.html. Click on 

“Biosolids Documents”, “New Documents”, then “625r92013.pdf”. 

SM-18th means Standard Methods for the Examination of Water and Wastewater, 

18th Edition, 1992, American Public Health Association, 1015 15th Street, NW., 

Washington, DC 20005. 

SW-846 means Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, 

EPA publication SW-846 Third Edition (September 1986), Update I (July 1992), 

Update II (September 1994), Update IIA (August 1993), Update IIB (January 1995), 

and Update III (December 1996). Available from the National Technical Information 

Service, 5285 Port Royal Road, Springfield, VA 22161.

 b/ All samples must be digested using SW-846 Method 3050B (using equivalent to 1 

gram dry weight) prior to analysis by any of the procedures indicated. Methods 3051 

or 3052 may be used only with permission of the permit issuing authority. The AA 

direct Aspiration analyses are applicable at moderate concentration levels in clean 

complex matrix systems. AA Furnace methods can increase sensitivity if matrix 

effects are not severe. Inductively Coupled Plasma (ICP) methods are applicable over 

a broad linear range and are especially sensitive for refractory elements. Detection 

limits for AA Furnace methods are generally lower than for ICP methods. 
APPENDIX M


EXAMPLE CHAIN-OF-CUSTODY FORM

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Appendix M Sample Chain-of-Custody Form C O N - TA IN E R S R E M A R K S TIM E C O M P G R A B S TA TIO N LO C A TIO N (S ignature) 

Split Samples 

Second Copy to Representative of Inspected Facility 

REGION VIII, ONE DENVER PLACE 

999 18TH STREET 

(Signature) 

DENVER, CO 80202-2413 

Signature 

R em arks 

(Signature) 

NO 

CHAIN OF CUSTODY RECORD OF 

U.S. ENVIRONMENTAL PROTECTION AGENCY 

Distribution Original Accompanies Shipment First Copy to Coordinator Field File 

PROJECT NAME 

(Signature) 

M-1

Appendix M Sample Chain-of-Custody Form 

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M-2

APPENDIX N

UPDATED FACT SHEET: DEPARTMENT OF

TRANSPORTATION HAZARDOUS MATERIALS

TRAINING
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Appendix N Updated Fact Sheet: Department of 

Transportation Hazardous Materials Training 

DEPARTMENT OF TRANSPORTATION HAZARDOUS

MATERIALS TRAINING

What are DOT 

training 

requirements? 

Why does 

hazmat training 

apply to me? 

Does my EPA 

training 

substitute for 

DOT training 

requirements? 

What type of 

DOT training do 

I need? 

What are DOT’s 

training 

requirements for 

hazardous 

materials? 

What are DOT’s 

training 

DOT’s training requirements can be found at 49 CFR Part 172, Subpart H. In 

general, any employee who has a responsibility working with hazardous 

materials (hazmat) that is placed in commerce must have hazmat training. The 

employee must be familiar or aware of the requirements enabling the employee 

to recognize and identify hazardous materials, i.e., hazardous samples vs. nonhazardous samples, consistent with the hazard communication standards. The 

training must be commensurate with functions and responsibilities of the 

employee. 

As an inspector, you are likely to be a hazmat employee because you collect 

samples during an inspection and prepare the hazmat samples for 

transportation. The EPA is a hazmat employer because the Agency causes 

hazmat to be transported or shipped in commerce through its employees. DOT 

defines "hazmat employer" to include any department, agency, or 

instrumentality of the United States, a State, a political subdivision of a State, 

or an Indian Nation. Administrative and secretarial staff are also subject to 

DOT training if their responsibilities cause hazmat materials to be placed into 

commerce, i.e., preparing shipping papers. 

The EPA Health & Safety course provides the inspector with information on 

protecting oneself for on-the-job hazards and would meet DOT’s Safety 

training requirement. It does not meet the General awareness/familiarization 

requirement. See DOT’s training requirements. 

DOT hazmat training is function-specific. For most inspectors, the general 

awareness hazardous materials training course found on the DOT’s website 

will be sufficient to meet the DOT training requirements. Alternatively, the 

employer can provide function specific training from other sources.(see 

below). 

DOT’s hazmat training, 49 CFR §172.704, focuses on three requirements 

applicable to inspectors and administrative staff: 

C General awareness/familiarization 

T Each hazmat employee shall be provided general 

awareness/familiarization training designed to provide familiarity 

with the hazmat requirements and to enable the employee to 

recognize and identify hazardous materials consistent with the 

hazard communication standards. 

EPA Inspector Training February 2002 

DOT’s General Awareness Hazardous Materials Training 

N-1
Appendix N Updated Fact Sheet: Department of 

Transportation Hazardous Materials Training 

requirements for 

hazardous 

materials? cont. 

Where can I find 

training 

opportunities? 

How long does 

the certification 

last? 

Who is 

responsible for 

training? 

Who is 

responsible for 

keeping the 

training record? 

C Function-specific 

T Each hazmat employee shall be provided function-specific training 

as it applies to the employee’s job responsibilities. 

C Safety 

T Emergency response information required by part 172, subpart G, 

i.e., information that can be used in the mitigation of an incident 

involving hazardous materials; 

T Measures to protect the employee from the hazards associated with 

hazardous materials to which they may be exposed in the work 

place, including specific measures the hazmat employer has 

implemented to protect employees from exposure; and 

T Methods and procedures for avoiding accidents, such as the proper 

procedures for handling packages containing hazardous materials. 

A good training resource is DOT’s hazmat page, hazmat.dot.gov/training. 

You can download the instructor’s and student’s training manual for in-house

use. The training manual does include test questions. Self-training is

acceptable by DOT so long as 49 CFR §172.704 training requirements are met.

The DOT’s Transportation Safety Institute in Oklahoma City, OK offers

training on-site. Course dates are available from the website.

In addition to DOT’s hazmat site, this web link, hazmat.dot.gov/thirdpty.htm 

identifies third party providers who offer a variety of hazmat training courses. 

The hazardous materials training is required to be completed within the first 90 

days of employment. The certification period is good for three years and then 

the hazardous materials training program must be retaken. If your job 

responsibilities change, your training needs may change. 

The employer is responsible. DOT’s definition of employer is not clear in 

terms of EPA’s administrative structure. “Employer” could be defined as the 

Administrator or any other manager in direct supervisory line of the employee. 

The employer is responsible for keeping the employee’s records. 

What should be in the training record? 

EPA Inspector Training February 2002 

DOT’s General Awareness Hazardous Materials Training 

N-2
Appendix N Updated Fact Sheet: Department of 

Transportation Hazardous Materials Training 

Specifically, what 

documents need to 

be retained? 

Does the employee 

have to “pass” the 

test? 

Know Your 

Shipper’s 

Requirements! 

Documentation 

that shows the 

employee has 

completed the necessary training, and has been tested and certified.

A record of current training, inclusive of the preceding three years must be

retained for as long as the employee is employed by that employer as a hazmat

employee and for 90 days thereafter. The record shall include the following

information:

(1) The inspector's name;

(2) The most recent training completion date of the inspector’s training;

(3) A description, copy, or the location of the training materials used to meet

the requirements; 

(4) The name and address of the person providing the training; and 

(5) Certification that the hazmat employee has been trained and 

tested. 

The requirements do not state that the employee must "pass" a test; however, 

an employee may only be certified in areas in which he/she can successfully 

perform their hazmat duties. 

Before collecting samples, know which shipping company you will be using to 

ship your samples. Some require additional training and certification beyond 

the basic DOT requirements. Here are three common carriers with some of 

their requirements for shipping hazmat materials. 

Federal Express (FedEx) 

The shipping method you select determines what type of training FedEx 

expects you to have completed. If you plan to ship samples by ground, the 

DOT training requirements are sufficient. If you plan to ship the samples by 

air, then you must be trained according to International Air Transport 

Association (IATA) regulations. Successful completion of the IATA 

requirements will meet DOT’s hazard communications requirements. IATA 

training and information can be found at: www.iata.org. 

Know Your 

Shipper’s Requirements! cont.

EPA Inspector Training February 2002 

DOT’s General Awareness Hazardous Materials Training 

N-3
Appendix N Updated Fact Sheet: Department of 

Transportation Hazardous Materials Training 

awareness training is acceptable by UPS for ground shipments. Shipments by 

air require IATA training. 

United States Postal Service (USPS) 

DOT’s general awareness training and testing is acceptable by USPS for both 

shipping by ground and air. However, the Postal Service does have limits 

which are more stringent than DOT’s regulations. Check this website for 

further details - http://pe.usps.gov/text/dmm/c023.htm 

Before shipping, you should inquire with the shipping company if they have 

additional requirements for handling, packaging and shipment limitations for 

the hazmat materials. 

Here are a few issues an inspector may face with the different shippers: 

C Do you want them to meet you at the site? You may need to call ahead to 

schedule the pickup before you arrive at the site to collect samples. 

C Do you plan on dropping the shipment off? Not all offices can accept 

dangerous goods and hazmat. 

C Shipping papers may need to be typed, not handwritten. Do you bring a 

portable typewriter with you or type the shipping papers before leaving 

the office? 

United Parcel 

Service (UPS) 

DOT’s general 

EPA Inspector Training February 2002 

DOT’s General Awareness Hazardous Materials Training 

N-4
APPENDIX O

SUPPLEMENTAL FLOW MEASUREMENT

INFORMATION
This page intentionally left blank. 
Appendix O Supplemental Flow Measurement Information 

SUPPLEMENTAL FLOW 

MEASUREMENT INFORMATION 

Basic Hydraulic Calculations 

The relationship between the flow rate (Q), the average velocity (V), and the cross-sectional

area of the flow (A) is given by the following equation: 

where Q = flow in cubic feet per second 

V = velocity in feet per second 

A = area in square feet. 

To convert flow in cubic feet of water per second to flow in gallons of water per minute, the

following proportionality is used: 

feet per second by 0.6463. 

The cross-sectional area (A) of a pipe is described by: 

To convert from cubic feet per second to million gallons per day, multiply the number of cubic 

where d = diameter of the pipe in feet. 

Flow Measurement Devices 

Flow data may be collected instantaneously or continuously. Instantaneous flows must be 

measured when samples are taken so that the pollutant concentrations can be correlated to

flow data. In a continuous flow measurement system, flow measurements are summed to

obtain a value for the total flow to verify NPDES permit compliance. 

A typical continuous flow measurement system consists of a flow device, a flow sensor, 

transmitting equipment, a recorder, and a totalizer. 

Instantaneous flow data can be obtained without using such a system. The primary flow device 

is constructed to yield predictable hydraulic responses related to the rate of wastewater or water 

flowing through the device. As previously mentioned, examples of such devices include weirs 

and flumes, which relate water depth (head) to flow; Venturi meters, which relate differential 

pressure to flow; and electromagnetic flowmeters, which relate induced electric voltage to flow. 

O-1 
Appendix O Supplemental Flow Measurement Information 

In most cases, a standard primary flow device has undergone detailed testing and 

experimentation and its accuracy has been verified. 

Flow is measured by many methods; some are designed to measure open channel flows, and 

others are designed to measure flows in pipelines. A complete discussion of all available flow 

measurement methods, their supporting theories, and the devices used are beyond the scope of 

this manual. The most commonly used flow measurement devices and procedures for 

inspecting them will be described briefly in the following paragraphs. For more detail, 

inspectors should consult the publications listed in "References" at the end of this chapter. 

Primary Devices 

Weirs. A weir consists of a thin vertical plate with a sharp crest that is placed in a stream, 

channel, or partly filled pipe. Figure I-1 shows a profile of a sharp-crested weir and indicates 

the appropriate nomenclature. Four common types of sharp-crested weirs are shown in Figure 

I-2. This figure illustrates the difference between suppressed and contracted rectangular weirs 

and illustrates Cipolletti (trapezoidal) and V-notch (triangular) weirs. 

To determine the flow rate, it is necessary to measure the hydraulic head (height) of water 

above the crest of the weir. For accurate flow measurements, the crest must be clean, sharp, 

and level. The edge of the crest must not be thicker than 1/8 inch. 

The rate of flow over a weir is directly related to the height of the water (head) above the crest at 

a point upstream of the weir where the water surface is level. To calculate the discharge over a 

weir, the head must first be measured by placing a measuring device upstream of the weir, at a 

distance of at least 4 times an approximate measurement of the head. A measurement can be 

taken at the weir plate to approximate the head. However, if this measurement is used to 

calculate the discharge, this value will provide only a rough estimate of the discharge. 

The head-discharge relationship formulas for nonsubmerged contracted and suppressed 

rectangular weirs, Cipolletti weirs, and V-notch weirs are provided in Table I-1. Discharge rates 

for the 90-degree V-notch weir (when the head is measured at the weir plate) are included in 

Table I-2. Flow rates for 60- and 90-degree V-notch weirs can be determined from the graph in 

Figure I-3. Minimum and maximum recommended flow rates for Cipolletti weirs are provided in 

Table I-3. Figure I-4 is a nomograph for flow rates for rectangular weirs using the Francis 

formulas. 

Parshall Flume. The Parshall flume is composed of three sections: a converging upstream 

section, a throat or contracted section, and a diverging or dropping downstream section. When 

there is free fall out of the throat of a Parshall flume, no diverging downstream section is 

required. It operates on the principle that when open channel water flows through a constriction 

in the channel, it produces a hydraulic head at a certain point upstream of the constriction that is 

proportional to the flow. The hydraulic head is used to calculate the flow. Flow curves are 

shown in Figure I-5 to determine free flow through 3 inches to 50 feet Parshall flumes. 

The Parshall flume is good for measuring open channel waste flow because it is self cleaning; 

therefore, sand or suspended solids are unlikely to affect the operation of the device. The flume 

is both simple and accurate. 

O-2 
Appendix O Supplemental Flow Measurement Information 

The flume size is given by the width of the throat section. Parshall flumes have been developed 

with throat widths from 1 inch to 50 feet. The configuration and standard nomenclature for 

Parshall flumes are provided in Figure I-6. Strict adherence to all dimensions is necessary to 

achieve accurate flow measurements. Figure I-6 provides Parshall flume dimensions for 

various throat widths, and Table I-4 provides the minimum and maximum flow rates for free flow 

through Parshall flumes. 

For free nonsubmerged flow in a Parshall flume of throat and upstream head (Ha in feet), the 

discharge relationship for flumes of 8 feet or less is given by the general equation Q = CWHan, 

where Q = flow. 

Table I-5 provides the values of C, n, and Q for different sizes (widths) of the Parshall flumes. 

Nomographs, curves, or tables are readily available to determine the discharge from head 

observations. 

Flow through a Parshall flume may also be submerged. The degree of submergence is 

indicated by the ratio of the downstream head to the upstream head (Hb/Ha), which is the 

submergence ratio. Hb is the height of water measured above the crest. The flow is 

submerged if the submerged ratio is: 

• Greater than 0.5 for flumes under 3 inches 

• Greater than 0.6 for flumes 6 to 9 inches 

• Greater than 0.7 for flumes 1 to 8 feet 

• Greater than 0.8 for flumes larger than 8 feet. 

If submerged conditions exist, the inspector should apply a correction factor to the free flow 

determined using the relationship Q= CWHn. These correction factors are shown in Figure I-7 

for different sizes of the Parshall flume. 

Palmer-Bowlus Flume. The Palmer-Bowlus flume is also composed of three sections: a 

converging upstream section, a contracted section or throat, and a diverging downstream 

section (Figure I-8). The upstream depth of the water (head) above the raised step in the throat 

is related to the discharge rate. The head should be measured at a distance d/2 upstream of 

the throat where d is the size (width) of the flume. The height of the step is usually unknown 

until the manufacturer's data are consulted, it is difficult to manually measure the height of water 

above the step at an upstream point. The dimensions for Palmer-Bowlus flumes are not 

standardized as they are for Parshall flumes. Therefore, no standard flow equation exists. 

Instead, rating curves are provided by manufacturers of Palmer-Bowlus flumes to relate the 

head to the discharge rate. 

The flume must be installed with a minimum channel slope downstream to maintain critical flow 

through the flume and prevent the flume from becoming submerged. A small jump or rise in the 

water surface below the throat indicates that critical flow through the flume has probably 

occurred and submerged conditions do not exist. Accurate flow measurements can usually be 

obtained with upstream depths that are up to 95 percent of the pipe diameter. Table I-6 

provides a table of the maximum slopes recommended for installation of Palmer-Bowlus flumes. 

Advantages of this type of flow measurement device are the following: 

• It is easily installed in existing systems. 

• Head loss is insignificant. 

• Unit is self cleaning. 

O-3 
Appendix O Supplemental Flow Measurement Information 

Venturi Meter. The Venturi (differential pressure) meter is one of the most accurate primary 

devices for measuring flow rates in pipes. The Venturi meter is basically a pipe segment 

consisting of an inlet section, a converging section, and a throat, along with a diverging outlet 

section as illustrated in Figure I-9. The water velocity is increased in the constricted portion of 

the inlet section resulting in a decrease in the static pressure. The pressure difference between 

the inlet pipe and the throat is proportional to the square of the flow. The pressure difference 

can easily be measured very accurately, resulting in an accurate flow measurement. An 

advantage of the Venturi meter is that it causes little pressure (head) loss. The formula for 

calculating the flow in a Venturi meter is as follows: 

where Q = volume of water, in cubic feet per second 

c = discharge coefficient, obtain from Table I-7. C varies with Reynold's 

number, meter surfaces, and installation 

h1 = pressure head at center of pipe at inlet section, in feet of water 

h2 = pressure head at throat, in feet of water 

K = constant which relates d2 to d1 for Venturi meters. Obtain values of K 

from Table I-8 or calculate according to the formula 

where d2 = throat diameter, in feet 

d1 = diameter of inlet pipe, in feet 

Electromagnetic Flowmeter. The electromagnetic flowmeter operates according to Faraday's 

Law of Induction: the voltage induced by a conductor moving at right angles through a magnetic 

field will be proportional to the velocity of the conductor through the field. In the electromagnetic 

flowmeter, the conductor is the liquid stream to be measured and the field is produced by a set 

of electromagnetic coils. A typical electromagnetic flowmeter is shown in Figure I-10. The 

induced voltage is transmitted to a converter for signal conditioning. The meter may be 

provided with recorder and totalizer using electric or pneumatic transmission systems. This type 

of flowmeter is useful at sewage lift stations and for measuring total raw wastewater flow or raw 

or recirculated sludge flow. 

Electromagnetic flowmeters are used in full pipes and have many advantages, including: 

accuracies of +1 percent, a wide flow measurement range, a negligible pressure loss, no 

moving parts, and rapid response time. However, they are expensive and buildup of grease 

deposits or pitting by abrasive wastewaters can cause error. Regular checking and cleaning of 

the electrodes is necessary. The meter electronics can be checked for proper operation with 

devices specially made for this purpose. The meter should be checked at least annually. The 

calibration of an electromagnetic flowmeter cannot be verified except by returning it to the 

O-4 
Appendix O Supplemental Flow Measurement Information 

factory or by the dye dilution method. 

Propeller Meter. The propeller meter (Figure I-11) operates on the principle that liquid hitting 

the propeller will cause the propeller to rotate at a speed proportional to the flow rate. The 

meter is self-contained and requires no energy or equipment other than a mechanical totalizer 

to obtain a cumulative flow reading. Equipment may be added to the meter to produce a flow 

reading, to pace chemical feed equipment, and to control telemetering equipment for remote 

readout. The calibration of a propeller meter can be checked by returning it to the factory, by 

comparing its readings to another meter measuring the same flow, or by using the dye dilution 

method. 

Secondary Devices 

Secondary devices are the devices in the flow measurement system that translate the 

interaction of primary devices in contact with the fluid into the desired records or readout. They 

can be organized into two broad classes: 

• Nonrecording type with direct readout (e.g., a staff gauge) or indirect readout from fixed 

points (e.g., a chain, wire weight, float) 

• Recording type with either digital or graphic recorders (e.g., float in well, float in flow, 

bubbler, electrical, acoustic). 

The advantages and disadvantages of various secondary devices are provided in Table G-9. 

Transit-Time Flowmeter. The transit-time flowmeter (Figure I-12) is a new ultrasonic technology 

that can be used as a secondary device. As a secondary device, the transit-time flowmeter 

must be used in conjunction with one of the primary devices described above. The transit-time 

flowmeter utilizes a minimum of one pair of transducers that alternately transmit and receive an 

ultrasonic signal. The transducers are placed on or in the pipe at a defined spacing based on a 

predetermined angle. The signal between the pair of transducers is alternately transmitted, first 

upstream and then downstream. At a zero flow condition, the time for the two signals to be 

transmitted and received are equal. However, as flow begins, the liquid’s flow velocity speeds 

up the signal in the up to downstream direction while slowing the signal in the down to upstream 

direction. The difference in time between the two signals is proportional to the liquid’s velocity. 

Knowing the liquid’s flow velocity and the pipe inner diameter area provides the instantaneous 

flow rate. The flowmeter provides analog and discrete outputs for remote recorder and 

totalization of flow. 

Transit-time flowmeters are suitable for the typical range of liquids found in full pipe 

applications. The clamp-on nature of the meter allows for its installation without the need to 

shut down the existing line. Transit-time flowmeters are available in both permanent and 

portable configurations. 

Pumps 

Some wastewater facilities may need to measure flow by means of pumps in which 

discharge-versus-power relationships have been determined from measurements of the 

average output or input during a period in which discharge measurements were made. Suitable 

curves may be developed from these test data. When readily available from the manufacturer, 

pump curves may be used by the inspector to estimate flow. 

O-5 
Appendix O Supplemental Flow Measurement Information 

Because of wear on pumps and uncertainty regarding actual discharge heads, pump curves at 

best only provide an estimate of the flow. Pump curves are not normally accurate enough to be 

used for NPDES permit discharge flow measurements. Pump curves have been used for 

determining large flows, such as the cooling water discharge from large steam electric power 

plants, where a high degree of accuracy was not necessary. 

O-6 
Appendix O Supplemental Flow Measurement Information Table O-1 Head-Discharge Relationship Formulas for Nonsubmerged Weirs* Weir Type Contracted Suppressed Remarks Reference Rectangular Francis formulas Q = 3.33 (L - 0.1 nH)H1.5 Q = 3.33 L H1.5 Approach velocity neglected King 1963 Q = 3.33 [(H + h)1.5 -h 1.5 ](L - 0.1nH) Q = 3.33 L[(H + h)1.5 - h 1.5 ] Approach velocity considered King 1963 Cipolletti Q = 3.367 L H1.5 NA Approach velocity neglected King 1963 Q = 3.367 L (H + h)1.5 - h 1.5 NA Approach velocity considered EPA 1973 V-notch Formula for 90° V- notch only Q = 2.50 H2.5 NA Not appreciably affected by approach velocity King 1963 Q = 3.01 HW 2.48 NA Head measured at weir plate Eli and Peterson 1979 (EPA-61809A- 2B) Q = discharge in cubic feet H = head in feet NA = not applicable H W = head in feet at weir plate n = number of end contractions L = crest length in feet h = head in feet due to the approach velocity = v2 /2g V = approach velocity g = gravity (32.2 ft/sec2 ) *Selection of a formula depends on its suitability and parameters under consideration. 

O-7 
Appendix O Supplemental Flow Measurement Information 

Table O-2 

Discharge of 90° V-Notch Weir—Head Measured at Weir Plate 

Head@ 

Weir 

in Feet 

Flow 

Rate 

in CFS 

Head@ 

Weir 

in Feet 

Flow 

Rate 

in CFS 

Head@ 

Weir 

in Feet 

Flow 

Rate 

in CFS 

0.06 

0.07 

0.08 

0.09 

0.10 

0.003 

0.004 

0.006 

0.008 

0.010 

0.46 

0.47 

0.48 

0.49 

0.50 

0.439 

0.463 

0.488 

0.513 

0.540 

0.86 

0.87 

0.88 

0.89 

0.90 

2.071 

2.140 

2.192 

2.255 

2.318 

0.11 

0.12 

0.13 

0.14 

0.15 

0.013 

0.016 

0.019 

0.023 

0.027 

0.51 

0.52 

0.53 

0.54 

0.55 

0.567 

0.595 

0.623 

0.653 

0.683 

0.91 

0.92 

0.93 

0.94 

0.95 

2.382 

2.448 

2.514 

2.582 

2.650 

0.16 

0.17 

0.18 

0.19 

0.20 

0.032 

0.037 

0.043 

0.049 

0.056 

0.56 

0.57 

0.58 

0.59 

0.60 

0.715 

0.747 

0.780 

0.813 

0.848 

0.96 

0.97 

0.98 

0.99 

1.00 

2.720 

2.791 

2.863 

2.936 

3.010 

0.21 

0.22 

0.23 

0.24 

0.25 

0.063 

0.070 

0.079 

0.087 

0.097 

0.61 

0.62 

0.63 

0.64 

0.65 

0.883 

0.920 

0.957 

0.995 

1.034 

1.01 

1.02 

1.03 

1.04 

1.05 

3.085 

3.162 

3.239 

3.317 

3.397 

0.26 

0.27 

0.28 

0.29 

0.30 

0.107 

0.117 

0.128 

0.140 

0.152 

0.66 

0.67 

0.68 

0.69 

0.70 

1.074 

1.115 

1.157 

1.199 

1.243 

1.06 

1.07 

1.08 

1.09 

1.10 

3.478 

3.556 

3.643 

3.727 

3.813 

0.31 

0.32 

0.33 

0.34 

0.35 

0.165 

0.178 

0.193 

0.207 

0.223 

0.71 

0.72 

0.73 

0.74 

0.75 

1.287 

1.333 

1.379 

1.426 

1.475 

1.11 

1.12 

1.13 

1.14 

1.15 

3.889 

3.987 

4.076 

4.166 

4.257 

0.36 

0.37 

0.38 

0.39 

0.40 

0.239 

0.256 

0.273 

0.291 

0.310 

0.76 

0.77 

0.78 

0.79 

0.80 

1.524 

1.574 

1.625 

1.678 

1.730 

1.16 

1.17 

1.18 

1.19 

1.20 

4.349 

4.443 

4.538 

4.634 

4.731 

0.41 

0.42 

0.43 

0.44 

0.45 

0.330 

0.350 

0.371 

0.393 

0.415 

0.81 

0.82 

0.83 

0.84 

0.85 

1.785 

1.840 

1.896 

1.953 

2.012 

1.21 

1.22 

1.23 

1.24 

1.25 

4.829 

4.929 

5.030 

5.132 

5.235 

Equation Q = 3.01 Hw2.48,where Hw, head, is in feet at the weir and Q is in cubic feet per second. 

O-8 
Appendix O Supplemental Flow Measurement Information 

Table O-3 

Minimum and Maximum Recommended Flow Rates 

for Cipolletti Weirs 

Crest 

Length, ft. Minimum 

Head, ft. 

Minimum Flow Rate 

Maximum 

Head, ft. 

Maximum Flow Rate 

MGD CFS MGD CFS 

1 0.2 0.195 0.301 0.5 0.769 1.19 

1.5 0.2 0.292 0.452 0.75 2.12 3.28 

2 0.2 0.389 0.602 1.0 4.35 6.73 

2.5 0.2 0.487 0.753 1.25 7.60 11.8 

3 0.2 0.584 0.903 1.5 12.0 18.6 

4 0.2 0.778 1.20 2.0 24.6 38.1 

5 0.2 0.973 1.51 2.5 43.0 66.5 

6 0.2 0.17 1.81 3.0 67.8 105.0 

8 0.2 0.56 2.41 4.0 139.0 214.0 

10 0.2 1.95 3.01 5.0 243.0 375.0 

Table O-4 

Minimum and Maximum Recommended Flow Rates 

for Free Flow Through Parshall Flumes 

Throat 

Width, 

W 

Minimum 

Head, ft. 

Minimum Flow Rate 

Maximum 

Head, ft. 

Maximum Flow Rate 

MGD CFS MGD CFS 

1 in. 0.07 0.003 0.005 0.60 0.099 0.153 

2 in. 0.07 0.007 0.011 0.60 0.198 0.306 

3 in. 0.10 0.018 0.028 1.5 1.20 1.86 

6 in. 0.10 0.035 0.054 1.5 2.53 3.91 

9 in. 0.10 0.05 0.091 2.0 5.73 8.87 

1 ft. 0.10 0.078 0.120 2.5 10.4 16.1 

1.5 ft. 0.10 0.112 0.174 2.5 15.9 24.6 

2 ft. 0.15 0.273 0.423 2.5 21.4 33.1 

3 ft. 0.15 0.397 0.615 2.5 32.6 50.4 

4 ft. 0.20 0.816 1.26 2.5 43.9 67.9 

5 ft. 0.20 1.00 1.55 2.5 55.3 85.6 

6 ft. 0.25 1.70 2.63 2.5 66.9 103 

8 ft. 0.25 2.23 3.45 2.5 90.1 139 

10 ft. 0.30 3.71 5.74 3.5 189 292 

12 ft. 0.33 5.13 7.93 4.5 335 519 

O-9 
Appendix O Supplemental Flow Measurement Information 

Table O-5 

Free-Flow Values of C and N for Parshall Flumes 

Based on the Relationship Q = CWHn 

(American Petroleum Institute 1969) 

Flume Throat, W C n Max. Q CFS 

1 in. 0.338 

2 in. 0.676 

3 in. 0.992 

6 in. 2.06 

9 in. 3.07 

1 ft. 4W* 

1.55 0.15 

1.55 0.30 

1.55 1.8 

1.58 3.9 

1.53 8.9 

1.522W0.026 16.1 

1.5 ft. 4W*

2 ft. 4W*

3 ft. 4W*

4 ft. 4W*

5 ft. 4W*

6 ft. 4W*

7 ft. 4W*

8 ft. 4W*

1.522W0.026 24.6 

1.522W0.026 33.1 

1.522W0.026 50.4 

1.522W0.026 67.9 

1.522W0.026 85.6 

1.522W0.026 103.5 

1.522W0.026 121.4 

1.522W0.026 139.5 

Where W = Flume throat width 

Q = Flow (CFS) 

C = Constant 

n = Constant 

H = Head upstream of the flume throat (feet) 

* = W should be represented in feet to calculate C 

O-10 
Appendix O Supplemental Flow Measurement Information 

Table O-6 

Minimum and Maximum Recommended Flow Rates for 

Free Flow Through Plasti-Fab Palmer-Bowlus Flumes 

Minimum Flow Maximum Flow 

D Flume 

Size (in.) 

Maximum 

Slope for 

Upstream (%) 

Minimum 

Head (ft.) 

Rate 

Maximum 

Head (ft.) 

Rate 

MGD CFS MGD CFS 

6 2.2 0.11 0.023 0.035 0.36 0.203 0.315 

8 2.0 0.15 0.048 0.074 0.49 0.433 0.670 

10 1.8 0.18 0.079 0.122 0.61 0.752 1.16 

12 1.6 0.22 0.128 0.198 0.73 1.18 1.83 

15 1.5 0.27 0.216 0.334 0.91 2.06 3.18 

18 1.4 0.33 0.355 0.549 1.09 3.24 5.01 

21 1.4 0.38 0.504 0.780 1.28 4.81 7.44 

24 1.3 0.44 0.721 1.12 1.46 6.70 10.4 

27 1.3 0.49 0.945 1.46 1.64 8.95 13.8 

30 1.3 0.55 1.26 1.95 1.82 11.6 18.0 

Table O-7 

Coefficients of Discharge c for Venturi Meters 

(King 1963) 

Throat Velocity, ft. per sec. 

Diameter of 

Throat, in. 3 4 5 10 15 20 30 40 50 

1 0.935 0.945 0.949 0.958 0.963 0.966 0.969 0.970 0.972 

2 0.939 0.948 0.953 0.965 0.970 0.973 0.974 0.975 0.977 

4 0.943 0.952 0.957 0.970 0.975 0.977 0.978 0.979 0.980 

8 0.948 0.957 0.962 0.974 0.978 0.980 0.981 0.982 0.983 

12 0.955 0.962 0.967 0.978 0.981 0.982 0.983 0.984 0.985 

18 0.963 0.969 0.973 0.981 0.983 0.984 0.985 0.986 0.986 

48 0.970 0.977 0.980 0.984 0.985 0.986 0.987 0.988 0.988 

O-11 
Appendix O Supplemental Flow Measurement Information 

Table O-8 

Values of K in Formula for Venturi Meters 

(King 1963) 

K K K K K 

0.20 6.31 0.33 6.34 0.46 6.45 0.59 6.72 0.72 7.37 

0.21 6.31 0.34 6.34 0.47 6.46 0.60 6.75 0.73 7.45 

0.22 6.31 0.35 6.35 0.48 6.47 0.61 6.79 0.74 7.53 

0.23 6.31 0.36 6.35 0.49 6.49 0.62 6.82 0.75 7.62 

0.24 6.31 0.37 6.36 0.50 6.51 0.63 6.86 0.76 7.72 

0.25 6.31 0.38 6.37 0.51 6.52 0.64 6.91 0.77 7.82 

0.26 6.31 0.39 6.37 0.52 6.54 0.65 6.95 0.78 7.94 

0.27 6.32 0.40 6.38 0.53 6.54 0.66 7.00 0.79 8.06 

0.28 6.32 0.41 6.39 0.54 6.59 0.67 7.05 0.80 8.20 

0.29 6.32 0.42 6.40 0.55 6.61 0.68 7.11 0.81 8.35 

0.30 6.33 0.43 6.41 0.56 6.64 0.69 7.17 0.82 8.51 

0.31 6.33 0.44 6.42 0.57 6.66 0.70 7.23 0.83 8.69 

0.32 6.33 0.45 6.43 0.58 6.69 0.71 7.30 0.84 8.89 

O-12 
Appendix O Supplemental Flow Measurement Information 

Table O-9 

Advantages and Disadvantages of Secondary Devices 

Device Advantages Disadvantages 

Hook Gauge Common Requires training to use, easily 

damaged 

Stage Board Common Needs regular cleaning, difficult to 

read top of meniscus 

Pressure 

Measurement

 a. Pressure Bulb Since no compressed air is used, Openings can clog, expensive 

source can be linked directly to 

sampler 

b. Bubbler Tube Self-cleaning, less expensive, Needs compressed air or other air 

reliable source 

Float Inexpensive, reliable Catches debris, requires frequent 

cleaning to prevent sticking and 

changing buoyancy, and corroding 

hinges 

Dipper Quite reliable, easy to operate Oil and grease foul probe, causing 

possible sensor loss 

Ultrasonic No electrical or mechanical Errors from heavy turbulence and 

contact foam, calibration procedure is more 

involved than for other devices 

O-13 
Appendix O Supplemental Flow Measurement Information 

Figure I-1 

Profile and Nomenclature of Sharp-Crested Weirs 

(Associated Water and Air Resource Engineers, Inc., 1973) 

2Hmax 

At Least 

4 Hmz 

Nappe 

Air Gap 

2" 

Discharge 

Measure 

Depth, H 

Inlet Run 

20 Hmax 

Hmax 

K K 

or 

45% 

Weir 

Weir Crest 

Free Fall 

Approx. 

Minimum 

Level for 

Free Fall 

Point to 

Straight 

Sharp-Crested Weir 

K= Approx. 0.1" 

461B-05 

O-14 
Appendix O Supplemental Flow Measurement Information 

Figure I-2 

Three Common Types of Sharp-Crested Weirs 

(Associated Water and Air Resource Engineers, Inc., 1973) 

2 Hmax 

Crest Length Minimum

2 Hmax 

Minimum 

Hmax 

Crest Length 

2 Hmax 

Minimum 

Hmax 

Suppressed (Without End Contractions) Trapezoidal (Cipolletti) Sharp-Crested Weir Rectangular Weir 

Crest Length 

2 Hmax 

Minimum 

Hmax 

2 Hmax 

Minimum 

2 Hmax 

Minimum 

Hmax 

2 Hmax 

Minimum 

α 

Contracted (With End Contractions) V-Notch (Triangular) Sharp-Crested Weir Rectangular Weir 461B-06 

O-15 
7 

6 

4 

2 

24 

Appendix O Supplemental Flow Measurement Information 

Figure I-3

Flow Rates for 60° and 90° V-Notch Weirs 

(Associated Water and Resource Engineers, Inc., 1973) 

24


200


5


3


1


4000


6000


7000


3000


5000


4000


Weir Head, in Inches 

20


18


16


14


12


10


9


8


3000


2000


1000


800


600


400


300


20


18


16


14


12


10


9


8


2000


1000


800


600


400


300


200


90°

60°

= 45° 

= 60° 

Weir Head, in Inches

 Weir 

 Weir 

100


80


60
 100


40


80


30


60


20
 40


30


10


20
 8


2


6


10
 4


8
 3


6


4
 2


3


L5


1


461B-08 O-16 

7 

6 

5 

4 

3 
1.0 

1.5 

2.0 

2.5 

3.0 

4.0 

5.0 

6.0 

7.0 

8.0 

9.0 

10.0 

25 

Appendix O Supplemental Flow Measurement Information 

Figure I-4 

Nomograph for Capacity of Rectangular Weirs 

(Associated Water and Air Resource Engineers, Inc., 1973) 

8000 45 

39 

HEAD IN INCHES

DISCHARGE, IN GALLOWS PER MINUTES

10000 5000 9000 20 33 8000 

LENGTH OF WEIR, L, IN FEET

GALLOWS PER MINUTE TO BE SUBTRACTED FROM FLOW FOR CONTRACTED WEIR

WITH TWO END CONTRACTIONS- (0.66 H 5/2) (450)

27 7000	 2000 15

6000 

21 1000 5000 18 10 

500 15 4000	 9 

8 

7 

200 

12 

3000 6 

5 9 

DISCHARGE, Q, IN CUBIC FEET PER SECOND


100 4 2000 

3 50 6

2 

20 4 

1000


10 900
 3 800


5 700


600 2 

2 500

1.5 1.0

400 0.9 1 0.8 

1 0.7 300 0.5 0.6 

3/4 0.5 

0.2 200

0.4 

0.1 1/2

0.3 

0.06 3/8

100 

90 0.2 0.02 1/4	 80 

70 0.01 

0.005


60


50


1/8 45	 0.1 

461B-09 O-17 

15.0 

20.0 

25.0 
Appendix O Supplemental Flow Measurement Information 

Figure I-5 

Flow Curves for Parshall Flumes 

(Associated Water and Air Resource Engineers, Inc., 1973) 

GPM MGD CFS 

80,000 100 

60,000 80 

50,000 

400 

300 200 

100,000 200 

40,000 50 80 

50' 

40' 

30' 

25' 

20' 

15' 

12' 

10' 

8' 

60 100

40 

30 

20 

10 

8 

6 

5 

4 

3 

2 

10 

08 

06 

05 

04 

03 

02 

MGD 

01 

0.08 

0.06 

0.05 

0.04 

Flow 

0.02 

3000 

2000 

1000 

800 

600 

500 

400 

300 

4,000 

3,000 

2,000 

1,000 

800 

600 

500 

1,000,000 

800,000 

600,000 

500,000 

400,000 

300,000 

200,000 

30,000 

20,000 

10,000 

8,000 

6,000 

5,000 

4,000 

3,000 

2,000 

GPM 

1,000 

800 

600 

500 

400 

300 

200 

100 

80 

60 

50 

40 

30 

20 

Flow 

10 

60 

50 

40 

30 

20 

10

 8


 6


 5


 4


 3


 2 

10

 08

 06

 05

 04

 03

 02 

CFS

 01

 008

 006

 005


 004


 003


 002


Flow 8 1 2 3 4 56 60 80 100 

Head – Inches 

15 

1 32 4 5 6 2 3 4 6

Head – Feet 

8 10 20 30 40 

8 10 8 10 

001 

461B-10 

Five inches is minimum Thirty-six inches is maximum 

full scale head with Foxboro full scale head with Foxboro 

float and cable meter float and cable meter 

O-18 
Appendix O Supplemental Flow Measurement Information 

Figure I-6 

Dimensions and Capacities of Parshall Measuring Flumes for Various Throat Widths 

(Associated Water and Air Resource Engineers, Inc., 1973) 

Throat 

Section 

W 

Flow Converging 

Section Diverging 

Section 

D P C 

A 

R 

H 

2/3 A Ha 

Hb 

M B T G 

E 

K 

Slope 1/4 

a

461B-07 

°

Zero Reference 

Level for H

 and Hb 

Y 

X 

N 

Water 

Surface 

Submerged Flow 

Free Flow 

 Level Floor 

O-19 
Appendix O Supplemental Flow Measurement Information 

Figure I-6 

Dimensions and Capacities of Parshall Measuring Flumes for Various Throat Widths 

(Continued) 

Free-Flow 

Capacity

 W A 

bA B C D E T G H K M N P R X Y (Second-Foot*)

MiniFt. In. Ft. In. Ft. In. Ft. In. Ft. In. Ft. In. Ft. In. Ft. In. Ft. In. Ft. In. In. In. Ft. In. Ft. In. Ft. In. In. In. mum Maxi-mum 

5 0 3 1 6d 1 1⁄4 1 6 0 7 0 103

/16 1-11⁄2 0 0 6 1 0 1 /32 1 0 0 21⁄4 0 0 0 0 1 11⁄2 0.03 1.9 

0 6 2 7

/16 1 45

/16 2 0 1 31⁄2 1 3e 2 0 1 0 2 0 0 0 3 1 0 41⁄2 2 111⁄2 1 4 2 3 0.05 3.9 

0 9 2 10e 1 11c 2 10 1 3 1 10e 2 6 1 0 1 6 0 0 3 1 0 41⁄2 3 61⁄2 1 4 2 3 0.09 8.9 1 0 4 6 3 0 4 4f 2 0 2 91⁄4 3 0 2 0 3 0 0 0 3 1 3 9 4 103⁄4 1 8 2 3 0.11 16.1 

1 6 4 9 3 2 4 7f 2 6 3 4d 3 0 2 0 3 0 0 0 3 1 3 9 5 6 1 8 2 3 0.15 24.6 

2 0 5 0 3 4 4 10f 3 0 3 111⁄2 3 0 2 0 3 0 0 0 3 1 3 9 6 1 1 8 2 3 0.42 33.1 

3 0 5 6 3 8 5 43⁄4 4 0 5 1f 3 0 2 0 3 0 0 0 3 1 3 9 7 31⁄2 1 8 2 3 0.61 50.4 

4 0 6 0 4 0 5 10e 5 0 6 41⁄4 3 0 2 0 3 0 0 0 3 1 6 9 8 103⁄4 2 0 2 3 1.30 67.9 

5 0 6 6 4 4 6 41⁄2 6 0 7 6e 3 0 2 0 3 0 0 0 3 1 6 9 10 11⁄4 2 0 2 3 1.60 85.6 

6 0 7 0 4 8 6 10d 7 0 8 9 3 0 2 0 3 0 0 0 3 1 6 9 11 31⁄2 2 0 2 3 2.60 103.5 

7 0 7 6 5 0 7 41⁄4 8 0 9 11d 3 0 2 0 3 0 0 0 3 1 6 9 12 6 2 0 2 3 3.00 121.4 

8 0 8 0 5 4 7 10c 9 0 11 13⁄4 3 0 2 0 3 0 0 0 3 1 6 9 13 81⁄4 2 0 2 3 3.50 139.5

 *Equals 1 cu. ft. per sec.

LEGEND:

W Width of flume throat.A Length of side wall of converging section.

bA Distance back from end of crest to gauge point.

B Axial length of converging section.C Width of downstream end of flume.D Width of upstream end of flume.E Depth of flume.T Length of flume throat.

G Axial length of diverging section.H Length of side wall of the diverging section.

K Difference in elevation between lower end of flume and crest.M Length of approach floor.N Depth of depression in throat below crest.P Width between ends of curved wing walls.R Radius of curved wing wall.X Horizontal distance to Hb gauge point from low point in throat.

Y Vertical distance to Hb gauge point from low point in throat.

O-20
Appendix O Supplemental Flow Measurement Information 

Figure I-7 

Effect of Submergence on Parshall Flume Free Discharge 

(Civil Engineering, ASCE) 

Percent of Free Discharge 

100 

90 

80 

70 

60 

50 

50 60 70 80 90 100 

W = 1 in 

W = 3 ft 

W = 4 ft 

W = 6 ft

W = 8 ft-30 ft 

W = 2 in 

W = 6 in 

W = 1 ft 

W = Width of Flume

Hb 

Submergence, HQ, in Percent 461B-11 

O-21 
Appendix O Supplemental Flow Measurement Information 

Figure I-8

Free-Flowing Palmer-Bowlus Flume

Upper Lower 

Transition Transition 

Upstream 

Depth Downstream 

Depth 

Flow 

Throat 

Small Jump 

Should Occur 

Preferred Head 

H 

D 

2 

Water Surface 

in This Region 

Measuring Point D = Conduit Diameter 

Figure I-9 

Configuration and Nomenclature of Venturi Meter 

High Pressure 

Throat Diameter 

Pipe 

Diameter 5" – 7" 

Inlet Section Outlet Section 

Throat 

Section 

20° 

Low Pressure Tap 

Tap 

461B-12 

O-22 
Appendix O Supplemental Flow Measurement Information 

Figure I-10 

Electromagnetic Flowmeter 

Insulating Liner 

Electrode Assembly 

Steel Meter Body 

Magnet Coils 

Potting Compound 

Figure I-11 

Propeller Flowmeter 

Reduction Gears Direct Reading Totalizer 

Flow 

Straightening Propeller Bevel Gears 

Vanes 

461B-13 

O-23 
Appendix O Supplemental Flow Measurement Information 

Figure I-12 

Transit-Time Flowmeter 

O-24 
APPENDIX P

NPDES INDUSTRIAL STORM WATER

INVESTIGATION AND CASE DEVELOPMENT

WORKSHEET (INDUSTRIAL)
This page intentionally left blank. 

P-1 
NPDES Industrial Storm Water 

Worksheet (Industrial) 

Background Information (complete in field) 

National Database Information General 

Inspection Type W Inspector Name 

NPDES ID Number Telephone 

Inspection Date Entry Time 

Inspector Type EPA State EPA 

Oversight Exit Time 

Facility Type Signature 

Facility Location Information 

Name/Location/ Mailing 

Address 

GPS Coordinates Latitude Longitude 

Receiving 

Water(s)/MS4's 

Contact Information 

Name Telephone 

Owner/Permittee 

Operator 

Co-Permittee 

Facility Contact 

Authorized Official(s) 

Site Information: 

Industrial Activity 

that qualifies the 

facility for permit 

coverage 

SIC Code(s) 

Basic Permit Information (circle one) Basic SWPPP Information 

Permit Coverage Y N SWPPP on site Y N 

Permit Type General Individual SWPPP Satisfactory* Y N 

Copy of NOI on site? Y N SWPPP Implementation Satisfactory Y N 

NOI Date *A Satisfactory SWPPP must be both current and 

complete (see pages 4, 5, and 6 of this checklist). 

SWPPP Implementation (complete in field) 

P-2 
NPDES Industrial Storm Water 

Worksheet (Industrial)

General 

Industrial (describe principal product, production rate, potential pollutants, areas exposed to 

Activity precipitation, direction of storm water flow) 

Facility (describe age and size of facility, number of employees, hours of operation) 

Description 

Storm Water Controls 

List the (provide a brief description of each) 

structural 

and nonstructural 

controls 

employed by 

the facility. 

Are the (indicate “yes” or “no”, or if not appropriate, explain) 

controls 

reasonable 

and 

appropriate 

for the 

facility? 

Are the (indicate “yes” or “no”, or if not appropriate, explain) 

controls 

installed 

correctly and 

maintained in 

effective 

operating 

condition? 

P-3 
NPDES Industrial Storm Water 

Worksheet (Industrial) 

SWPPP Implementation (continued) 

Storm Water Controls (continued) 

Provide a brief (e.g., erosion and sediment controls, exposure minimization, diversion structures, 

description of pollution prevention, inlet protection/control at storm drains)

other controls that 

manage/prevent/ 

minimize storm 

water runoff. 

Miscellaneous 

Any evidence of (e.g., storm water runoff, dry weather discharge, co-mingling of process waste water) 

discharge to 

receiving waters? 

Do the storm water (indicate “yes” or “no”, or if not appropriate, explain) 

outfalls on site 

correspond with 

those listed on the 

site map and in 

SWPPP? 

P-4 
NPDES Industrial Storm Water 

Worksheet (Industrial) 

SWPPP Review (can be completed in office) 

General Notes: 

Is there a SWPPP? Y N 

Is a copy of the SWPPP on site? Y N 

Did all “operators” and co-permittees sign 

the SWPPP? Y N 

Did the signatures include the certification 

statement? Y N 

Were the signatories authorized to sign? Y N 

Is an individual/team responsible for 

developing/implementing SWPPP identified 

(e.g., pollution prevention team)? 

Y N 

Are employee training records regarding 

storm water pollution prevention topics 

included in SWPPP? 

Y N 

Operator evaluation of ESA requirements. Y N 

Site Map Notes: 

Is there a site map? Y N 

Drainage patterns/ outfalls? Y N 

Identification of types of pollutants likely to 

be discharged from each drainage area? Y N 

Location of major structural controls used to 

reduce pollutants in runoff? Y N 

Name of receiving water(s) or MS4's listed? Y N 

Is receiving water a tributary to waters of the 

U.S. (if “yes” indicate name of tributary)? Y N 

Location of significant materials exposed to 

storm water? Y N 

Locations of major spills occurring 

within 3 years from date of NOI? Y N 

Location of fueling, maintenance, loading 

and unloading, material storage, waste 

disposal? 

Y N 

P-5 
NPDES Industrial Storm Water 

Worksheet (Industrial) 

SWPPP Review (continued) 

Summary of Potential Pollutant Sources Notes: 

Description of activities, materials, features 

of site with potential to contribute significant Y N 

amounts of pollutants to storm water? 

Significant Spills & Leaks Notes: 

List of significant spills and leaks over 3 

year time period, description of response 

taken, and actions to prevent similar spills 

in the future? 

Y N 

Storm Water Controls Notes: 

Does the SWPPP describe the nonstructural controls that will be used to 

prevent/reduce discharge of pollutants in 

storm water runoff? 

Y N 

Does the SWPPP describe the structural 

controls that will be used to 

prevent/reduce discharge of pollutants in 

storm water runoff? 

Y N 

Does the SWPPP describe other controls 

that will be used to prevent/reduce off-site 

tracking or blowing of sediment, dust and 

raw, final or waste materials, or other 

solid materials and floating debris? 

Y N 

Does the SWPPP incorporate the 8 

baseline controls (good housekeeping, 

minimizing exposure, PM, spill 

prevention/response procedures, routine 

inspections and comprehensive site 

evaluations, employee training, sediment 

and erosion control, runoff management)? 

Y N 

Does the SWPPP contain completed 

routine inspection reports/logs regarding 

reportable implementation of 8 baseline 

controls? 

Y N 

Does the SWPPP describe the pollutant 

or activity to be controlled by each 

selected control and provide an 

implementation schedule? 

Y N 

SWPPP Review (continued) 

Non-Storm Water Discharges Notes: 

P-6 
NPDES Industrial Storm Water 

Worksheet (Industrial)

Certification that facility has been tested 

for non-storm water discharges from the 

site? 

Y N 

Description of testing method, drainage 

points, observed results, and date of test? Y N 

Monitoring Notes: 

Are samples collected within 30 minutes 

of measurable weather events occurring 

72 hours after previous measurable 

weather event? 

Y N 

Were the samples collected and 

preserved in accordance with 40 CFR 

136? 

Was proper chain-of-custody procedures 

followed? 

Photograph Log 

1. 

2. 

3. 

4. 

P-7 
This page intentionally left blank. 

P-8 
APPENDIX Q


INDUSTRIAL SOURCE CONTROL BMP


QUESTIONS

This page intentionally left blank. 
Appendix Q Industrial Source Control BMP Questions 

Industrial Source Control BMP Questions 

FUELING 

1. Has spill and overfill prevention equipment been installed?


2. Are vehicle fuel tanks often "topped off"?


3. Have steps been taken to protect fueling areas from rain?


4. Is runon to the fueling area minimized?


5.	 Are oil/water separators or oil and grease traps installed in storm drains in the fueling


area?


6. Is the fueling area cleaned by hosing or washing?


7. Do you control petroleum spills?


8. Are employees aware of ways to reduce contamination of storm water at fueling stations?


9. Where does the water drain from the fueling area?


10. Do any of the drains connect to wells?


SUMMARY OF FUELING STATION BMPs 

• Consider installing spill and overflow protection. 

• Discourage topping off of fuel tanks. 

• Reduce exposure of the fuel area to storm water. 

• Use dry cleanup methods for the fuel area. 

• Use proper petroleum spill control. 

• Encourage employee participation. 

MAINTAINING VEHICLES AND EQUIPMENT 

1.	 Is maintenance which involves cleaning of vehicle and/or equipment parts (including


engine, transmission, brake or other miscellaneous parts) performed on-site?


2. Does the cleaning involve the use of solvents or surfactants?


3. Has the facility looked into using nontoxic or less toxic cleaners or solvents?


4. Are work areas and spills washed or hosed down with water?


5. Are spills or materials washed or poured down the drain?


6. Are oil filters completely drained before recycling or disposal?


7. Are incoming vehicles and equipment checked for leaking oil and fluids?


8. Are wrecked vehicles or damaged equipment stored onsite?


9. Does the facility recycle any of the automotive fluids or parts?


10. Can the facility reduce the number of different solvents used?


11. Are wastes separated?


12. Does the facility use recycled products?


Q-1

Appendix Q Industrial Source Control BMP Questions 

SUMMARY OF VEHICLE MAINTENANCE AND REPAIR BMPs 

• Check for leaking oil and fluids. 

• Use nontoxic or low-toxicity materials. 

• Drain oil filters before disposal or recycling. 

• Do not pour liquid waste down drains. 

• Recycle engine fluids and batteries. 

• Segregate and label wastes. 

• Buy recycled products. 

PAINTING VEHICLES AND EQUIPMENT 

1. Are vehicles or other equipment painted on site?


2.	 In preparation for painting, is old paint removed physically (sanding, sand blasting, etc.) or


chemically (solvent paint stripper)?


3.	 Before applying new paint, are surfaces chemically prepared (coating, etching, cleaning


etc.)?


4. Is care taken to prevent paint wastes from contaminating storm water runoff?


5. Are wastes from sanding contained?


6. Are parts inspected before painting?


7. Is the facility using painting equipment that creates little waste?


8. Are employees trained to use spray equipment correctly?


9. Does the facility recycle paint, paint thinner, or solvents?


10. Are wastes separated?


11. Can the facility reduce the number of solvents used?


12. Does the facility use recycled products?


SUMMARY OF PAINTING OPERATION BMPs 

• Inspect parts prior to painting. 

• Contain sanding wastes. 

• Prevent paint waste from contacting storm water. 

• Use proper interim storage of waste paint, solvents, etc. 

• Evaluate efficiency of equipment. 

• Recycle paint, paint thinner, and solvents. 

• Segregate wastes. 

• Buy recycled products. 

WASHING VEHICLES AND EQUIPMENT 

1. Has the facility considered using phosphate-free biodegradable detergents?


2. Are vehicles, equipment, or parts washed over the open ground?


SUMMARY OF VEHICLE AND EQUIPMENT WASHING BMPs 

• Consider use of phosphate-free detergent. 

• Use designated cleaning areas. 

• Consider recycling wash water. 

Q-2

Appendix Q Industrial Source Control BMP Questions 

LOADING AND UNLOADING MATERIALS 

1.	 Are tank trucks and material delivery vehicles located where spills or leaks can be 

contained? 

2. Is loading/unloading equipment checked regularly for leaks? 

3. Are loading/unloading docks or areas covered to prevent exposure to rainfall? 

4. Are loading/unloading areas designed to prevent storm water runon? 

5. Is piping system routinely checked for leaks? 

6.	 Are there alarms to alert staff of potential problems such as high levels in receiving tanks 

or pressure irregularities in transmission lines? 

7.	 Where appropriate (especially where transmission lines are long or buried), is the piping 

system outfitted with flow meters to ensure that the amount unloaded equals the amount 

received? 

SUMMARY OF LOADING/UNLOADING OPERATIONS BMPs 

• Contain leaks during transfer. 

• Check equipment regularly for leaks. 

• Limit exposure of material to rainfall. 

• Prevent storm water runon. 

LIQUID STORAGE IN ABOVE-GROUND TANKS 

1. Do storage tanks contain liquid hazardous materials, hazardous wastes, or oil? 

2. Are operators trained in correct operating procedures and safety activities? 

3. Does the facility have safeguards against accidental discharge? 

4. Are tank systems inspected, and is tank integrity tested regularly? 

5. Are tanks bermed or surrounded by a secondary containment system? 

SUMMARY OF BMPs FOR LIQUID STORAGE IN ABOVE-GROUND TANKS 

• Comply with applicable State and Federal laws. 

• Properly train employees. 

• Install safeguards against accidental release. 

• Routinely inspect tanks and equipment. 

• Consider installing secondary containment. 

INDUSTRIAL WASTE MANAGEMENT AND OUTSIDE MANUFACTURING 

1. Has the facility looked for ways to reduce waste at the facility? 

2. Has the facility considered waste reduction BMPs? 

3.	 Are industrial waste management and outside manufacturing areas checked often for spills 

and leaks? 

4. Are industrial waste management areas or manufacturing activities covered, enclosed, or 

Q-3

Appendix Q Industrial Source Control BMP Questions 

bermed? 

5.	 Are vehicles used to transport wastes to the land disposal or treatment site equipped with 

anti-spill equipment? 

6.	 Does the facility use loading systems that minimize spills and fugitive losses such as dust 

or mists? 

7. Are sediments or wastes prevented from being tracked offsite? 

8. Is storm water runoff minimized from the land disposal site? 

SUMMARY OF INDUSTRIAL WASTE MANAGEMENT AND OUTSIDE MANUFACTURING 

BMPs 

• Conduct a waste reduction assessment. 

• Institute industrial waste source reduction and recycling BMPs. 

• Prevent runoff and runon from contacting the waste management area. 

• Minimize runoff from land application sites. 

OUTSIDE STORAGE OF RAW MATERIALS, BY-PRODUCTS, OR FINISHED PRODUCTS 

1. Are materials protected from rainfall, runon, and runoff? 

SUMMARY OF BMPs FOR OUTSIDE STORAGE OF RAW MATERIALS, BY-PRODUCTS, 

OR FINISHED PROD UCTS 

• Cover or enclose materials. 

SALT STORAGE 

1. Are salt piles protected from rain? 

2.	 Is storm water runon prevented from contacting storage piles and loading and unloading 

areas? 

SUMMARY OF SALT STORAGE FACILITIES BMPs 

• Put salt under a roof. 

• Use temporary covers. 

• Enclose or berm transfer areas. 

Q-4

APPENDIX R


NPDES INDUSTRIAL STORM WATER


INVESTIGATION AND CASE DEVELOPMENT


WORKSHEET (CONSTRUCTION)

This page intentionally left blank. 

R-1 

Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

National Database Information 

Inspection Type 

NPDES ID Number 

Inspec tion Date 

Inspector Type 

(circle one) EPA State EPA 

Oversight 

Facility Type 

(circle one) 

Commercial/ 

Industrial Residential Municipal 

General 

Inspector Name 

Telephone 

Entr y Tim e 

Exit T ime 

Signature 

Facility Location Information 

Name/Location/ 

Mailing Address 

GPS Coordinates Latitude Longitude 

Receiving Water(s) 

Disturbed Area Start Da te Stop D ate 

Contact Information 

Name(s) Telephone 

Name(s) and Role(s) of All Parties 

Meeting the Definition of Operator 

Facility Contact 

Authorized Official(s) 

Site Information: (circle all that apply) 

Nature of 

Project Residential Commercial/ 

Industrial Roadway Private Federal State/ Municipal Other 

Construction 

Stage 

Clearing/ 

Grubbing 

Rough 

Grading Infrastructure Building Const. 

Final 

Grading 

Final 

Stabilization 

R-2 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Basic Permit Information 

Permit Coverage 

ESO Element 3 & 4 

Y N 

Permit Type General Individual 

Permit notice/sign visibly posted 

including: copy of NOI, contact 

name & phone number, location 

of SWPPP 

ESO Element 41 

Y N 

NOI D ate 

If applicable, is waiver 

certification & approval on file? Y N 

Basic SWPPP Information 

SW PPP Prep ared & Ava ilable 

ESO Element 5 & 30 

Y N 

SW PPP Con tents Satis facto ry 

ESO Elements 5 - 31 

Y N 

SWP PP Implementation 

Satisfactory 

ESO Elements 32 - 48 

Y N 

SW PPP D ate 

Intentionally left blank 

SWPPP Review (can be completed in office) 

General Notes: 

Is there a SWPPP? 

ESO Element 5 

Y N 

SWPPP completed prior to NOI 

submission? 

ESO Element 6 

Y N 

Copy of permit language? 

ESO Element 25 Y N 

Is SW PPP c onsisten t with 

state/tribal/local regulations and 

permits? 

ESO Element 26 

Y N 

SW PPP u pdated to incorpo rate 

changes to State, Tribal, Local erosion 

plans? ESO Element 27 

Y N 

Hav e cop ies of inspe ction repo rts/a ll 

other documentation been retained as 

part of the SWPP P for 3 years from 

date permit coverage expires? 

ESO Element 28 

Y N 

Is a copy of the SWPPP on site or 

made available? 

ESO Element 30 

Y N 

Did all “operators” sign/certify he 

SWPPP? 

ESO Element 31 

Y N 

t

R-3 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Site Description Notes: 

SWP PP identifies potential sources of 

pollution? ESO Element 7 

Y N 

SWP PP identifies all operators and 

their areas of control? ESO Element 8 

Y N 

Is there a site description? 

ESO Element 9 

Y N 

Nature/sequence of construction 

activity? 

ESO Element 9A - 9B 

Y N 

Total area of site and total area to be 

disturbed? 

ESO Element 9C 

Y N 

Is there a general location map? 

ESO Element 9D Y N 

Is there a site map? 

ESO Element 9E Y N 

Drainage patterns/outfalls on site 

map? 

ESO Element 9F 

Y N 

Y N 

Y N 

Y N 

Y N 

Name of Receiving water(s) or MS4 

listed? Y N 

Note: Indicate whether receiving water is 303(d) listed. 

Area of soil disturbance on site map? 

ESO Element 9F 

Location of major structural controls on 

site map? 

ESO Element 9F 

Location of storm water disc harges to 

a surface water on site map? 

ESO Element 9F 

Location of materials or equipment 

storage on site map (on-site or offsite)? 

ESO Element 9F 

Location/description industrial 

activities? 

ESO Element 9G 

Y N 

R-4 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Site Description Notes: 

Does the SWPPP include dates of 

major grading activities, 

temporary/permanent construction 

cessation, and initiation of stabilization 

practices? 

ESO Element 14 

Y N 

Endangered Species Documentation? 

ESO Element 23 Y N 

Controls to R educe Po llutants Notes: 

Doe s the SW PPP includ e a de scrip tion o f all 

pollut ion co ntrol m eas ures (BM Ps) th at will 

be implem ented to control pollutants in storm 

water discharges, including sequence and 

which operator responsible for 

implementation? ESO Element 10 A - C 

Y N 

Does the SWPPP include a description of 

interim a nd perm anent stabilization 

practices (e.g., seeding, mulching, riprap for 

the site)? 

ESO Element 11; 12 

Y N 

Does the SWPPP identify the contractor(s) 

and timing by which stabilization practices 

will be implemented? 

ESO Element 13 

Y N 

Does the SWPPP include a description of 

structural practices (e.g., vehicle track-o ut, 

silt fences, sediment traps, storm drain inlet 

protection) for the site? 

ESO Element 15 

Y N 

Does the SWPPP identify the contractor(s) 

and timing by which structural practices will 

be implemented? 

ESO Element 10B - 10C 

Y N 

Does the SWPPP identify storm water 

manage ment m easures to address s torm 

wate r runo ff on ce th e con struc tion is 

com pleted (e.g ., retention po nds, velo city 

dissipation controls)? 

ESO Element 16 

Y N 

R-5 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Controls to R educe Po llutants Notes: 

Does SW PPP describe measures to prevent 

discharge of dredge/fill materials to waters of 

the U.S .? Does site have 4 04 perm it? ESO 

Element 17 

Y N 

Does SW PPP d escribe mea sures to 

minimize off-site vehicle tracking and 

generation of dust? ESO Element 18 

Y N 

Does SW PPP describe controls for 

pollutants from storage of construction or 

waste materials? ESO Element 19 

Y N 

Does the SWPPP describe controls for 

pollutants from non-construction activities? 

ESO Element 20 

Y N 

Does SW PPP identify allowable non-storm 

water discharges? 

ESO Element 21 

Y N 

Does SW PPP ensure implementation of 

pollution prevention measures for non-storm 

water discharges? 

ESO Element 22 

Y N 

Is SWPPP revised when BMPs 

added/modified within 7 days after inspection 

reveals problems? 

ESO Element 29 

Y N 

Inspections Notes: 

Inspections performed once every 7 days, or 

every 14 days within 24 hours of a rain event 

greater 0 .5"? 

ESO Element 32 

Y N 

Inspections performed by qualified 

pers onn el? 

ESO Element 33 

Y N 

All disturbed areas and/or used for storage 

and exposed to rain inspected? 

ESO Element 34 

Y N 

All pollution co ntrol me asures inspecte d to 

ensure proper operation? 

ESO Element 35 

Y N 

R-6 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Inspections Notes: 

All dis cha rge lo catio ns ins pec ted if 

accessible, or if not accessible, are nearby 

downstream locations inspected? 

ESO Element 36; 37 

Y N 

Entrance/exit inspected for off-site tracking? 

ESO Element 38 Y N 

Inspection report contain all required items 

and certified? 

ESO Element 39; 40 

Y N 

Notes on SWPPP Review 

Site Description: 

R-7 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

SWPPP Implementation (complete in field) 

Stabilization Practices 

List and describe 

stabilization 

practices 

ESO Element 43, 48 

(e.g., seeding, mulching, geotextiles, sod stabilization) 

R-8 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Stabilization Practices 

Are stabilization 

measures initiated 

no more than 14 

days after tem porary 

or permanent 

construction 

cessation? 

ESO Element 46 

(e.g., indicate “yes” or “no”; if “yes”, how long without stabilization measures?) 

R-9 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Structural Practices 

List and describe 

structural controls 

ESO Element 42, 43, 47 

(e.g., silt fences, hay bales, storm drain inlet protection, sedimentation pond, rip rap, check dam, diversion 

structure, off-site vehicle track-out) 

Non-Structural Practices 

Street Cleaning 

ESO Element 44 

(e.g., describe measures taken to remove offsite accumulation of sediment) 

R-10 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Non-Structural Practices 

Good Housekeeping 

& Waste Disposal 

Practices 

ESO Element 45 

(e.g., describe measures taken to prevent litter and debris from becoming a pollutant source) 

Equipment Wash/ 

Maintenance Area 

ESO Elements 43 

(provide brief description) 

Concrete Washout 

Areas 

ESO Elements 43 

(provide brief description) 

R-11 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Miscellaneous 

Evidence of 

Sediment Deposition 

to Surface 

Waters 

*ESO Eligibility - if “yes,” 

site not eligible for ESO 

(e.g., significant turbidity observed in a receiving water body) 

Pollution prevention 

measures for nonstorm water 

discharges? 

*ESO Eligibility - If evidence 

of non-allowable non-storm 

water discharges, site not 

eligible for ESO 

(provide brief description and determine whether/if non-storm water discharges allowable) 

Has implementation 

of 

additional/modified 

BMPs been 

comp leted befo re 

next anticipated 

storm even t? 

ESO Element 43.C.1 

(provide brief description) 

R-12 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Notes on SWPPP Implementation 

R-13 
Appendix R NPDES Industrial Storm Water Worksheet 

(Construction) 

NPDES Industrial Storm Water 

Worksheet (Construction) 

Photograph Log 

1. *Insert additional rows as needed 

R-14 
APPENDIX S


CONSTRUCTION SOURCE CONTROL BMP


QUESTIONS

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Appendix S Construction Source Control BMP Questions 

Construction Source Control BMP Questions 

SOIL EROSION AND SEDIMENT CONTROL PRACTICES 

MINIMIZE THE AMOUNT OF DISTURBED SOIL 

1. Does the site plan require a significant amount of grade changes? 

2. Are there portions of the site that do not have to be cleared for construction to proceed? 

3.	 Can construction be performed in stages, so that the entire site does not have to be 

cleared at one time? 

4. Are there portions of the site that will be disturbed then left alone for long periods of time? 

5. Does the facility stabilize all disturbed areas after construction is complete? 

6. Does snow prevent the facility from seeding an area? 

7. Is there enough rainfall to allow vegetation to grow? 

PREVENT RUNON FROM FLOWING ACROSS DISTURBED AREAS 

1. Does runoff from the undisturbed uphill areas flow onto the construction site? 

2. Will runoff flow down a steeply sloped, disturbed area on the site? 

3. Is there a swale or stream that runs through the construction site? 

4. Does construction traffic have to cross drainage swales or streams? 

SLOW DOWN THE RUNOFF TRAVELING ACROSS THE SITE 

1. Is the site gently sloped? 

2. Is the site stabilized with vegetation? 

3. Does runoff concentrate into drainage swales on the site? 

REMOVE SEDIMENT FROM ONSITE RUNOFF BEFORE IT LEAVES THE SITE 

1. Does the construction disturb an area 10 acres or larger that drains to a common location? 

2. Is a sediment basin attainable on the site? 

3. Does runoff leave the disturbed area as overland flow? 

4. Is the flow concentrated in channels as it leaves the disturbed areas? 

5. Are structural controls located along the entire downhill perimeter of all disturbed areas? 

6. Is there a piped storm drain system with inlets in a disturbed area? 

MEET OR EXCEED LOCAL/STATE REQUIREMENTS FOR EROSION AND SEDIMENT 

CONTROL 

1.	 Does the State or local government require erosion and sediment control for construction 

projects? 

2.	 Does the State or local government have an erosion and sediment control requirement that 

is different from the requirements of the NPDES storm water permit? 

OTHER CONTROLS 

GOOD HOUSEKEEPING 

1. Does the facility appear to implement good housekeeping practices? 

S-1

Appendix S Construction Source Control BMP Questions 

WASTE DISPOSAL 

1. What steps are taken to ensure that construction waste is properly disposed of? 

2.	 What management practices are used to minimize or prevent impacts on storm water from 

hazardous products on the construction site? 

3. Are concrete trucks allowed to washout or dump onsite? 

4. Is sandblasting performed at the site? If so, what is done with the used grit? 

MINIMIZING OFFSITE VEHICLE TRACKING OF SEDIMENTS 

1. What measures have been taken to prevent offsite vehicle tracking? 

SANITARY/SEPTIC DISPOSAL 

1. How are sanitary or septic wastes managed? 

2.	 How does the facility demonstrate compliance with State or local sanitary or septic system 

regulations? 

MATERIAL MANAGEMENT 

1. What types of materials are found on the construction site? 

2. How are these materials managed? 

3. What risks are present onsite as a result of material management practices? 

4.	 Is the facility implementing any methods to reduce potential risks from material 

management? 

5. If applicable, how are pesticides managed at the site? 

6. If applicable, how are petroleum products managed at the site? 

7.	 If applicable, what steps are taken to reduce nutrient pollution from fertilizers and 

detergents? 

SPILLS 

1. Does the facility have a spill control plan for the site? 

2. Does the facility know what spill prevention methods and responses will be used? 

CONTROL OF ALLOWABLE NON-STORM WATER DISCHARGES 

1. What non-storm water discharges are present at the site? 

2. How does the facility manage the non-storm water discharges? 

3.	 How are allowable non-storm water discharges addressed in the storm water Pollution 

Prevention Plan? 

4.	 What types of controls or practices are used to prevent pollution from non-storm water 

discharges? 

5. What types of controls are used for discharges that have sediments? 

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S-2

Appendix T NOI Storm for Stormwater 

APPENDIX T


NOI FORM FOR STORMWATER

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Submission of this Notice of Intent (NOI) constitutes notice that the party identified in Section II of this form requests authorization to 

discharge pursuant to the NPDES Construction General Permit (CGP) permit number identified in Section I of this form. Submission 

of this NOI also constitutes notice that the party identified in Section II of this form meets the eligibility requirements of the CGP for the 

project identified in Section III of this form. Permit coverage is required prior to commencement of construction activity until you are 

eligible to terminate coverage as detailed in the CGP. To obtain authorization, you must submit a complete and accurate NOI form. 

Refer to the instructions at the end of this form.

Name: 

IRS Employer Identification Number (EIN): -

Mailing Address:

Street: 

City: State: Zip Code: -

Phone: - - Fax (optional): - -

E-mail (optional): 

Project/Site Name: 

Project Street/Location: 

City: State: Zip Code: -

County or similar government subdivision: 

Latitude/Longitude (Use one of three possible formats, and specify method)

Latitude 1. _ο _ ́ _ ́ ́ N (degrees, minutes, seconds) Longitude 1. _ο _ ́ _ ́ ́ W (degrees, minutes, seconds)

2. _ο _ _ . _ ́ N (degrees, minutes, decimal) 2. _ _ _ο . _ ́ W (degrees, minutes, decimal)

3. . _ο N (decimal) 3. . _ο W (decimal)

Method: U.S.G.S. topographic map EPA web site GPS Other: 

• If you used a U.S.G.S. topographic map, what was the scale: 

Project Located in Indian country? Yes No

If so, name of Reservation or if not part of a Reservation, put “Not Applicable”:

Estimated Project Start Date: / / Estimated Project Completion Date: / / 

Month Date Year Month Date Year

Estimated Area to be Disturbed (to the nearest quarter acre): .

United States Environmental Protection Agency

Washington, DC 20460

Notice of Intent (NOI) for Storm Water Discharges Associated with

Construction Activity Under an NPDES General Permit

This Form Replaces Form 3510-9 (8-98) Form Approved OMB Nos. 2040-0188 and 2040-0211

Refer to the Following Pages for Instructions 

I. Permit Number

II. Operator Information

III. Project/Site Information

NPDES 

Form

EPA Form 3510-9 (Rev. 6/03)
Has the SWPPP been prepared in advance of filing this NOI? Yes No

Location of SWPPP for viewing: Address in Section II Address in Section III Other

If Other: 

SWPPP Street: 

City:

State: Zip Code: -

SWPPP Contact Information (if different than that in Section II):

Name: 

Phone: - - Fax (optional): - -

E-mail (optional): 

Identify the name(s) of waterbodies to which you discharge.

Is this discharge consistent with the assumptions and requirements of applicable EPA approved or established TMDL(s)?

Yes No 

Under which criterion of the permit have you satisfied your ESA eligibility obligations? 

A B C D E F

• If you select criterion F, provide permit tracking number of operator under which you are certifying eligibility: 

I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance 

with a system designed to assure that qualified personnel properly gathered and evaluated the information submitted. Based on my 

inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the 

information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant 

penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.

Print Name: 

Print Title: 

Signature: 

Date:

IV. SWPPP Information

VII. Certification Information

VI. Endangered Species Information

V. Discharge Information

EPA Form 3510-9 (Rev. 6/03)
Instructions for Com pleting EPA Form 3510-9 

Notice of Intent (NOI) for Storm Water Discharges Associated with 

Construction Activity Under an NPDES General Permit 

NPDES Form This Form Replaces Form 3510-9 (8/98) 

Who Must File an NOI Form 

Under the provisions of the Clean Water Act, as amended (33 

U.S.C. 1251 et.seq.; the Act), federal law prohibits storm water 

discharges from certain construction activities to waters of the 

U.S. unless that discharge is covered under a National 

Pollutant Discharge Elimination System (NPDES) Permit. 

Operator(s) of construction sites where one or more acres are 

disturbed, smaller sites that are part of a larger common plan 

of development or sale where there is a cumulative 

disturbance of at least one acre, or any other site specifically 

designated by the Director, must submit an NOI to obtain 

coverage under an NPDES general permit. Each person, firm, 

public organization, or any other entity that meets either of the 

following criteria must file this form: (1) they have operational 

control over construction plans and specifications, including 

the ability to make modifications to those plans and 

specifications; or (2) they have day-to-day operational control 

of those activities at the project necessary to ensure 

compliance with SWPPP requirements or other permit 

conditions. If you have questions about whether you need an 

NPDES storm water permit, or if you need information to 

determine whether EPA or your state agency is the permitting 

authority, refer to www.epa.gov/npdes/stormwater/cgp or 

telephone the Storm Water Notice Processing Center at (866) 

352-7755. 

Where to File NOI Form 

See the applicable CGP for information on where to send your 

completed NOI form. 

Completing the Form 

Obtain and read a copy of the appropriate EPA Storm Water 

Construction General Permit for your area. To complete this 

form, type or print, using uppercase letters, in the appropriate 

areas only. Please place each character between the marks 

(abbreviate if necessary to stay within the number of 

characters allowed for each item). Use one space for breaks 

between words, but not for punctuation marks unless they are 

needed to clarify your response. If you have any questions on 

this form, refer to www.epa.gov/npdes/stormwater/cgp or 

telephone the Storm W ater Notice Processing Center at (866) 

352-7755. Please submit original document with signature in 

ink � do not send a photocopied signature. 

Section I. Permit Number 

Provide the number of the permit under which you are applying 

for coverage (see Appendix B of the general permit for the list 

of eligible permit numbers). 

Section II. Operator Information 

Provide the legal name of the person, firm, public organization, 

or any other entity that operates the project described in this 

Form Approved OMB Nos. 2040-0188 and 2040-0211 

application. An operator of a project is a legal entity that 

controls at least a portion of site operations and is not 

necessarily the site manager. Provide the employer 

identification number (EIN from the Internal Revenue Service; 

IRS), also commonly referred to as your taxpayer ID. If the 

applicant does not have an EIN enter “NA” in the space 

provided. Also provide the operator’s mailing address, 

telephone number, fax number (optional) and e-mail address 

(if you would like to be notified via e-mail of NOI approval 

when available). Correspondence for the NOI will be sent to 

this address. 

Section III. Project/Site Information 

Enter the official or legal name and complete street address, 

including city, state, zip code, and county or similar 

government subdivision of the project or site. If the project or 

site lacks a street address, indicate the general location of the 

site (e.g., Intersection of State Highways 61 and 34). Complete 

site information must be provided for permit coverage to be 

granted. 

The applicant must also provide the latitude and longitude of 

the facility either in degrees, minutes, seconds; degrees, 

minutes, decimal; or decimal format. The latitude and 

longitude of your facility can be determined in several different 

ways, including through the use of global positioning system 

(GPS) receivers, U.S. Geological Survey (U.S.G.S.) 

topographic or quadrangle maps, and EPA’s web-based siting 

tools, am ong others . Refer t o 

www.epa.gov/npdes/stormwater/cgp for further guidance on 

the use of these methodologies. For consistency, EPA 

requests that measurements be taken from the approximate 

center of the construction site. Applicants must specify which 

method they used to determine latitude and longitude. If a 

U.S.G.S. topographic map is used, applicants are required to 

specify the scale of the map used. 

Indicate whether the project is in Indian country, and if so, 

provide the name of the Reservation. If the project is in Indian 

Country Lands that are not part of a Reservation, indicate “not 

applicable” in the space provided. 

Enter the estimated construction start and completion dates 

using four digits for the year (i.e., 05/27/1998). Enter the 

estimated area to be disturbed including but not limited to: 

grubbing, excavation, grading, and utilities and infrastructure 

installation. Indicate to the nearest quarter acre. Note: 1 acre 

= 43,560 sq. ft. 

Section IV. SWPPP Information 

Indicate whether or not the SWPPP was prepared in advance 

of filing the NOI form. Check the appropriate box for the 

location where the SWPPP may be viewed. Provide the name, 
Instructions for Com pleting EPA Form 3510-9 

Notice of Intent (NOI) for Storm Water Discharges Associated with 

Construction Activity Under an NPDES General Permit 

NPDES Form This Form Replaces Form 3510-9 (8/98) 

fax number (optional), and e-mail address (optional) of the 

contact person if different than that listed in Section II of the 

NOI form. 

Section V. Discharge Information 

Enter the name(s) of receiving waterbodies to which the 

project’s storm water will discharge. These should be the first 

bodies of water that the discharge will reach. (Note: If you 

discharge to more than one waterbody, please indicate all 

such waters in the space provided and attach a separate 

sheet if necessary.) For example, if the discharge leaves your 

site and travels through a roadside swale or a storm sewer 

and then enters a stream that flows to a river, the stream 

would be the receiving waterbody. Waters of the U.S. include 

lakes, streams, creeks, rivers, wetlands, impoundments, 

estuaries, bays, oceans, and other surface bodies of water 

within the confines of the U.S. and U.S. coastal waters. 

Waters of the U.S. do not include man-made structures 

created solely for the purpose of wastewater treatment. U.S. 

Geological Survey topographical maps may be used to make 

this determination. If the map does not provide a name, use a 

format such as “unnamed tributary to Cross Creek”. If you 

discharge into a municipal separate storm sewer system 

(MS4), you must identify the waterbody into which that portion 

of the storm sewer discharges. That information should be 

readily available from the operator of the MS4. 

Indicate whether your storm water discharges from 

construction activities will be consistent with the assumptions 

and requirements of applicable EPA approved or established 

T MDL(s). To answe r this question, refer to 

www.epa.gov/npdes/stormwater/cgp for state- and regionalspecific TMDL information related to the construction general 

permit. You may also have to contact your EPA regional office 

or state agency. If there are no applicable TMDLs or no related 

requirements, please check the “yes” box in the NOI form. 

Section VI. Endangered Species Information 

Indicate for which criterion (i.e., A, B, C, D, E, or F) of the 

permit the applicant is eligible with regard to protection of 

federally listed endangered and threatened species, and 

designated critical habitat. See Part 1.3.C.6 and Appendix C 

of the permit. If you select criterion F, provide the permit 

tracking number of the operator under which you are certifying 

eligibility. The permit tracking number is the number assigned 

to the operator by the Storm Water Notice Processing Center 

after EPA acceptance of a complete NOI. 

Section VII. Certification Information 

All applications, including NOIs, must be signed as follows: 

For a corporation: By a responsible corporate officer. For the 

purpose of this Section, a responsible corporate officer means: 

Form Approved OMB Nos. 2040-0188 and 2040-0211 

(i) a president, secretary, treasurer, or vice-president of the 

corporation in charge of a principal business function, or any 

other person who performs similar policy- or decision-making 

functions for the corporation, or (ii) the manager of one or 

more manufacturing, production, or operating facilities, 

provided, the manager is authorized to make management 

decisions which govern the operation of the regulated facility 

including having the explicit or implicit duty of making major 

capital investment recommendations, and initiating and 

directing other comprehensive measures to assure long-term 

environmental compliance with environmental laws and 

regulations; the manager can ensure that the necessary 

systems are established or actions taken to gather complete 

and accurate information for permit application requirements; 

and where authority to sign documents has been assigned or 

delegated to the manager in accordance with corporate 

procedures. 

For a partnership or sole proprietorship: By a general partner 

or the proprietor, respectively; or 

For a municipality, state, federal, or other public agency: By 

either a principal executive officer or ranking elected official. 

For purposes of this Part, a principal executive officer of a 

federal agency includes (i) the chief executive officer of the 

agency, or (ii) a senior executive officer having responsibility 

for the overall operations of a principal geographic unit of the 

agency (e.g., Regional Administrator of EPA). 

Include the name and title of the person signing the form and 

the date of signing. An unsigned or undated NOI form will not 

be considered eligible for permit coverage. 

Paperwork Reduction Act Notice 

Public reporting burden for this application is estimated to 

average 3.7 hours. This estimate includes time for reviewing 

instructions, searching existing data sources, gathering and 

maintaining the data needed, and completing and reviewing 

the collection of information. An agency may not conduct or 

sponsor, and a person is not required to respond to, a 

collection of information unless it displays a currently valid 

OMB control number. Send comments regarding the burden 

estimate, any other aspect of the collection of information, or 

suggestions for improving this form, including any suggestions 

which may increase or reduce this burden to: Chief, 

Information Policy Branch 2136, U.S. Environmental 

Protection, Agency, 1200 Pennsylvania Avenue, NW , 

W ashington, D.C. 20460. Include the OMB control number on 

any correspondence. Do not send the completed form to this 

address. 
APPENDIX U

RAIN ZONES OF THE UNITED STATES
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Appendix U Rain Zones of the United States 

Figure U-1

Rain Zones of the United States

Pacific North 

West 

Northwest 

Inland North Central 

North East 

North 

East 

Coast 

Mid Atlantic 

Central 

South East 

East Gulf 

East 

Texas 

West 

Texas 

South West 

West Inland 

Pacific 

South 

West 

Pacific 

Central 

461B-14 

Table U-1 

Typical Values of Annual Storm Event Statistics for Rain Zones 

Annual Statistics 

No. of Storms Precip 

Rain Zone 

Avg COV Avg COV 

(in) 

North East 70 0.13 34.6 0.18 

North East-Coastal 63 0.12 41.4 0.21 

Midatlantic 62 0.13 39.5 0.18 

Central 66 0.14 41.9 0.19 

North Central 55 0.16 29.8 0.22 

Southeast 65 0.15 49.0 0.20 

East Gulf 68 0.17 53.7 0.23 

East Texas 41 0.22 31.2 0.29 

West Texas 30 0.27 17.3 0.33 

Southwest 20 0.30 7.4 0.37 

West Inland 14 0.38 4.9 0.43 

Pacific South 19 0.36 10.2 0.42 

Northwest Inland 31 0.23 11.5 0.29 

Pacific Central 32 0.25 18.4 0.33 

Pacific Northwest 71 0.15 56.7 0.19 

Independent Storm Event Statistics 

Duration Intensity Volume DELTA 

Avg COV Avg COV Avg COV Avg COV 

(hrs) (in/hr) (in) (hr) 

11.2 0.81 0.067 1.23 0.5 0.95 126 0.94 

11.7 0.77 0.071 1.05 0.6 1.03 140 0.87 

10.1 0.84 0.082 1.20 0.6 1.01 143 0.97 

9.2 0.85 0.097 1.09 0.6 1.00 133 0.99 

9.5 0.83 0.067 1.20 0.5 1.01 167 1.17 

8.7 0.92 0.122 1.09 0.7 1.10 136 1.03 

6.4 1.05 0.176 1.03 0.8 1.19 130 1.25 

8.0 0.97 0.137 1.08 0.7 1.16 213 1.26 

7.4 0.98 0.121 1.13 0.5 1.07 302 1.53 

7.6 0.88 0.079 1.16 0.3 0.88 473 1.46 

9.4 0.75 0.055 1.06 0.3 0.87 766 1.54 

11.6 0.76 0.054 0.76 0.5 0.96 476 2.09 

10.4 0.82 0.057 1.20 0.3 0.83 304 1.43 

13.7 0.80 0.048 0.85 0.5 1.05 265 2.00 

15.9 0.80 0.035 0.73 0.5 1.09 123 1.50 

COV - Coefficient of Variation - Standard Deviation / Mean DELTA - Interval between storm midpoints 

U-1 
Appendix U Rain Zones of the United States 

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U-2 
APPENDIX V


TYPICAL "c" COEFFICIENTS

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Appendix V Typical "c" Coefficients 

TYPICAL "c" COEFFICIENTS 

FOR 5- TO 10-YEAR FREQUENCY DE SIGN STO RMS 

Description of Area Runoff Coefficients 

Business 

• Downtown areas 0.70-0.95 

• Neighborhood areas 0.50-0.70 

Residential 

• Single-family areas 0.30-0.50 

• Multi-units (detached) 0.40-0.60 

• Multi-units (attached) 0.60-0.75 

Residential (suburban) 0.25-0.40 

Apartment dwelling areas 0.50-0.70 

Industrial 

• Light areas 0.50-0.80 

• Heavy areas 0.60-0.90 

Parks and cemeteries 0.10-0.25 

Playgrounds 0.20-0.35 

Railroad yard areas 0.20-0.40 

Unimproved areas 0.10-0.30 

Streets 

• Asphalt 0.70-0.95 

• Concrete 0.80-0.95 

• Brick 0.70-0.85 

Drives and walks 0.75-0.85 

Roofs 0.75-0.95 

Lawns—course textured soil (greater than 85 percent sand) 

•	 Slope: Flat (2 percent) 0.05-0.10 

Average (2-7 percent) 0.10-0.15 

Steep (7 percent) 0.15-0.20 

Lawns—fine textured soil (greater than 40 percent clay) 

• Slope: Flat (2 percent) 0.13-0.17 

Average (2-7 percent) 0.18-0.22 

Steep (7 percent) 0.25-0.35

Source: Design and Construction of Sanitary and Storm Sewers, with permission from the 

publisher, American Society of Civil Engineers, Manual of Practice, page 37, New York, 1960. 

V-1

Appendix V Typical "c" Coefficients 

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V-2

Appendix W Notice of Termination for Stormwater 

APPENDIX W


NOTICE OF TERMINATION FOR


STORMWATER

This page intentionally left blank. 
NPDES

FORM

United States Environmental Protection Agency

Washington, DC 20460

Notice of Termination (NOT) of Coverage Under an NPDES General Permit for Storm 

Water Discharges Associated with Construction Activity

Submission of this Notice of Termination constitutes notice that the party identified in Section II of this form is no longer

authorized to discharge storm water associated with construction activity under the NPDES program from the site identified in 

Section III of this form. All necessary information must be included on this form. Refer to the instructions at the end of this form.

NPDES Storm Water General Permit Tracking Number: 

Reason for Termination (Check only one):

Final stabilization has been achieved on all portions of the site for which you are responsible.

Another operator has assumed control, according to Appendix G, Section 11.C of the CGP, over all areas of the site that 

have not been finally stabilized.

Coverage under an alternative NPDES permit has been obtained.

For residential construction only, temporary stabilization has been completed and the residence has been transferred to the 

homeowner.

Name: 

IRS Employer Identification Number (EIN): -

Mailing Address:

Street: 

City: State: Zip Code: -

Phone: - - Fax (optional): - -

E-mail (optional):

Project/Site Name:

Project Street/Location:

City: State: Zip Code: -

County or similar government subdivision: 

I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system

designed to assure that qualified personnel properly gathered and evaluated the information submitted. Based on my inquiry of the person or

persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my

knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the

possibility of fine and imprisonment for knowing violations.

Print Name: 

Print Title: 

Signature:

Date:

THIS FORM REPLACES FORM 3517-7 (8-98) Form Approved OMB Nos. 2040-0086 and 2040-0211

Refer to the Following Page for Instructions

II. Operator Information

III. Project/Site Information

IV. Certification Information

I. Permit Information

EPA Form 3510-13 (Rev. 6/03)
Instructions for Completing EPA Form 3510-13 

Notice of Termination (NOT) of Coverage Under an NPDES General Permit for 

Storm Water Discharges Associated with Construction Activity 

NPDES Form This Form Replaces Form 3517-7 (8-98) 

Who May File an NOT Form 

Permittees who are presently covered under the EPA-issued National 

Pollutant Discharge Elimination System (NPDES) General Permit for 

Storm Water Discharges Associated with Construction Activity may 

submit an NOT form when final stabilization has been achieved on all 

portions of the site for which you are responsible; another operator has 

assumed control in accordance with Appendix G, Section 11.C of the 

General Permit over all areas of the site that have not been finally 

stabilized; coverage under an alternative NPDES permit has been 

obtained; or for residential construction only, temporary stabilization has 

been completed and the residence has been transferred to the 

homeowner. 

“Final stabilization” means that all soil disturbing activities at the site 

have been completed and that a uniform perennial vegetative cover with 

a density of at least 70% of the native background vegetative cover for 

the area has been established on all unpaved areas and areas not 

covered by permanent structures, or equivalent permanent stabilization 

measures (such as the use of riprap, gabions, or geotextiles) have been 

employed. See “final stabilization” definition in Appendix A of the 

Construction General Permit for further guidance where background 

native vegetation covers less than 100 percent of the ground, in arid or 

semi-arid areas, for individual lots in residential construction, and for 

construction projects on land used for agricultural purposes. 

Completing the Form 

Type or print, using uppercase letters, in the appropriate areas only. 

Please place each character between the marks. Abbreviate if 

necessary to stay within the number of characters allowed for each 

item. Use only one space for breaks between words, but not for 

punctuation marks unless they are needed to clarify your response. If 

you have any questions about this form, refer to 

www.epa.gov/npdes/stormwater/cgp or telephone the Storm Water 

Notice Processing Center at (866) 352-7755. Please submit original 

document with signature in ink � do not send a photocopied signature. 

Section I. Permit Number 

Enter the existing NPDES Storm Water General Permit Tracking 

Number assigned to the project by EPA’s Storm Water Notice 

Processing Center. If you do not know the permit tracking number, refer 

to www.epa.gov/npdes/stormwater/cgp or contact the Storm Water 

Notice Processing Center at (866) 352-7755. 

Indicate your reason for submitting this Notice of Termination by 

checking the appropriate box. Check only one: 

Final stabilization has been achieved on all portions of the site for 

which you are responsible. 

Another operator has assumed control according to Appendix G, 

Section 11.C over all areas of the site that have not been finally 

stabilized. 

Coverage under an alternative NPDES permit has been obtained. 

For residential construction only, if temporary stabilization has 

been completed and the residence has been transferred to the 

homeowner. 

Section II. Operator Information 

Provide the legal name of the person, firm, public organization, or any 

other entity that operates the project described in this application and 

is covered by the permit tracking number identified in Section I. The 

Form Approved OMB Nos. 2040-0086 and 2040-0211 

operator of the project is the legal entity that controls the site operation, 

rather than the site manager. Provide the employer identification number 

(EIN from the Internal Revenue Service; IRS). If the applicant does not 

have an EIN enter “NA” in the space provided. Enter the complete 

mailing address and telephone number of the operator. Optional: enter 

the fax number and e-mail address of the operator. 

Section III. Project/Site Information 

Enter the official or legal name and complete street address, including 

city, state, zip code, and county or similar government subdivision of the 

project or site. If the project or site lacks a street address, indicate the 

general location of the site (e.g., Intersection of State Highways 61 and 

34). Complete site information must be provided for termination of permit 

coverage to be valid. 

Section IV. Certification Information 

All applications, including NOIs, must be signed as follows: 

For a corporation: By a responsible corporate officer. For the purpose of 

this Part, a responsible corporate officer means: (i) a president, 

secretary, treasurer, or vice-president of the corporation in charge of a 

principal business function, or any other person who performs similar 

policy- or decision-making functions for the corporation, or (ii) the 

manager of one or more manufacturing, production, or operating 

facilities, provided, the manager is authorized to make management 

decisions which govern the operation of the regulated facility including 

having the explicit or implicit duty of making major capital investment 

recommendations, and initiating and directing other comprehensive 

measures to assure long-term environmental compliance with 

environmental laws and regulations; the manager can ensure that the 

necessary systems are established or actions taken to gather complete 

and accurate information for permit application requirements; and where 

authority to sign documents has been assigned or delegated to the 

manager in accordance with corporate procedures. 

For a partnership or sole proprietorship: By a general partner or the 

proprietor, respectively; or 

For a municipality, state, federal, or other public agency: By either a 

principal executive officer or ranking elected official. For purposes of this 

Part, a principal executive officer of a federal agency includes (i) the chief 

executive officer of the agency, or (ii) a senior executive officer having 

responsibility for the overall operations of a principal geographic unit of 

the agency (e.g., Regional Administrator of EPA). 

Include the name and title of the person signing the form and the date of 

signing. An unsigned or undated NOT form will not be considered valid 

termination of permit coverage. 

Paperwork Reduction Act Notice 

Public reporting burden for this application is estimated to average 0.5 

hours per notice, including time for reviewing instructions, searching 

existing data sources, gathering and maintaining the data needed, and 

completing and reviewing the collection of information. An agency may 

not conduct or sponsor, and a person is not required to respond to, a 

collection of information unless it displays a currently valid OMB control 

number. Send comments regarding the burden estimate, any other 

aspect of the collection of information, or suggestions for improving this 

form including any suggestions which may increase or reduce this 

burden to: Chief, Information Policy Branch, 2136, U.S. Environmental 

Protection Agency, 1200 Pennsylvania Avenue, NW, W ashington, DC 

20460. Include the OMB number on any correspondence. Do not sent 

the completed form to this address. 
Appendix X No Exposure Certification Form 

APPENDIX X


NO EXPOSURE CERTIFICATION FORM

This page intentionally left blank. 
NPDES 

FORM 

3510-11 

United States Environmental Protection Agency 

Washington, DC 

NO EXPOSURE CERTIFICATION for Exclusion from 

NPDES Storm Water Permitting 

A. Facility Operator Information 

1. Name: 2. Phone: 

3. Mailing Address: a. Street: 

b. City: c. State: d. Zip Code: – 

– 

Form Approved 

OMB No. 2040-0211 

B. Facility/Site Location Information 

1. Facility Name: 

2. a. Street Address: 

b. City: c. County: 

d. State: e. Zip Code: 

3. Is the facility located on Indian Lands? Yes No 

4. Is this a Federal facility? Yes No 

5. a. Latitude: ° ' b. Longitude: ° ' 

6. a. Was the facility or site previously covered under an NPDES storm water permit? Yes No 

b. If yes, enter NPDES permit number: ____________________ 

7. SIC/Activity Codes: Primary: Secondary (if applicable): 

8. Total size of site associated with industrial activity: __________________ acres 

9. a. Have you paved or roofed over a formerly exposed, pervious area in order to qualify for the no exposure exclusion? Yes No 

b. If yes, please indicate approximately how much area was paved or roofed over. Completing this question does not disqualify you for the no exposure 

exclusion. However, your permitting authority may use this information in considering whether storm water discharges from your site are likely to have 

an adverse impact on water quality, in which case you could be required to obtain permit coverage. 

Less than one acre One to five acres More than five acres 

Submission of this No Exposure Certification constitutes notice that the entity identified in Section A does not require permit authorization for its storm water 

discharges associated with industrial activity in the State identified in Section B under EPA’s Storm Water Multi-Sector General Permit due to the existence 

of a condition of no exposure. 

A condition of no exposure exists at an industrial facility when all industrial materials and activities are protected by a storm resistant shelter to prevent 

exposure to rain, snow, snowmelt, and/or runoff. Industrial materials or activities include, but are not limited to, material handling equipment or activities, 

industrial machinery, raw materials, intermediate products, by-products, final products, or waste products. Material handling activities include the storage, 

loading and unloading, transportation, or conveyance of any raw material, intermediate product, final product or waste product. A storm resistant shelter is 

not required for the following industrial materials and activities: 

– drums, barrels, tanks, and similar containers that are tightly sealed, provided those containers are not deteriorated and do not leak. “Sealed” 

means banded or otherwise secured and without operational taps or valves; 

– adequately maintained vehicles used in material handling; and 

– final products, other than products that would be mobilized in storm water discharges (e.g., rock salt). 

A No Exposure Certification must be provided for each facility qualifying for the no exposure exclusion. In addition, the exclusion from NPDES permitting is 

available on a facility-wide basis only, not for individual outfalls. If any industrial activities or materials are or will be exposed to precipitation, the facility is 

not eligible for the no exposure exclusion. 

By signing and submitting this No Exposure Certification form, the entity in Section A is certifying that a condition of no exposure exists at its facility or site, 

and is obligated to comply with the terms and conditions of 40 CFR 122.26(g). 

ALL INFORMATION MUST BE PROVIDED ON THIS FORM. 

Detailed instructions for completing this form and obtaining the no exposure exclusion are provided on pages 3 and 4. 

20460 

" " 

EPA Form 3510-11 (06/03) Page 1 of 4 
C. Exposure Checklist 

Are any of the following materials or activities exposed to precipitation, now or in the foreseeable future? 

(Please check either “Yes” or “No” in the appropriate box.) If you answer “Yes” to any of these questions 

(1) through (11), you are not eligible for the no exposure exclusion. 

Yes No 

1. Using, storing or cleaning industrial machinery or equipment, and areas where residuals from using, storing 

or cleaning industrial machinery or equipment remain and are exposed to storm water 

2. Materials or residuals on the ground or in storm water inlets from spills/leaks 

3. Materials or products from past industrial activity 

4. Material handling equipment (except adequately maintained vehicles) 

5. Materials or products during loading/unloading or transporting activities 

6. Materials or products stored outdoors (except final products intended for outside use [e.g., new cars] where 

exposure to storm water does not result in the discharge of pollutants) 

7. Materials contained in open, deteriorated or leaking storage drums, barrels, tanks, and similar containers 

8. Materials or products handled/stored on roads or railways owned or maintained by the discharger 

9. Waste material (except waste in covered, non-leaking containers [e.g., dumpsters]) 

10. Application or disposal of process wastewater (unless otherwise permitted) 

11. Particulate matter or visible deposits of residuals from roof stacks and/or vents not otherwise regulated 

(i.e., under an air quality control permit) and evident in the storm water outflow 

NO EXPOSURE CERTIFICATION for Exclusion from 

NPDES Storm Water Permitting 

D. Certification Statement 

I certify under penalty of law that I have read and understand the eligibility requirements for claiming a condition of “no exposure” and obtaining an 

exclusion from NPDES storm water permitting. 

I certify under penalty of law that there are no discharges of storm water contaminated by exposure to industrial activities or materials from the industrial 

facility or site identified in this document (except as allowed under 40 CFR 122.26(g)(2)). 

I understand that I am obligated to submit a no exposure certification form once every five years to the NPDES permitting authority and, if requested, to 

the operator of the local municipal separate storm sewer system (MS4) into which the facility discharges (where applicable). I understand that I must 

allow the NPDES permitting authority, or MS4 operator where the discharge is into the local MS4, to perform inspections to confirm the condition of no 

exposure and to make such inspection reports publicly available upon request. I understand that I must obtain coverage under an NPDES permit prior 

to any point source discharge of storm water from the facility. 

Additionally, I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a 

system designed to assure that qualified personnel properly gathered and evaluated the information submitted. Based on my inquiry of the person or 

persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is to the best of my 

knowledge and belief true, accurate and complete. I am aware that there are significant penalties for submitting false information, including the possibility 

of fine and imprisonment for knowing violations. 

Print Name: 

Print Title: 

Signature: _____________________________________________________________________________________ 

Date: 

NPDES 

FORM 

3510-11 

Form Approved 

OMB No. 2040-0211 

EPA Form 3510-11 (06/03) Page 2 of 4 
Section B. Facility/Site Location Information 

1. Enter the official or legal name of the facility or site. 

2. Enter the complete street address (if no street address exists, provide 

a geographic description [e.g., Intersection of Routes 9 and 55]), city, 

county, state, and zip code. Do not use a P.O. Box number. 

3. Indicate whether the facility is located on Indian Lands. 

4. Indicate whether the industrial facility is operated by a department or 

agency of the Federal Government (see also Section 313 of the Clean 

Water Act). 

5. Enter the latitude and longitude of the approximate center of the facility 

or site in degrees/minutes/seconds. Latitude and longitude can 

be obtained from United States Geological Survey (USGS) quadrangle 

or topographic maps, by calling 1-(888) ASK-USGS, or by accessing 

EPA’s web site at http://www.epa.gov/owm/sw/industry/index.htm and 

selecting Latitude and Longitude Finders under the Resources/Permit 

section. 

Latitude and longitude for a facility in decimal form must be converted 

to degrees (°), minutes ('), and seconds (") for proper entry on 

the certification form. To convert decimal latitude or longitude to 

degrees/minutes/seconds, follow the steps in the following example. 

Example: Convert decimal latitude 45.1234567 to degrees (°), minutes 

('), and seconds ("). 

a) The numbers to the left of the decimal point are the degrees: 45°. 

b) To obtain minutes, multiply the first four numbers to the right of the 

decimal point by 0.006: 1234 x 0.006 = 7.404. 

c) The numbers to the left of the decimal point in the result obtained 

in (b) are the minutes: 

d) To obtain seconds, multiply the remaining three numbers to the 

right of the decimal from the result obtained in (b) by 0.06: 

404 x 0.06 = 24.24. 

point are not used, the result is 24". 

e) The conversion for 45.1234567 = 45° 7' 

6. Indicate whether the facility was previously covered under an NPDES 

storm water permit. If so, include the permit number. 

7. Enter the 4-digit SIC code which identifies the facility’s primary activity, 

and second 4-digit SIC code identifying the facility’s secondary activity, 

if applicable. SIC codes can be obtained from the Standard Industrial 

Classification Manual, 1987. 

8. Enter the total size of the site associated with industrial activity in acres. 

Acreage may be determined by dividing square footage by 43,560, as 

demonstrated in the following example. 

Example: Convert 54,450 ft2 to acres 

Divide 54,450 ft2 by 43,560 square feet per acre: 

54,450 ft2 ÷ 43,560 ft2/acre = 1.25 acres. 

9. Check “Yes” or “No” as appropriate to indicate whether you have paved 

or roofed over a formerly exposed, pervious area (i.e., lawn, meadow, 

dirt or gravel road/parking lot) in order to qualify for no exposure. If yes, 

also indicate approximately how much area was paved or roofed over 

and is now impervious area. 

Instructions for the NO EXPOSURE CERTIFICATION for 

Exclusion from NPDES Storm Water Permitting 

NPDES 

FORM 

3510-11 

Form Approved 

OMB No. 2040-0211 

Who May File a No Exposure Certification 

Federal law at 40 CFR Part 122.26 prohibits point source discharges of 

storm water associated with industrial activity to waters of the U.S. without 

a National Pollutant Discharge Elimination System (NPDES) permit. However, 

NPDES permit coverage is not required for discharges of storm water 

associated with industrial activities identified at 40 CFR 122.26(b)(14)(i)­

(ix) and (xi) if the discharger can certify that a condition of “no exposure” 

exists at the industrial facility or site. 

Storm water discharges from construction activities identified in 40 CFR 

122.26(b)(14)(x) and (b)(15) are not eligible for the no exposure exclusion. 

Obtaining and Maintaining the No Exposure Exclusion 

This form is used to certify that a condition of no exposure exists at the 

industrial facility or site described herein. This certification is only applicable 

in jurisdictions where EPA is the NPDES permitting authority and must be 

re-submitted at least once every five years. 

The industrial facility operator must maintain a condition of no exposure at 

its facility or site in order for the no exposure exclusion to remain applicable. 

If conditions change resulting in the exposure of materials and activities to 

storm water, the facility operator must obtain coverage under an NPDES 

storm water permit immediately. 

Where to File the No Exposure Certification Form 

No Exposure Forms 

SW No Exposure Certification (4203M) SW No Exposure Certification 

USEPA US EPA East Building, Rm. 7329 

1200 Pennsylvania Avenue, NW 

Washington, D.C. Washington, D.C. 

Completing the Form 

You must type or print, using uppercase letters, in appropriate areas only. 

Enter only one character per space (i.e., between the marks). Abbreviate 

if necessary to stay within the number of characters allowed for each item. 

Use one space for breaks between words. One form must be completed 

for each facility or site for which you are seeking to certify a condition of no 

exposure. Additional guidance on completing this form can be accessed 

through EPA’s web site at www.epa.gov/owm/sw. Please make sure you 

have addressed all applicable questions and have made a photocopy for 

your records before sending the completed form to the above address. 

Section A. Facility Operator Information 

1. Provide the legal name of the person, firm, public organization, or any 

other entity that operates the facility or site described in this certification. 

The name of the operator may or may not be the same as the name of 

the facility. The operator is the legal entity that controls the facility’s 

operation, rather than the plant or site manager. 

2. Provide the telephone number of the facility operator. 

3. Provide the mailing address of the operator (P.O. Box numbers may be 

used). Include the city, state, and zip code. All correspondence will 

be sent to this address. 

7'. 

Since the numbers to the right of the decimal 

24". 

sent regular mail: Forms sent overnight/express:

1201 Constitution Avenue, NW 

20460 20004 

EPA Form 3510-11 (06/03) Page 3 of 4 
Instructions for the NO EXPOSURE CERTIFICATION for 

Exclusion from NPDES Storm Water Permitting 

NPDES 

FORM 

3510-11 

Form Approved 

OMB No. 2040-0211 

Section C. Exposure Checklist 

Check “Yes” or “No” as appropriate to describe the exposure conditions at 

your facility. If you answer “Yes” to ANY of the questions (1) through (11) 

in this section, a potential for exposure exists at your site and you cannot 

certify to a condition of no exposure. You must obtain (or already have) 

coverage under an NPDES storm water permit. After obtaining permit 

coverage, you can institute modifications to eliminate the potential for a 

discharge of storm water exposed to industrial activity, and then certify to 

a condition of no exposure. 

Section D. Certification Statement 

Federal statutes provide for severe penalties for submitting false information 

on this application form. Federal regulations require this application to be 

signed as follows: 

For a corporation: by a responsible corporate officer, which means: 

(i) president, secretary, treasurer, or vice-president of the corporation 

in charge of a principal business function, or any other person 

who performs similar policy or decision making functions for the 

corporation, or 

(ii) the manager of one or more manufacturing, production, or 

operating facilities, provided the manager is authorized to make 

management decisions which govern the operation of the 

regulated facility including having the explicit or implicit duty of 

making major capital investment recommendations, and initiating 

and directing other comprehensive measures to assure long 

term environmental compliance with environmental laws and 

regulations; the manager can ensure that the necessary systems 

are established or actions taken to gather complete and accurate 

information for permit application requirements; and where 

authority to sign documents has been assigned or delegated to 

the manager in accordance with corporate procedures; 

For a partnership or sole proprietorship: by a general partner or the 

proprietor; or 

For a municipal, State, Federal, or other public facility: by either a 

principal executive or ranking elected official. 

Paperwork Reduction Act Notice 

Public reporting burden for this certification is estimated to average 1.0 hour 

per certification, including time for reviewing instructions, searching existing 

data sources, gathering and maintaining the data needed, and completing 

and reviewing the collection of information. Burden means the total time, 

effort, or financial resources expended by persons to generate, maintain, 

retain, or disclose to provide information to or for a Federal agency. This 

includes the time needed to review instructions; develop, acquire, install, 

and utilize technology and systems for the purposes of collecting, validating, 

and verifying information, processing and maintaining information, and 

disclosing and providing information; adjust the existing ways to comply with 

any previously applicable instructions and requirements; train personnel to 

be able to respond to a collection of information; search data sources; 

complete and review the collection of information; and transmit or otherwise 

disclose the information. An agency may not conduct or sponsor, and a 

person is not required to respond to, a collection of information unless it 

displays a currently valid OMB control number. Send comments regarding 

the burden estimate, any other aspect of the collection of information, or 

suggestions for improving this form, including any suggestions which may 

increase or reduce this burden to: Director, OPPE Regulatory Information 

Division (2137), USEPA, 401 M Street, SW, Washington, D.C. 20460. 

Include the OMB control number of this form on any correspondence. Do 

not send the completed No Exposure Certification form to this address. 

EPA Form 3510-11 (06/03) Page 4 of 4 
APPENDIX Y


MEDIA-SPECIFIC INSPECTION COMPONENTS


EXCERPTED (AND UPDATED) FROM EPA'S


MULTIMEDIA INVESTIGATION MANUAL

This page intentionally left blank. 
Appendix Y Media-Specific Inspection Components 

The information in this appendix was excerpted from NEIC's Multimedia 

Investigation Manual 

The information presented in this appendix includes many significant tasks for several mediaspecific inspection areas. Media discussed include hazardous waste, air, drinking water, toxic 

substances, and pesticides; emergency planning/community right-to-know and the Superfund 

program are also discussed. 

Y-1

A.	 Resource Conservation and Recovery Act 

(RCRA) 

Subtitle C Hazardous Wastes 

Evaluating Compliance 

Under RCRA Subtitle C, hazardous wastes are subject to extensive regulations on generation, 

transportation, storage, treatment, and disposal. A manifest system tracks shipments of 

hazardous wastes from the generator through ultimate disposal. This "cradle to grave" 

management is implemented through regulations and permits. 

In determining the facility status under RCRA, the investigator must decide whether the facility 

is a generator, transporter, and/or Treatment, Storage, and Disposal Facility (TSDF), and 

whether the facility is permitted or has interim status. Generally, EPA Regional and State 

offices maintain files for the facility to be inspected. Information may include: 

•	 A list of wastes that are treated, stored, and disposed and how each is managed (for 

TSDFs) 

•	 A list of hazardous wastes generated, their origins, and accumulation areas (for 

generators) 

•	 Biennial, annual, or other reports required by RCRA and submitted to the regulatory 

agencies; these include any required monitoring reports 

•	 A detailed map or plot plan showing the facility layout and location(s) of waste 

management areas 

• The facility RCRA Notification Form (Form 8700-12) 

• The RCRA Part A Permit Application (for TSDFs) 

• The RCRA Part B Permit application (for TSDFs, if applicable) 

• The RCRA permit (for TSDFs, if applicable) 

• Notifications and/or certifications for land disposal restrictions (for generators). 

Generators 

Hazardous waste generators are regulated under 40 CFR Parts 262 and 268. These 

regulations contain requirements for: 

• Obtaining an Environmental Protection Agency (EPA) Identification Number 

• Determining whether a waste is hazardous 

• Managing wastes before shipment 

• Accumulating and storing hazardous wastes 

Y-2

Appendix Y Media-Specific Inspection Components 

• Manifesting waste shipments 

• Recordkeeping and reporting 

• Restricting wastes from land disposal (also regulated under Part 268). 

The generator regulations vary, depending upon the volume of hazardous wastes generated 

with fewer requirements for smaller generators. Large Quantity Generators (LQGs) generate 

greater than 1000 kg of hazardous waste/month, Small Quantity Generators (SQGs) generate 

less than 1000kg/month but more than 100 kg/month, while Conditionally Exempt Small 

Quantity Generators (CESQGs) generate less than 100 kg/month. The investigator must 

determine which regulations apply. Additionally, the investigator should do the following: 

•	 Verify that the generator has an EPA Identification Number that is used on all required 

documentation (e.g., reports, manifests, etc.). 

•	 Confirm that the volume of hazardous wastes generated is consistent with reported 

volumes. Examine the processes generating the wastes to assure that all generated 

hazardous wastes have been identified. Look for improper mixing or dilution. 

•	 Ascertain how the generator determines/documents that a waste is hazardous. Check 

to see wastes are properly classified. Collect samples, if necessary. 

•	 Determine whether pre-transport requirements are satisfied, including those for 

packaging, container condition, labeling and marking, and placarding. 

•	 Determine the length of time that hazardous wastes are being stored or accumulated. 

Storage or accumulation for more than 90 days requires a permit (facilities that generate 

less than 1000 kg/month of hazardous waste are allowed to store/accumulate for up to 

180 days without a permit). Generators storing for less than 90 days must comply with 

requirements outlined in 40 CFR 262.34. 

•	 Verify RCRA reports and supporting documentation for accuracy, including inspection 

logs, biennial reports, exception reports, and manifests (with land disposal restriction 

notifications and/or certifications). 

•	 Watch for accumulation areas which are in use but have not been identified by the 

generator. Note: Some authorized State regulations do not have provisions for 

"satellite storage" accumulation areas. 

•	 Determine whether a generator has the required contingency plan and emergency 

procedures, whether the plan is complete, and if the generator follows the plan/ 

procedures. 

•	 Determine whether hazardous waste storage areas comply with applicable 

requirements. 

•	 Facilities with their own vehicle maintenance garage should be evaluated to assure that 

wastes such as used oil, anti-freeze, solvents, and paints are disposed of properly. 

Transporters Hazardous waste transporters (e.g., by truck, ship, or rail) are regulated under 40 

CFR Part 263, which contains requirements for: 

Y-3

Appendix Y Media-Specific Inspection Components 

• Obtaining an EPA Identification Number 

• Manifesting hazardous waste shipments 

• Recordkeeping and reporting 

• Sending bulk shipments (by water, rail). 

Storage regulations apply if accumulation times at transfer stations are exceeded. Transporters 

importing hazardous wastes, or mixing hazardous wastes of different Department of 

Transportation (DOT) shipping descriptions in the same container, are classified as generators 

and must comply with 40 CFR Parts 262 and 268. Investigators evaluating transporter 

compliance should do the following: 

•	 Verify that the transporter has an EPA identification number that is used on all required 

documentation (e.g., manifests). 

•	 Determine whether hazardous waste containers stored at a transfer facility meet DOT 

pre-transport requirements. 

•	 Verify whether the transporter is maintaining recordkeeping and reporting documents, 

including manifests, shipping papers (as required), and discharge reports. All required 

documents should be both present and complete. 

Treatment, Storage, and Disposal Facilities 

Permitted and interim status TSDFs are regulated under 40 CFR Parts 264 and 265, 

respectively. (40 CFR Part 264 applies only if the facility has a RCRA permit (i.e., a permitted 

facility); 40 CFR Part 265 applies if the facility does not have a RCRA permit (i.e., an interim 

status facility). These requirements include three categories of regulations consisting of 

administrative requirements, general standards, and specific standards. The investigator 

should do the following activities to determine compliance with Subparts A through E: 

•	 Verify that the TSDF has an EPA Identification Number that is used on all required 

documentation. 

•	 Determine what hazardous wastes are accepted at the facility, how they are verified, 

and how they are managed. 

•	 Compare wastes managed at the facility with those listed in the Hazardous Waste 

Activity Notification (Form 8700-12), the Parts A and B permit applications, and the 

permit. 

•	 Verify that the TSDF has and is following a waste analysis plan kept at the facility; 

inspect the plan contents. 

• Identify and inspect security measures and equipment. 

•	 Review inspection logs to ensure they are present and complete. Note problems and 

corrective measures. 

•	 Review training documentation to ascertain that required training has been given to 

employees. 

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Appendix Y Media-Specific Inspection Components 

•	 Inspect waste management areas to determine whether reactive, ignitable, and 

incompatible wastes are handled pursuant to requirements. 

• Review preparedness and prevention practices and inspect related equipment. 

•	 Review contingency plans; examine emergency equipment and documented 

arrangements with local authorities. 

•	 Examine the waste tracking system and associated recordkeeping/reporting systems. 

Required documentation includes manifests and biennial reports, and may include 

unmanifested waste reports and spill/release reports. Relevant documents may include 

on-site waste tracking forms. 

• Verify that the operating record is complete according to 40 CFR 264.73 or 265.73. 

The investigator can determine compliance with standards in Subparts F through H by doing 

the following: 

•	 For permitted facilities, verify compliance with permit standards with respect to ground 

water monitoring, releases from solid waste management units, closure/post-closure, 

and financial requirements. 

•	 For interim status facilities required to monitor ground water, determine what kind of 

monitoring program applies. 

•	 Depending on the type of investigation, examine the following items to determine 

compliance: 

- Characterization of site hydrogeology 

- Sampling and analytical records 

- Statistical methods used to compare analytical data 

- Analytical methods 

- Compliance with reporting requirements and schedules 

- Sampling and analysis plan (for content, completeness, and if it is being followed) 

- Conditions, maintenance, and operation of monitoring equipment, including 

wellheads, field instruments, and sampling materials 

- Construction/design of monitoring system 

- Assessment monitoring outline and/or plan 

- Corrective action plan for permitted facilities and for interim status facilities under 

3008(h) enforcement actions. 

•	 For waste management units undergoing closure, review the closure plan (including 

amendments and modifications), plan approval, closure schedule, and facility and 

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Appendix Y Media-Specific Inspection Components 

regulatory certification. Examine response actions to any release of hazardous waste 

constituents from a closed or closing regulated unit. 

•	 For waste management units in post closure care, inspect security measures, ground 

water monitoring and reporting, and the maintenance and monitoring of waste 

containment systems. 

• Verify that the owner/operator has demonstrated financial assurance regarding closure. 

Specific Hazardous Waste Management Units 

The technical standards in 40 CFR Part 264 (Subparts I through O and Subpart X) and 40 CFR 

Part 265 (Subparts I through R) govern specific hazardous waste management units used for 

storage, disposal, or treatment (e.g., tanks, landfills, incinerators). Standards for chemical, 

physical, and biological treatment at permitted facilities under 40 CFR Part 264 have been 

incorporated under Miscellaneous Units, Subpart X. The investigator should do the following: 

•	 Identify all hazardous waste management areas and the activity in each area; compare 

the areas identified in the field with those listed the permit or permit application, as 

appropriate. Investigate inconsistencies between actual practice and the information 

submitted to regulatory agencies. 

•	 Verify that the owner/operator is complying with applicable design, installation, and 

integrity standards; field-check the design, condition, and operation of waste 

management areas and equipment. 

• Determine how incompatible wastes and ignitable or reactive wastes are managed. 

•	 Verify that the owner/operator is conducting self-inspections where and when required; 

determine what the inspections include. 

•	 Identify and inspect required containment facilities for condition and capacity; identify 

lead detection facilities. 

•	 Determine whether hazardous waste releases have occurred and how the owner/ 

operator responds to leaks and spills. 

•	 Verify that the owner/operator is complying with additional waste analysis and trial test 

requirements, where applicable. 

•	 Check the closure/post-closure procedures for specific waste management units 

(surface impoundments, waste piles, etc.) for regulatory compliance. 

• For landfills, determine how the owner/operator manages bulk and contained liquids. 

• Field-check security and access to waste management units. 

•	 Determine the facility monitoring requirements (for air emissions, ground water, leak 

detection, instrumentation, equipment, etc.) and inspect monitoring facilities and 

records. 

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Appendix Y Media-Specific Inspection Components 

Land Treatment Facilities 

When inspecting land treatment facilities, the investigator should also review the following 

items: 

• Soil monitoring methods and analytical data. 

•	 Comparisons between soil monitoring data and background concentrations of 

constituents in untreated soils to detect migration of hazardous wastes. 

•	 Waste analyses done to determine toxicity, the concentrations of hazardous waste 

constituents, and, if food-chain crops are grown on the land, the concentrations of 

arsenic, cadmium, lead, and mercury in the waste(s). The concentrations must be such 

that hazardous waste constituents can be degraded, transformed, or immobilized by 

treatment. 

• Runon and runoff management systems. 

Incinerators 

When evaluating compliance of interim status incinerators, the investigator also should review 

and/or inspect the following items: 

•	 Waste analyses done to enable the owner/operator to establish steady-state operating 

conditions and to determine the pollutants that might be emitted. 

• General procedures for operating the incinerator during start-up and shut-down. 

•	 Operation of equipment used for monitoring combustion and emissions control, 

monitoring schedules, and data output. 

• The incinerator and associated equipment. 

For permitted incinerators, the investigator must evaluate the incinerator operation against 

specific permit requirements for waste analysis, performance standards, operating 

requirements, monitoring, and inspections. The investigator also should do the following: 

• Verify that the incinerator burns only wastes specified in the permit 

• Verify methods to control fugitive emissions 

• Determine waste management practices for burn residue and ash. 

Thermal Treatment Facilities 

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Appendix Y Media-Specific Inspection Components 

The investigator evaluating compliance of thermal treatment facilities in interim status also 

should review the following items: 

•	 General operating requirements, to verify whether steady-state operating conditions are 

achieved, as required. 

•	 Waste analysis records, to ensure that (a) the wastes are suitable for thermal treatment 

and (b) the required analyses in 40 CFR Part 265.375 have been performed. 

Thermal treatment facilities permitted under 40 CFR Part 264 Subpart X will have specific 

permit requirements. 

Biological Treatment Facilities 

The investigator evaluating compliance of chemical, physical, and biological treatment facilities 

in interim status also should do the following: 

• Determine the general operating procedures. 

•	 Review the waste analysis records and methods to determine whether the procedures 

are sufficient to comply with 40 CFR 265.13. 

•	 Review trial treatment test methods and records to determine whether the selected 

treatment method is appropriate for the particular waste. 

•	 Examine procedures for treating ignitable, reactive, and incompatible wastes for 

compliance with Subpart Q requirements. 

Chemical, physical, and biological treatment facilities permitted under Subpart X will have 

specific permit requirements. 

Air Emission Standards 

Owners/operators of TSDFs and generators with 90-day unites must comply with air emission 

standards contained in Subparts AA, BB, and CC of 40 CFR Parts 264 and 265. Subparts AA 

and BB establish standards for equipment containing or contacting hazardous wastes with 

organic concentrations of at least 10 percent. This equipment includes: 

• Process vents 

• Pumps in light liquid service 

• Compressors 

• Sampling connecting systems 

• Open-ended valves or lines 

• Valves in gas/vapor service or in light liquid service 

•	 Pumps and valves in heavy liquid service, pressure relief devices in light liquid or heavy 

liquid service, and flanges and other connections. 

Total organic emissions from process vents must be reduced below 1.4 kg/hr and 2.8 mg/yr. 

The other equipment types above must be marked and monitored routinely to detect leaks. 

Repairs must be initiated within 15 days of discovering the leak. 

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Appendix Y Media-Specific Inspection Components 

Subpart CC establishes standards for units managing hazardous wastes with organic 

concentrations of greater than 500 ppmw at the point of waste origination. The following types 

of units must be controlled: 

• Tanks 

• Containers 

• Surface impoundments 

• Miscellaneous Subpart X units 

The facility operating record should contain information documenting compliance with the air 

emission standards. A complete list of required information is in 40 CFR Parts 264.1035, 

264.1064, 265.1035, and 265.1064. Permitted facilities must submit semiannual reports to the 

Regional Administrator outlining which valves and compressors were not fixed during the 

preceding 6 months. The investigator can do the following things: 

• Visually inspect the equipment for marking. 

•	 Review documentation in the operating record and cross-check this information with that 

submitted to the Regional Administrator in semiannual reports. 

Land Disposal Restrictions 

Land Disposal Restrictions (LDR) in 40 CFR Part 268 prohibit land disposal of hazardous 

wastes unless the waste meets applicable treatment standards as listed in 40 CFR 268.40-43. 

The treatment standards are expressed as (1) contaminant concentrations in the extract or total 

waste or (2) specified technologies. 

Notifications and certifications comprise the majority of required LDR documentation. 

Notifications tell the treatment or storage facility the appropriate treatment standards and any 

prohibition levels that apply to the waste. Certifications are signed statements telling the 

treatment or storage facility that the waste already meets the applicable treatment standards 

and prohibition levels. 

Investigators evaluating hazardous waste generators for LDR compliance should do the 

following: 

•	 Determine whether the generator produces restricted wastes; review how/if the 

generator determines a waste is restricted. 

•	 Review documentation/data used to support the determination that a waste is restricted, 

based solely on knowledge. 

•	 Determine how/if a generator determines the waste treatment standards and/or disposal 

technologies. 

•	 Verify whether the generator satisfies documentation, recordkeeping, notification, 

certification, packaging, and manifesting requirements. 

•	 Ascertain whether the generator is, or might become, a TSDF and subject to additional 

requirements. 

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Appendix Y Media-Specific Inspection Components 

•	 Determine who completes and signs LDR notifications and certifications and where 

these documents are kept. 

•	 Review the waste analysis plan if the generator is treating a prohibited waste in tanks or 

containers. 

Investigators evaluating TSDFs should do the following: 

•	 Ensure the TSDF is complying with generator recordkeeping requirements when 

residues generated from treating restricted wastes are manifested offsite. 

•	 Verify whether the treatment standards have been achieved for particular wastes prior to 

disposal. 

•	 Review documentation required for storage, treatment, and land disposal; 

documentation may include waste analyses and results, waste analysis plans, and 

generator and treatment facility notifications and certifications. 

Subtitle I—Underground Storage Tanks (USTs) 

Evaluating Compliance 

Because the tanks are located underground, visual/field observations have limited application in 

determining compliance for USTs. The UST program relies heavily on the use of documents to 

track the status and condition of any particular tank. 

Interviews with facility personnel are important when determining compliance with any 

environmental regulation. Questions regarding how the facility is handling its UST program will 

give the inspector insight into the types of violations that may be found. Topics to be covered in 

the interview include: 

• Age, quantity, and type of product stored for each onsite tank. 

• How and when tanks have been closed. 

•	 Type of release detection used on each tank (if any); some facilities may have release 

detection on tanks where it is not required. 

• Type of corrosion protection and frequency of inspections. 

• Which tanks have pressurized piping associated with them. 

Visual/field observations are used to determine if any spills or overfills have occurred that have 

not been immediately cleaned up. The presence of product around the fill pipe indicates a spill 

or overfill. Proper release detection methods can also be verified with field observations. 

During the interviews, ask the facility if monthly inventory control along with annual tightness 

testing is used. If monthly inventory control is used, check the measuring stick for divisions of 

1/8 inch. A field check of the entire facility can also be done to determine if any tanks may have 

gone unreported. Fillports and vent lines can indicate the existence of a UST. 

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Appendix Y Media-Specific Inspection Components 

Documents take up the largest portion of time during a UST inspection. Documents that should 

be reviewed include: 

• Notifications for all UST systems 

•	 Reports of releases including suspected releases, spills and overfills, and confirmed 

releases 

• Initial site characterization and corrective action plans 

• Notifications before permanent closure 

• Corrosion expert's analysis if corrosion protection is not used 

• Documentation of operation of corrosion protection equipment 

•	 Recent compliance with release detection requirements, including daily inventory sheets 

with the monthly reconciliation 

• Results of site investigation conducted at the time of permanent closure. 

Document retention rules also apply, so be sure to get all of the documents a facility may be 

required to keep. To determine if the implementing agency has been notified of all tanks, 

compare the notifications to general UST lists from the facility. Usually, the facility will keep a 

list of tanks separate from the notifications and tanks may appear on that list that do not appear 

on a notification form. Also, compare the notifications to tank lists required in other documents, 

like the Spill Prevention Control and Countermeasures Plan. 

RCRA Non-Notifiers 

Anytime an investigator is conducting an inspection, they should be aware of the possibility of a 

“non-notifier” under RCRA. A non-notifier is a facility who has either not notified the EPA or the 

delegated state of their hazardous waste activity or is managing hazardous waste in an 

unpermitted unit. The failure to notify may be intentional or the facility may not be aware that 

the unit should be regulated. 

Two specific circumstances for an investigator to be aware of are as follows: 

•	 a facility that is generating a hazardous waste and failed to notify of their generator 

status and obtain a RCRA I.D. Number. 

•	 a facility that is disposing of hazardous waste in an on-site surface impoundment or 

landfill that has been determined by the facility to be either a non-hazardous solid waste 

management unit or an exempt wastewater treatment unit. (When inspecting the 

wastewater treatment plant, investigators should be aware that the RCRA exemption 

applies to tanks only. If wastewater meeting the definition of a hazardous waste is 

discharged into a surface impoundment, this unit is required to have a RCRA permit.) 

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Appendix Y Media-Specific Inspection Components 

B. Clean Air Act (CAA) 

The Clean Air Act (CAA) is the legislative basis for air pollution control regulations. It was first 

enacted in 1955 and later in 1963, 1965, 1970, 1977, and 1990. The 1955 and the 1963 

Amendments called for the abatement of air pollution through voluntary measures. The 1965 

amendments gave Federal regulators the authority to establish automobile emission standards. 

Basic Program 

The CAA Amendments of 1970 significantly broadened the scope of the Act, forming the basis 

for Federal and State air pollution control regulations. Section 109 of the 1970 Amendments 

called for the attainment of National Ambient Air Quality Standards (NAAQS, 40 CFR Part 50) 

to protect public health and welfare from the known or anticipated adverse effects of six air 

pollutants (as of 1990 the standards were for small particulates, sulfur dioxide, nitrogen dioxide, 

carbon monoxide, ozone, and lead). The States were required to develop and submit to EPA 

implementation plans that were designed to achieve the NAAQS. These State Implementation 

Plans (SIPs) contained regulations that limited air emissions from stationary and mobile 

sources. They were developed and submitted to EPA on a continuing basis and became 

federally enforceable when approved. 

Section 111 of the 1970 Amendments directed EPA to develop standards of performance for 

new stationary sources. These regulations, known as New Source Performance Standards 

(NSPS, 40 CFR Part 60), limited air emissions from subject new sources. The standards are 

pollutant and source specific. 

Section 112 of the 1970 amendments directed EPA to develop standards for hazardous air 

pollutants. These regulations, known as the National Emission Standards for Hazardous Air 

Pollutants (NESHAPs, 40 CFR Part 61), limited hazardous air emissions from both new and 

existing sources. 

The CAA Amendments of 1977 addressed the failure of the 1970 amendments to achieve the 

NAAQS by requiring permits for major new sources. The permit requirements were based on 

whether the source was located in an area that did not meet the NAAQS (non-attainment 

areas). The permit program for sources in attainment areas was referred to as the Prevention 

of Significant Deterioration (PSD) program. 

The CAA Amendments of 1990 significantly expanded the scope of the Act. Section 112 

amendments have amended the NESHAP program with the new provisions called "Title III -

Hazardous Air Pollutants." Title III listed 189 hazardous air pollutants (Appendix O) and 

required EPA to start setting standards for categories of sources that emit these pollutants 

within 2 years (1992) and finish setting all standards within 10 years. It also contains provisions 

for a prevention-of-accidental-releases program. 

Section 211 of the CAA regulates any fuel or fuel additive for use in motor vehicles if the 

resulting emission would cause or contribute to air pollution that may reasonably be anticipated 

to endanger public health or welfare, or if the emission products would significantly impair any 

emission control device or system in general use. There are several provisions under CAA 

section 211 which regulate fuels such as gasoline, diesel fuel, and fuel additives. 

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Appendix Y Media-Specific Inspection Components 

The Federal tampering prohibition is contained in Section 203(a)(3) of the CAA, 42 U.S.C. 

7522(a)(3). Section 203(a)(3)(A) of the Act prohibits any person from removing or rendering 

inoperative any emission control device or element of design installed on or in a motor vehicle 

or motor vehicle engine prior to its sale and delivery to an ultimate purchaser. Section 

203(a)(3)(A) also prohibits any person from knowingly removing or rendering inoperative any 

such device or element of design after such sale and delivery and the causing thereof. 

Section 203(a)(3)(B) of the Act prohibits any person from manufacturing, selling, offering for 

sale, or installing any part or component intended for use with, or as part of, any motor vehicle 

or motor vehicle engine where a principal effect of the part or component is to bypass, defeat, 

or render inoperative any device or element of design installed on or in a motor vehicle or motor 

vehicle engine in compliance with regulations under this title, and where the person knows or 

should know that such part or component is being offered for sale or is being installed for such 

use. 

Section 609 of the CAA Amendments of 1990 requires facilities that perform service on vehicle 

air conditioners to have recycling or recovery equipment and the technicians who use the 

equipment to be certified by an EPA-approved §609 program. 

Evaluating Compliance 

The following procedures are used to evaluate compliance with the Clean Air Act. 

Before an onsite inspection, the documents listed below should be obtained from State or EPA 

files and reviewed to determine what regulations apply and what compliance problems may 

exist. 

•	 The State air pollution control regulations contained in the SIP (State regulations and 

permits form the basis for the air compliance inspection and will vary from State to 

State). 

• Title V operating permit/application; the State operating and construction permits. 

•	 The most current emissions inventory (check for sources subject to SIP, NSPS, and 

NESHAPs requirements). 

•	 The Volatile Organic Compound (VOC) and Hazardous Air Pollutant emissions 

inventory. (The VOC inventory may not be included in the emissions inventory, but 

reported separately under SARA Title III Form R submittal. More information on the 

former submittal is found in the Emergency Planning and Community Right-to-Know 

section.). 

• The consent decrees/orders/agreements still in effect and related correspondence. 

• The most recent inspection reports. 

•	 The most recent monthly or quarterly Continuous Emission Monitoring/Continuous 

Opacity Monitoring (CEM/COM) reports. 

• AIRS Facility Subsystem (AFS) reports. 

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Appendix Y Media-Specific Inspection Components 

• Process descriptions, flow diagrams, and control equipment for air emission sources. 

• Facility plot plan that identifies and locates the air pollution emission points. 

The onsite inspection should include a review of the records and documents listed below: 

•	 Process operating and monitoring records to determine if permit requirements are being 

followed. 

•	 Fuel analysis reports (including fuel sampling and analysis methods) to determine if 

sulfur dioxide emission limits and/or other fuel requirements are being met. 

•	 Reports of process/control equipment malfunctions causing reportable excess 

emissions (refer to SIP to determine reportable malfunctions and report requirements). 

•	 Source test reports to determine if NSPS, NESHAPs, MACTs, and/or major sources 

have demonstrated compliance with emission standards. 

•	 CEM reports to determine if NSPS and SIP reporting requirements are being met 

(reported emissions should be checked against raw data for accuracy, and reported 

corrective actions should be checked for implementation). 

•	 CEMS/COMS certification tests (relative accuracy and calibration drift) to verify that 

performance specifications at 40 CFR Part 60, Appendix B, are met. 

•	 Records and reports specified in SIP regulations, NSPS, NESHAP, and MACT subparts, 

and applicable permits. 

The onsite inspection should also include the following: 

•	 Visible Emission Observations (VEOs), by inspectors certified to read smoke within the 

last 6 months, to determine compliance with SIP, NSPS, or NESHAPs opacity limits 

(document non-compliance with EPA Method 9, 40 CFR Part 60, Appendix A). 

•	 A check of real time CEM measurements to determine compliance SIP, NSPS, or 

NESHAPs limits (opacity CEM measurements can be compared against VEOs). 

•	 A review of CEM/COM calibration procedures and frequency to determine if the zero/ 

span check requirements and analyzer adjustment requirements of 40 CFR Part 60 are 

being met. 

•	 Observations of process and control equipment operating conditions to determine 

compliance with permit conditions (if no permit conditions apply, control equipment 

operating conditions can be compared to baseline conditions from stack tests or 

manufacturer's specifications for proper operation). 

•	 Observation of control equipment operating conditions and review of equipment 

maintenance practices and records to determine proper operation of control equipment. 

•	 When inspecting a fuel refinery or terminal and when time permits, the investigator 

should review records to assess compliance with fuel regulations under CAA section 

211. Things to look for include compliance with the new reformulated gasoline 

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Appendix Y Media-Specific Inspection Components 

requirements including Reid vapor pressure levels (during summer months only) and 

oxygenate levels of outgoing gasoline, the sulfur content of outgoing diesel fuel, and the 

lead level of unleaded gasoline leaving the refinery. 

•	 When inspecting a facility with its own fleet of vehicles or garage, maintenance records 

for the vehicles should be reviewed to determine compliance with Section 203 of the 

CAA. A review of air conditioning repair/maintenance records should also be conducted 

to determine compliance with Section 609 of the CAA. 

•	 A review of all sources to determine if existing, new, modified, or reconstructed sources 

have construction and operating permits required by SIP (note other process changes 

that may not require a permit but could affect emissions). For example: 

- Are there any boilers, stationary diesel engines (emergency generators, lift pumps), 

or waste gas boilers of any size? What are their capacities, when installed or 

altered? 

- Are there any incinerators for sludge, grease, grit, screenings, etc.? When were they 

installed or altered? 

- Are there any storage tanks storing any liquid except water? What are their 

capacities, when installed or altered? 

- Are there any solvent or gasoline tanks? What are their capacities, when installed or 

altered? 

- Are there any storage silos for storing solid particles (e.g., lime)? What are their 

capacities, when installed or altered? 

- Are there any air pollution control devices of the following types? When where they 

installed or altered? 

� Odor control equipment (carbon adsorbers, scrubbers) on such equipment as 

sludge handling/storage tanks, pump stations, wet-wells, metering stations, grit 

screening, headworks building? 

� Waste gas burners such as digester flares, boilers, etc.? 

� Scrubbers on pH adjustment process or pretreatment equipment (usually HCl 

control)? 

- Is there any shop equipment of the following types? When was it installed or 

altered? 

� Paint spray booths


� Shotblast booths, controlled (any size) or uncontrolled


� Solvent degreasers


- Is there any wastewater or water treatment equipment designed to reduce Volatile 

Organic Compounds (VOCs), which may emit air contaminants, such as aeration 

basins, surface impoundments, air strippers, roughing filters, trickling filters, or 

oil/water separators? When was the equipment installed or altered? 

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Appendix Y Media-Specific Inspection Components 

- At industrial/commercial wastewater and pretreatment facilities, are there any 

aeration basins, lagoons, or settling basins? When were they installed or altered? 

- At industrial/commercial treatment works, is there equipment used to dispense odor 

reducing/masking agents? When was it installed or altered? 

- At industrial/commercial treatment works, is there equipment used directly to 

manufacture fertilizers (including mixers, blenders, conveyors, etc.)? When was it 

installed or altered? 

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Appendix Y Media-Specific Inspection Components 

C. Safe Drinking Water Act (SDWA) 

Basic Program 

Public drinking water supply systems (i.e., that serve at least 25 people or have 15 service 

connections for at least 60 days per year) are regulated by the Safe Drinking Water Act 

(SDWA) Amendments of 1986. Public water systems are divided into two categories 

designated as community and noncommunity systems. A community system serves people 

year-round, whereas a noncommunity system serves people only for a portion of the time (e.g. 

hotels and campgrounds). Different requirements apply to each type of system. Different 

requirements also apply depending on whether the water supply source is surface water or 

groundwater. EPA sets standards [known as Maximum Contaminant Levels (MCLs)] for the 

quality of water that can be served by public water systems. Public systems must sample their 

water periodically and report findings to the State (or EPA, if the State has not been delegated 

the authority to enforce the SDWA). The systems must notify consumers if they do not meet 

the standards or have failed to monitor or report. EPA is on a statutory schedule for 

promulgating a large number of new MCLs. 

The Underground Injection Control (UIC) program was developed pursuant to the SDWA 

(Public Law 93-523), Part C—Protection of Underground Sources of Drinking Water (40 CFR 

Parts 124 and 144 through 148). The scope of the UIC program is the determination of the 

soundness of construction and operation of injection wells as they relate to the protection of all 

underground sources of drinking water. The UIC program regulates five classes of injection 

wells, summarized as follows: 

Class I	 Industrial, municipal, or hazardous waste disposal beneath the lowermost 

underground source of drinking water (USDW) 

Class II	 Oil and gas-related wells used for produced fluid disposal, enhanced recovery, 

hydrocarbon storage, etc. 

Class III Mineral extraction wells 

Class IV Hazardous or radioactive waste disposal above or into a USDW 

Class V Injection wells not included in Classes I through IV. 

Evaluating Compliance 

Monitoring requirements for water supply systems and whether the system can be reasonably 

expected to routinely provide safe potable water should be determined. Many facilities 

purchase their potable water supply from a nearby municipality. If no further treatment is 

provided (e.g., chlorination by the facility), the facility remains a "consumer" rather than 

becoming a "supplier," and consequently does not have the monitoring or reporting 

requirements that a supplier would have. Nevertheless, the facility does have a responsibility to 

ensure that their actions do not result in contamination of the municipal water supply (e.g., 

through cross-connection). The audit team should be alert to these possibilities. 

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Appendix Y Media-Specific Inspection Components 

Inspectors should: 

• Verify public water system records of monitoring and reports of exceedences of MCLs 

•	 Interview water system personnel to identify potential operations and maintenance 

problems 

• Check for appropriate treatment systems, such as adequate disinfection 

• Check for cross-connections to the water supply and distribution system 

• Obtain water source, treatment, and service area information 

•	 Verify that sample locations are appropriate and representative for each contaminant 

(i.e. sample collected in distribution system versus entry to distribution system) 

• Verify that sampling techniques and procedures are appropriate 

For UIC inspections, the following should be reviewed: 

• Current status of wells (active, abandoned, under construction repairs) 

• Types of wastes discharged to wells 

• UIC permit and permit conditions, if applicable 

• Injection well construction 

•	 Potential pathways of endangerment to Underground Sources of Drinking Water 

(USDWs) 

• Protection of USDWs from endangerment 

• Frequency and type of Mechanical Integrity Testing (MIT) 

• Annular pressure 

• Annular pressure monitoring 

• Radioactive tracer surveys 

• Installation methods for well plugging 

• Remedial operation 

• Applicability of land disposal restrictions to injection well operations 

• Recordkeeping and evidence documentation 

• Outlets for floor drains 

• Connection to "dry" wells 

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Appendix Y Media-Specific Inspection Components 

• Evidence of surface ponding 

• Presence of septic systems and/or leach fields 

Several States and industries have requested approval of alternative mechanical integrity 

testing methods or variances to accommodate special local hydrogeological conditions, 

historical practices, or industry interests. Inspectors and field investigators should be cautioned 

to keep current with special permit conditions and the status of any pending approvals/denials 

of alternative mechanical integrity testing procedures and variances. 

Y-21

D. Toxic Substances Control Act (TSCA) 

This section describes those specific aspects of toxic substances control that are addressed by 

the Toxic Substances Control Act (TSCA) and its associated rules and regulations (40 CFR 

Parts 702 through 799). 

Basic Program 

The regulation of toxins under TSCA is divided into two components for Agency enforcement 

program management purposes. 

1. "Chemical control" covers enforcement aspects related to specific chemicals regulated 

under Section 6 of TSCA, such as Polychlorinated Biphenyls (PCBs), 

Chlorofluorocarbons (CFCs), and asbestos. 

2. "Hazard evaluation" refers to the various recordkeeping, reporting, and submittal 

requirements specified in Sections 5, 8, 12, and 13 of TSCA; although, some elements 

of what might be termed "chemical control" are also addressed in these sections. 

Sections 12 and 13 of TSCA, which pertain to chemical exports and imports, 

respectively, will not be covered in this manual because of their special nature and 

unique requirements. 

Prior to discussing TSCA activities at a facility, the investigator must present appropriate facility 

personnel with copies of two TSCA inspection forms: 

1. Notice of Inspection—Shows purpose, nature, and extent of TSCA inspection. 

2. TSCA Inspection Confidentiality Notice—Explains a facility's rights to claim information 

at the facility as TSCA Confidential Business Information. 

Before leaving the site, two additional forms must be completed, as appropriate: 

1. Receipt for Samples and Documents—Itemizes all documents, photos, and samples 

received by the investigator during the inspection. 

2. Declaration of Confidential Business Information—Itemizes the information that the 

facility claims to be TSCA Confidential Business Information. 

Evaluating Compliance 

Chemical Control 

Although the controlled substances most frequently encountered during multi-media 

investigations are PCBs, the investigator should determine if other regulated toxic substances 

are present at the facility. Currently these include metal working fluids (Part 747), fully 

halogenated chlorofluoroalkanes (40 CFR Part 762), and asbestos (40 CFR Part 763); 

additional toxic substances may be regulated in the future. Because the probability of finding 

Y-22

Appendix Y Media-Specific Inspection Components 

PCBs and PCB-items at the facility is greater than finding other TSCA-regulated substances, 

the following discussion is directed toward an evaluation of compliance with proper PCB and 

PCB-item handling procedures. If other TSCA-regulated substances are found, the investigator 

should consult the regulations for appropriate requirements. 

Management of PCBs/PCB-items is regulated under 40 CFR Part 761. In general, these 

regulations address recordkeeping, marking and labeling, inspections, storage, and disposal. 

Facilities that store and/or dispose of PCBs and PCB-items should have EPA-issued letters of 

approval that contain facility operating and recordkeeping requirements in addition to those 

specified in 40 CFR Part 761. The investigator must obtain a copy of these approvals and any 

subsequent notifications to evaluate facility compliance. The inspector should review Part 

761.30 to identify uses of PCB transformers which are prohibited beginning October 1, 1990, 

but with effective dates extending to October 1, 1993. The inspector should also review the 

requirements found in Part 761.30 that allow the installation of PCB transformers for emergency 

use. 

In general, the compliance evaluation includes obtaining and reviewing information from 

Federal, State, and local regulatory agency files; interviewing facility personnel regarding 

material handling activity; examining facility records and inspecting materials handling units. 

Specific investigation tasks include: 

• 

•	 Inspect all in-service electrical equipment, known or suspected of containing PCBs, for 

leaks or lack of proper marking. A similar inspection should also be made of any 

equipment that the facility is storing for reuse. Make certain that any remedial actions 

were quick and effective in the case of leaks, spills, etc. 

•	 If the above equipment includes any PCB transformers or capacitors, make certain that all 

relevant prohibitions are being met, such as those involving enhanced electrical protection, 

as well as other requirements in the Use Authorization section of the PCB Rule. Make 

certain that any hydraulic or heat transfer systems suspected of containing PCB fluids 

have been properly tested. 

•	 Determine whether the facility is involved with servicing PCB items or using/collecting/ 

producing PCBs in any manner. If so, make certain that the appropriate requirements of 

the PCB Rule are being met. 

•	 Determine whether the facility is involved with either the storage or disposal of PCBs/PCBitems. Inspect all storage for disposal facilities for proper containment, leaking items, 

proper marking, dates/time limits, location, protection from elements, and other necessary 

requirements. If the facility disposes of PCBs, make certain that proper methods are being 

employed and that design and operation of disposal units is in accordance with regulatory 

requirements. 

•	 Determine whether storage/disposal facilities are complying with the notification and 

manifesting requirements contained in Subpart K of the PCB Rule. 

•	 Thoroughly review, for purposes of adequacy and regulatory compliance, all records and 

reports required by the PCB Rule including the following: 

- Annual documents 

Y-23

Appendix Y Media-Specific Inspection Components 

- Inspection logs


- PCB transformer registration letters


- Manifests/certificates of destruction


- Test data


- Spill cleanup reports


- EPA-issued permits or letters of approval


- SPCC plan, if one is necessary


- Operating records


- Notification of PCB activity.


Hazard Evaluation 

Establishing compliance with the various hazard evaluation aspects of TSCA is best 

accomplished through review and evaluation of the recordkeeping, reporting, and submittal data 

required by the various regulatory components of Sections 5 and 8. In general, Section 5 

addresses new chemicals (i.e., those not on the TSCA Chemical Substances Inventory) and 

Section 8 addresses existing chemicals (i.e., those chemicals that are on the TSCA Chemical 

Substances Inventory). 

Much of the information obtained and reviewed under these two sections of TSCA will be 

declared "TSCA Confidential Business Information" by company officials, and thus special 

security procedures must be followed during review and storage of the documents. 

40 CFR Parts 703 through 723 should be consulted for an explanation of TSCA terms and 

definitions. The following list summarizes the different objectives for inspections of the key 

TSCA Sections 5 and 8 components. 

1. Premanufacture Notification (PMN) 

a.	 Verify that all commercially manufactured or imported chemicals are on the TSCA 

Chemical Substances Inventory, are covered by an exemption, or are not subject to 

TSCA. 

b.	 Verify that commercial manufacture or import of new chemicals did not begin prior to 

the end of the 90-day review date, and not more than 30 days before the Notice of 

Commencement (NOC) date. If commercial manufacture or import has not begun, 

verify that no NOC has been submitted. 

c. Verify the accuracy and documentation of the contents of the PMN itself. 

2. Research and Development (R&D) Exemption 

a.	 Verify that the recordkeeping and notification requirements are being met for all R&D 

chemicals. 

b.	 Verify that "Prudent Laboratory Practices" and hazardous data searches are 

adequately documented. 

Y-24

Appendix Y Media-Specific Inspection Components 

3. Test Marketing Exemption (TME) 

a.	 Verify that the conditions spelled out in the TME application are being met, 

particularly with respect to dates of production, quantity manufactured or imported, 

number of customers and use(s). 

b. Verify that the TME recordkeeping requirements are being met. 

4. Low Volume Exemption (LVE) and Polymer Exemption (PE) 

a.	 Verify that specific conditions of the exemption application are being met, and that all 

test data have been submitted. 

b.	 For an LVE, verify that the 1,000-kg limit per 12-month period has not been 

exceeded. For a PE, ensure that the chemical structure and monomer 

composition(s) are accurate. 

c. Verify that recordkeeping requirements for both LVEs and PEs are being met. 

5. 5(e)/5(f) Order, Rule, or Injunction 

a.	 Verify that all conditions of the order, rule, or injunction are being followed, including 

use of protective equipment, glove testing, training, and recordkeeping. 

b. If a testing trigger is specified, verify production volume and status of testing activity. 

6. Significant New Use Rule (SNUR) 

a. Verify that no commercial production has occurred prior to the 90-day review date. 

b.	 Verify that SNUR notices (i.e., Significant New Use Notices [SNUNs]) have been 

submitted for all applicable manufactured, imported, or processed chemicals. 

c. Verify technical accuracy of SNUN and completeness of required recordkeeping. 

7. Bona Fide Submittals 

Determine the commercial production (or import) status and R&D history of those bona 

fide chemicals not found on the confidential 8(b) inventory. Verify findings against 

applicable PMN, TME, and other exemption. 

8. Section 8(a) Level A PAIR and CAIR Report 

a.	 Determine if Preliminary Assessment Information Rule (PAIR) and Comprehensive 

Assessment Information Rule (CAIR) reports have been submitted for all 8(a) Level 

A listed chemicals manufactured or imported by the facility. 

b.	 Verify the accuracy of submitted PAIR information, particularly the reported figures 

for total production volume and worker exposure levels. 

c.	 Verify the accuracy of submitted CAIR information and if the report meets the date 

specified in the regulation. 

Y-25

Appendix Y Media-Specific Inspection Components 

9. Section 8(b) Inventory Update Rule (IUR) 

a. Verify the accuracy of the information submitted in response to the IUR. 

b.	 Determine that required information was submitted by the deadline for all chemicals 

subject to IUR. 

10. Section 8(c) Recordkeeping 

a.	 Determine if the facility has a Section 8(c) file and that allegations of significant 

health and environmental harm on record are properly filed and recorded. 

b. Determine that all applicable allegations have been recorded and filed. 

c.	 Determine if the facility has a written Section 8(c) policy and if the policy includes 

outreach to the employees. 

11. Section 8(d) Reporting 

Determine if copies (or lists) of all unpublished health effects studies have been 

submitted by manufacturers, importers, and processors for any Section 8(d) listed 

chemical. 

12. Section 8(e) Reporting 

a.	 Verify that all Section 8(e) substantial risk reports to the Agency were accurate and 

submitted within the required time frames. 

b.	 Verify that all substantial risk incidents and/or test results have been reported to 

EPA. 

c.	 Determine that the company has an adequate written policy addressing Section 8(e), 

and that it relieves employees of individual liability. 

Y-26

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Y-27

Appendix Y Media-Specific Inspection Components 

E. 	 Federal Insecticide, Fungicide, and 

Rodenticide Act (FIFRA) 

Basic Program 

Pesticides are regulated by FIFRA and regulations promulgated pursuant to FIFRA. Under 

FIFRA, pesticide products must be registered by EPA before they are sold or distributed in 

commerce. EPA registers pesticides on the basis of data adequate to show that, when used 

according to label directions, they should not cause unreasonable adverse effects on human 

health or the environment. States have primary enforcement responsibility for FIFRA. 

To ensure that previously registered pesticides meet current scientific and regulatory standards, 

in 1972 Congress amended FIFRA to require the "reregistration" of all existing pesticides. 

Evaluating Compliance 

The following list is used in conjunction with specific storage/use/disposal requirements found 

on pesticide labels. FIFRA requires a written Notice of Inspection and written Receipt for 

Samples collected. 

•	 Determine types and registration status of all pesticides produced, sold, stored, and used 

at the facility, particularly if any are restricted or experimental use pesticides. 

• Determine use(s) of each pesticide. 

• Determine certification status of facility/handlers. 

- Verify who certifies facility/pesticide handlers (EPA, State, Department of Defense). 

- Determine if commercial or private applicator. 

- If restricted-use pesticides are used, check if pesticide applicators are authorized to 

use these pesticides. 

- Check expiration dates on licenses/certificates. 

• Review applicable records. 

- Check previous inspection records and complaints. 

- Check application records. 

- Check restricted-use pesticides records (must be kept at least 2 years). Document 

suspected violations accordingly. 

- Check inventory records. 

Y-28

Appendix Y Media-Specific Inspection Components 

- Check training records. 

• Inspect storage, mixing/loading, and container disposal areas 

- Check bulk storage areas for compliance with Federal/State rules. 

- Check location, ventilation, segregation, shelter, and housekeeping of pesticide 

storage handling areas. Check security, fire protection, and warning signs, as may 

be required by State regulations. 

- Check mixing equipment/procedures for reducing handlers' exposures to pesticides. 

- Check for safety equipment/procedures/use. 

- Check container cleanup and disposal procedures. 

• Pesticide waste disposal 

- Check to see that pesticides are disposed of in accordance with applicable label and 

RCRA requirements. 

• Determine measures taken to ensure farm worker safety. 

- Check pesticide use records for re-entry time limit notation. 

- Check pesticide use records for informing farmer(s) or warning workers and/or 

posting fields. 

• Observe actual pesticide application. 

- Observe mixing/loading and check calculations for proper use dilution. 

- Observe when spray is turned on/off with respect to ends of field. 

- Watch for drift or pesticide mist dispersal pattern. 

- Note direction of spraying pattern and trimming techniques. 

- Record wind speed and direction, air temperature, and relative humidity. 

- Observe application with respect to field workers, houses, cars, power lines, and 

other obstacles. 

- Determine if applicator and assisting personnel are wearing safety gear required by 

the label. 

Y-29

F. 	 Emergency Planning and Community Rightto-Know Act (EPCRA) 

Basic Program 

The Emergency Planning and Community Right-To-Know Act of 1986 is a free-standing law 

contained within the Superfund Amendments and Reauthorization Act (SARA) of 1986. EPCRA 

is also commonly known as SARA Title III. EPCRA requires dissemination of information to 

State and community groups and health professionals on chemicals handled at regulated 

facilities. 

An EPCRA inspection verifies that the facility owner/operator has notified State and local 

agencies of regulated activities; has submitted information to specific State and local agencies; 

and has prepared and submitted all other required reports. 

Evaluating Compliance 

Emergency Planning (Sections 301 through 303) 

EPA promulgated regulations that identify extremely hazardous substances and the levels to be 

regulated under EPCRA. The inspector should determine whether the facility is subject to 

EPCRA regulation. If the facility does meet the requirements, the inspector should verify 

whether the facility owner/operator: 

•	 Notified the State emergency response agency and the local emergency planning 

committee that the facility is regulated under EPCRA. 

•	 Designated a facility emergency coordinator to assist the local emergency planning 

committee in the planning process. 

• Notified the local emergency planning committee of the emergency coordinator's identity. 

Emergency Notification (Section 304) 

The owner/operator of a facility subject to EPCRA must immediately report releases of 

hazardous substances above the reportable quantity. Substances subject to this requirement 

are the extremely hazardous substances listed in 40 CFR Part 355 and hazardous listed in 40 

CFR Part 302. The inspector should verify whether an immediate notification (within 15 

minutes) was made to the: 

• State emergency response commission 

• Local emergency planning committee 

• National Response Center 

Community Right-to-Know Requirements (Sections 311 through 312) 

Y-30

Appendix Y Media-Specific Inspection Components 

Manufacturing facilities subject to the Occupational Safety and Health Act (OSHA) Hazardous 

Communication regulation (29 CFR Part 1910) are required to prepare Material Safety Data 

Sheets (MSDS) for each hazardous chemical handled at the facility. OSHA revised its 

Hazardous Communication Regulation, effective September 23, 1987, to require that MSDSs 

be prepared by nonmanufacturing facilities. The inspector should verify that the facility owner/ 

operator has sent the following to the State emergency response commission, the local 

emergency planning committee, and the local fire department: 

•	 MSDSs or a list of chemicals covered by MSDSs found at the facility above the threshold 

planning quantity (40 CFR Part 370 Subpart B) 

•	 An annual inventory (Tier 11 Form) of hazardous chemicals found at the facility above the 

threshold planning quantity (40 CFR Part 370 Subpart D). 

Toxic Chemical Release Reporting (Section 313) 

Covered facilities (40 CFR 372.22) that manufacture, process, or otherwise use certain 

chemicals above specified amounts must annually report releases to the environment. The 

inspector should determine whether the facility owner/operator is required to submit this annual 

report (Form R). The following criteria are applied to determine if the facility is required to 

report: 

• The facility has the equivalent of 10 or more full-time employees. 

• The facility is in SIC codes: 

o 10 (except 1011, 1081, and 1094) 

o 12 (except 1241) 

o 20 through 39 

o	 4911, 4931, or 4939 (limited to facilities generating power for consumer use by 

combusting coal and/or oil) 

o 4953 (limited to RCRA Subtitle C facilities) 

o 5169 and 5171 

o 7389 (limited to facilities engaged in solvent recovery services) 

� The facility manufactured or processed in excess of 25,000 pounds or used in any other 

manner 10,000 pounds or more of the chemicals listed on the Toxic Release Inventory 

(TRI). The list of TRI chemicals can be found in the current year’s reporting instructions. 

Y-31

G. Pollution Prevention


Basic Program 

EPA is developing an Agency-wide policy for pollution prevention. Present authorities were 

established in the 1984 Hazardous and Solid Waste Amendments to RCRA (Section 3002). 

The October 1990 Pollution Prevention Act established pollution prevention as a national 

priority. The September 16, 1998, Executive Order 13101, Section 403, Federal Facility 

Compliance. 

Evaluating Compliance 

EPA has developed a policy regarding the role of inspectors in promoting waste minimization 

(OSWER directory number 9938.10). As stated in the policy, to evaluate compliance, the 

Inspector should: 

•	 Check hazardous waste manifests for a correctly worded and signed waste minimization 

certification. 

•	 Determine whether this certification was manually signed by the generator or authorized 

representative. 

•	 Confirm that a waste minimization program is in place by requesting to see a written 

waste minimization plan, or requesting that the plan be described orally, or requesting 

that evidence of a waste minimization program be demonstrated. The inspector can, 

and should, visually check for evidence of a "program in place" onsite. 

•	 Check the Biennial Report and/or Operating record of generators and TSDFs, as 

appropriate. These documents should contain descriptions of waste minimization 

progress and a certification statements. If known omissions, falsifications, or 

misrepresentations on any report or certification are suspected, criminal penalties may 

apply and the case should be referred for criminal investigation. 

•	 Check any waste minimization language included in the facility's permits, any 

enforcement order, and settlement agreements. Verify that waste minimization 

requirements are being satisfied. 

The policy also states that the inspector should promote waste minimization by: 

• Being familiar with, recommending, and distributing waste minimization literature. 

•	 Referring the facility to the appropriate technical assistance program for more specific or 

technical information. 

•	 Providing limited, basic advice to the facility of obvious ways they can minimize their 

waste. This advice should be issued in an informal manner with the caveat that it is not 

binding in any way and is not related to regulatory compliance. 

Y-32

Appendix Y Media-Specific Inspection Components 

The multi-media inspection team can also document cross-media transfers of waste streams, 

that can result in false claims of waste minimization. For example, a facility could treat a 

solvent wastewater stream in an air stripper that has no air pollution control devices. On paper, 

the amount of solvent discharged to a land disposal unit or sewer system could show a 

reduction, but the pollutants are going into the air, possibly without a permit. Another example 

would be a facility claiming a reduction in hazardous waste generated because the waste steam 

was delisted. 

Y-33

APPENDIX Z


NATIONAL MULTI MEDIA SCREENING 

INSPECTION WORKSHEET 
Appendix Z National Multi Media Screening Inspection Worksheet 

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Appendix Z National Multi Media Screening Inspection Worksheet 

GENERAL INFORMATION


1. Inspector(s) Name 2. Date 

3. Facility Name/Address 

4. Facility Contact(s)/Title(s) 

5.	 Description of Facility Operations 

SIC Code 

Number of Employees 

Operating Schedule 

Major Products/Production Capacity 

Z-1

Appendix Z National Multi Media Screening Inspection Worksheet 

RCRA


Observations 

1. Does the facility generate anything that looks like waste material that might contain 

hazardous constituents? 

2. If so, describe what the facility says regarding the RCRA regulatory status of the waste 

material and their rational for such determination. (e.g., have they made a RCRA waste 

identification and what was that determination? Have they determined the waste to be exempt 

from regulation and why? 

3. Describe the process that generates the waste material. 

4. Do you see any containers of hazardous waste, land disposal units, lagoons, treatment 

units? Approximately how many? 

5. Were any of the units that contain or handle hazardous wastes (containers, berms, dikes, 

tanks, piping, impoundments, etc.) in poor condition, unmarked, opened, leaking, cracked, 

corroded, or in a condition that would allow the release or potential release of hazardous 

wastes? If yes, describe unit(s). Any actual or evidence of past releases observed? If so, 

describe waste (i.e., liquid, sludge, etc.) unit(s), and location. 

6. Does the facility operate a boiler or industrial furnace which burns hazardous wastes? 

Was there any incineration of hazardous waste on site? 

7. Was there any evidence of spills, leaks, or discharges of hazardous wastes? If so, provide 

location and description. 

Z-2

Appendix Z National Multi Media Screening Inspection Worksheet 

Interview Questions/Records Review 

1. If the facility is a generator of hazardous waste was there a notification of hazardous waste 

activity? What is the quantity (kilograms/month) of hazardous wastes produced? How are they 

produced? 

2. What is the EPA Identification Number? 

3. What was the basis (i.e. test, knowledge of process and waste) for determining if the 

facility did or did not produce or handle hazardous wastes? Who made the determination? 

Z-3

Appendix Z National Multi Media Screening Inspection Worksheet 

UST


Observations 

1. Are there any underground storage tanks? 

2. Approximately how many? What are the contents? (Wastes, virgin petroleum, or 

chemicals) 

3. What type of leak detection is used? When was it last used? 

4. Is there any evidence of leaks, spills, broken piping, broken fill/vent lines, or leaking pump 

joints or valves? Provide location and description. 

Interview Questions/Records Review 

1. If the tanks are for virgin petroleum or chemicals (not wastes), are they registered with the 

state? Date of registration? Date of tank(s) installation? 

Z-4

Appendix Z National Multi Media Screening Inspection Worksheet 

SPCC


Observations 

1. Does the facility have the capacity to store oil either in above or below ground tanks? How 

many gallons? Does any tank have a capacity of more than 660 gallons in a single tank or 

does the facility have a capacity of more than 1320 gallons in a number of tanks or a capacity 

of more than 42,000 gallons below the ground? 

2. What type of secondary containment is used at the facility? Were there any deficiencies in 

the secondary containment (cracks, broken, dikes left open)? Is it adequate to contain the 

entire contents of the largest tank? 

Interview Questions/Records Review 

1. Does the facility have a certified (signed by a P.E.) plan? When was it last updated? 

2. Has there been any major changes to oil storage at the facility since the last modification 

of the plan? 

Z-5

Appendix Z National Multi Media Screening Inspection Worksheet 

WETLANDS


Observations 

1. Are there any wet areas near the facility with wetland-type vegetation (cattails, rushes, 

sedges) that have been disturbed by waste disposal, ditching, or filling? 

Interview Questions/Records Review 

1. Does the facility have a federal section 404 permit or any state or local permit authorizing 

the fill? 

Z-6

Appendix Z National Multi Media Screening Inspection Worksheet 

FIFRA


Observations 

1. Does the facility produce pesticides? 

2. Is the facility applying pesticides? 

3. Where are the pesticides stored? 

Interview Questions/Records Review 

1. If the facility produces pesticides what is the establishment's registration number? 

2. If the facility is applying pesticides what is the registration number of the pesticides? 

3.	 If the facility is applying pesticides what is the method of application? 

_____________________ 

Z-7

Appendix Z National Multi Media Screening Inspection Worksheet 

AIR 

Observations 

1. Is there any asbestos on site? 

2. Is the facility undergoing or has the facility undergone any renovations or demolitions 

during the last 18 months which involve the removal or disturbance of asbestos-containing 

materials? Approximately how much asbestos (square feet or linear feet) was removed? 

3. Does the facility have any coating or printing operations? Does the facility use any paints 

or organic solvents? What, if any, type of air pollution control is used? Was it operating? 

4. Were there any odors? What process was the source of the odors? Describe the odors. 

5. Were there any visible (opaque smoke) emissions? What process was the source? Were 

their any fugitive (not from a stack) emissions? Was the air pollution control equipment, if any, 

operating? Describe source. 

Interview Questions/Records Review 

1. If asbestos was removed was notification provide to the State and EPA? 

2. If the facility has coating or printing operations are they water based or organic solvent 

based? 

3. Does the facility handle/emit any of the National Emission Standards for Hazardous Air 

Pollutants (NESHAP) chemicals other than asbestos (mercury, beryllium, vinyl chloride, 

benzene, arsenic, radio nuclides)? Describe process. 

4. Has the facility added new or expanded existing processes in the last two years? Was it 

permitted by EPA of the State? 

Z-8 
Appendix Z National Multi Media Screening Inspection Worksheet 

Z-9

Appendix Z National Multi Media Screening Inspection Worksheet 

TSCA-PCBs 

Observations 

1. Did the facility have or does it have any PCB electrical equipment? What equipment (type 

and quantity) is on-site? 

2. Does the facility have a PCB equipment storage area for disposal or reuse? Describe the 

storage area (i.e. concrete pad, walls, roof, curbs). 

3. Are there any labels/markings on the PCB equipment? 

4. Is there any leaking PCB electrical equipment? Describe. 

5. Does the facility have any hydraulic systems? Any leaking? 

Z-10

Appendix Z National Multi Media Screening Inspection Worksheet 

Interview Questions/Records Review 

1. If the facility has PCB electrical equipment was it tested? What were the test results? 

2. If the facility has any hydraulic systems when were they tested for PCBs? What were the 

test results? 

Z-11

Appendix Z National Multi Media Screening Inspection Worksheet 

WATER-NPDES


Observations 

1. Does the facility use water in it's manufacturing process? 

2. Does the facility discharge to a stream, municipal sewer, or use subsurface disposal? 

3. What process(es) generate wastewater? Is the wastewater treated? Is the effluent clear? 

Does the treatment plant appear to be maintained (look for rust, dry basins, abandoned 

equipment, etc.)? 

4. Where does the storm water drain to? 

5. Where do floor drains discharge? 

Z-12

Appendix Z National Multi Media Screening Inspection Worksheet 

Interview Questions/Records Review 

1. How is the treatment plant's sludge disposed? How is it tested? 

Z-13

Appendix Z National Multi Media Screening Inspection Worksheet 

EPCRA


Interview Questions/Records Review 

1. Were there any chemical releases in excess of the reportable Superfund quantities (see 

below)? Who was provided the notification? Was it oral or written? 

2. Does the facility manufacture, process, or use any toxic chemicals in a quantity greater 

than 10,000 lbs/yr? Identity them. Are any of them section 313 chemicals1

? 

3. If the answer to question 2 is yes, has the facility submitted the toxic chemical 

release form (R)? 

4. Does the facility have the Material Safety Data Sheets on site and were they submitted to 

the State Emergency Response Commission (SERC) and/or the Local Emergency Planning 

Committee (LEPC)? 

5. Has the facility submitted the Emergency and Hazardous Chemical Inventory forms to the 

LEPC and SERC? 

SDWA-UIC


Observations 

1. Are there any discharges other than sanitary waste (i.e. industrial wastes) into or onto 

(including drain fields) the ground? Is an on-site septic disposal system used? Describe the 

discharges and disposal system. 

Interview Questions/Records Review 

1 The chemicals subject to these requirements can be found in EPA publication number 

560/4-92-011, January 1992, "Title III, List of Lists". 

Z-14 
Appendix Z National Multi Media Screening Inspection Worksheet 

1. Does the facility have or has it had any wells (dug, drilled or driven), dry wells, leachfields, 

or septic systems? Did they receive(d) commercial or industrial waste (liquid and/or solid), 

cooling water, or drainage from roof drains, floor drains, or parking lots? If yes, give a 

description. 

2. Does the facility have a permit? 

3. What is the current status of wells (active, abandoned, under construction, repairs)? 

4. If the wells are inactive what was the date they were last used? 

Z-15

Appendix Z National Multi Media Screening Inspection Worksheet 

SDWA-PWS


Interview Questions/Records Review 

1. What is the facility's source of drinking water? Does the facility have a private well? How 

many people does it serve? 

2. Is the water sampled and analyzed for contaminants? Are the results reported to the state 

or EPA? 

Z-16

Appendix Z National Multi Media Screening Inspection Worksheet 

ENVIRONMENTAL ASSESSMENT


1. Is there any evidence of environmental impacts that haven't been addressed? Possible 

examples include: 

- additional evidence of spills, leaks 

- vegetation damage in the surrounding area 

- odors in the surrounding neighborhood 

- neighborhood covered with "dusts" 

- poor water quality in streams near the facility. 

2. Were there situations of possible excessive occupational exposure that should be referred 

to OSHA? 

Z-17

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Z-18

 APPENDIX AA 

BIO-SECURITY GUIDANCE (Final) 
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Appendix AA Bio-Security 

Guidance 

December 10, 2001 

MEMORANDUM 

SUBJECT:	 Routine Biosecurity Procedures for EPA Personnel Visiting Farms, 

Ranches, Slaughterhouses and other Facilities with Livestock and Poultry 

FROM: Michael M. Stahl, Director /s/ 

Office of Compliance 

TO:	 Acting and Current Regional Administrators and Deputy Regional 

Administrators 

Attached is the final biosecurity guidance for EPA personnel visiting livestock or 

poultry facilities, including ranches, dairies, feed yards, sale yards, swine premises, 

slaughterhouses, and other facilities where there are animals or unprocessed animal 

tissues that may transmit diseases. The guidance was prompted by heightened 

national concern about the spread of animal diseases. Failing to take appropriate steps 

to prevent disease transmission could result in severe financial impacts on farmers and 

the destruction of potentially many of thousands of animals. 

While EPA had already incorporated biosecurity discussions into basic CAFO 

Inspector Training, it was clear that EPA needed to formalize and to reinforce 

biosecurity measures. Also, while CAFO inspections could be one avenue for possible 

disease transmission by EPA personnel, guidelines were needed for all EPA field 

activities that could affect livestock. 

The guidance was developed in coordination with USDA’s Natural Resources 

Conservation Service and Animal and Plant Health Inspection Service (APHIS) and the 

Food and Drug Administration. We circulated drafts for comment to these 

organizations, EPA headquarters offices, regions, states, and academic and industry 

contacts. The final guidance relies heavily on and incorporates much of guidance 

developed by APHIS for USDA employees on June 21, 2001. My thanks to all who 

contributed to the development of this guidance. 

AA-1

Appendix AA Bio-Security 

Guidance 

If you have any questions about this guidance, please contact me or Carol Galloway, 

National Agriculture Compliance Assistance Center, at 913-551-5008. 

Attachment: 

Routine Biosecurity Procedures for EPA Personnel Visiting Farms, Ranches, 

Slaughterhouses, and Other Facilities with Livestock and Poultry 

cc:	 Sylvia Lowrance, OECA, AAA (w/o attachments) 

Rick Colbert, OC/AgD (w/o attachments) 

Regional Enforcement Coordinators, Regions 1-10 (electronic only) 

National Agriculture Sector Contacts (electronic only) 

Eric Schaeffer, Director, ORE 

James Makris, Director, CEPPO 

Marcia Mulkey, Director, OPP 

Michael Cook, Director, OWM 

John Seitz, Director, OAQPS 

John Chamberlin, OARM, OA 

Ty Vannieuwenhoven, USDA, APHIS 

Tom Christensen, USDA, NRCS 

Julius Jimeno, OARM, OA, SHEMD 

Jeff Davidson, OARM, OA, SHEMD 

Judy Nelson, OPPTS 

Jean-Mari Peltier, OA 

Ray Mars, FDA 

AA-2

Appendix AA Bio-Security 

Guidance 

ROUTINE BIOSECURITY PROCEDURES FOR EPA PERSONNEL VISITING FARMS, 

RANCHES,SLAUGHTERHOUSESANDOTHER FACILITIES WITH LIVESTOCK ANDPOULTRY 

This guidance establishes routine procedures to minimize the risk of EPA personnel 

transmitting animal diseases from livestock or poultry facilities, including farms, ranches, dairies, 

feed yards, sale yards, swine premises, slaughterhouses, and other facilities where there are 

animals or unprocessed animal tissues, secretions or excretions (including saliva, manure or urine, 

soiled feed, bedding, water or dirt, milk) to livestock or poultry. Often, owners/producers have 

adopted more stringent biosecurity measures than these procedures. More stringent measures 

might include specific directions on site entry (e.g., showering, changing clothes to come onto or 

leave the premises, vehicle washing), or vehicle travel on the site, and other measures. EPA 

should discuss appropriate biosecurity measures with the operator prior to entering animal areas, 

and are encouraged to follow the more stringent measures. 

Separate emergency procedures will be applicable in cases of actual outbreaks of contagious 

animal diseases. In such a case, EPA generally will avoid visiting affected areas and will 

coordinate with USDA’s Animal and Plant Health Inspection Service (APHIS) and local emergency 

control authorities concerning activities in these areas. Periodically, EPA will contact the offices 

of the appropriate APHIS Area Veterinarians in Charge and the offices of the state veterinarians 

to identify any areas with existing emergency animal disease events. The addresses and 

telephone numbers of these offices are attached. 

EPA personnel should be aware of personal health and safety issues when visiting livestock 

facilities and consult with EPA’s Health and Safety staff with questions about proper procedures. 

Livestock facilities may include OSHA-defined “confined spaces,” e.g., manure pits. If staff need 

to enter such areas, all appropriate safety precautions must be followed. In addition, some animal 

diseases can be spread to humans, such as brucellosis (bacteria) and echinococcus (parasite).1 

Fortunately, the U.S. largely has eliminated major risk of disease transmission from animals to 

humans by a combination of veterinary medicine and state regulation. 

The following procedures are consistent with written procedures developed by APHIS for use 

by USDA personnel (June 12, 2001). 

Biosecurity Procedures 

•	 Individuals should not make on-site visits to livestock operations if they have visited a foreign 

country and were exposed to or had contact with farm animals (with or without a known 

contagious disease) within 5 days prior to the site visit. Also, clothing and shoes worn on 

foreign farm visits should be cleaned before use on U.S. facilities. 

• Thoroughly wash hands with soap and water or antibacterial wipes or gel before entering and 

1

Brucellosis is transmitted through contaminated and untreated milk and milk products 

and by direct contact with infected animals (cattle, sheep, goats, pigs, camels, buffaloes, and 

wild ruminants) or animal carcasses. It is extremely variable in humans. The acute form (less 

than 8 weeks from illness onset) may result in nonspecific and "flu-like" symptoms including 

fever, sweats, malaise, anorexia, headache, myalgia, and back pain. Echinococcus granulosus 

lives on dogs and livestock, and infects humans through contact with these animals. Allergic 

reactions and damage to various organs from cyst formation are the most common forms of 

disease in humans. 

AA-3 
Appendix AA Bio-Security 

Guidance 

after leaving any animal facility. Disposable latex gloves also may be used but not as a 

substitute for proper hand washing. 

• Park your vehicle on paved or concrete areas, away from farm production sites, to avoid 

contact with dirt, mud or manure. If not possible, be certain that tires are free of dirt and 

debris by hosing the tires and wheel wells before leaving the premises. If this does not clean 

the tires adequately, take the vehicle to a nearby pressure car wash. Including dates and 

types of vehicle washing in the vehicle log book is recommended. 

• Consider using a vehicle supplied by the facility operator for on site travel if available. 

•	 Prior to entering the site, put on disinfected rubber boots or other footwear that has been 

cleaned and disinfected, or wear new disposable boot covers. The operator may have its own 

coveralls and boots for you to wear. However, if visiting only low-risk areas, such as offices 

that are located away from animal areas, clean street shoes or boots are acceptable (hand 

washing is still needed). [Note: Boot covers may not provide sufficient traction to safely 

navigate slopes surrounding lagoons and pits. Personnel may want to use tape to secure the 

boot cover to prevent slippage]. 

•	 On entering a facility, acknowledge any and all other livestock facilities visited within the 

previous 48 hours including whether or not EPA entered any animal confinement or waste 

storage areas. 

•	 Inform the operator of where the EPA staff wants to go on the site, determine what biosecurity 

procedures, if any, the owner/operator has for the on-site locations to be visited, and 

determine which biosecurity procedures will be followed for the areas to be visited. 

•	 EPA should only enter animal production buildings if it is essential to complete the goals of the 

visit, and should avoid contact with livestock, poultry or other animals (wild or domestic) on 

any facility. If close contact with animals is expected, including walking through narrowly 

confined pens or lots where animals are within reach, wearing coveralls is recommended. 

• Designate the interior of your vehicle as a “clean area” and keep clean supplies in this area. 

•	 Designate a “dirty area” of your vehicle, such as the trunk of the car or a specified enclosed 

area of a truck bed for double bagged clothes or dirty equipment to be taken off site. 

AA-4

Appendix AA Bio-Security 

Guidance 

•	 Before leaving the site, clean and disinfect boots or tightly bag boots for later cleaning. Scrub 

boot bottom and sides to remove all dirt and debris, then wash with disinfectant solution. 

Disinfectants are not effective on dirt, manure or other organic matter. 

• Clean and disinfect equipment if contaminated. 

•	 Use disinfectants that have been registered (or exempted) by EPA for the intended use (see 

below). Keep a copy of the label and the Material Safety Data Sheet (MSDS) for any 

registered disinfectant used and make both available to the facility upon its request. Follow 

all label safety precautions and dispose of empty containers, unuseddisinfectant solution, and 

used disinfectant in accordance with label instructions. 

•	 If non-disposable clothing is soiled with manure, blood, milk, or other animal secretions or 

there has been close contact with livestock (actual handling or walking where animals were 

within reach), before leaving the site, double bag clothing for later cleaning. 

•	 Dispose of soiled boot covers, and disposable clothing on-site if acceptable to the 

owner/operator. Where on-site disposal is not possible, double bag and tightly seal all 

contaminated clothing and gear in disposable bags. 

•	 Inform the owner/operator of the areas of the site that were visited, and the biosecurity 

procedures taken. This can be done at an inspection closing conference. 

Supplies: 

– clean boots or new disposable boot covers 

– clean change of clothing or coveralls 

– appropriate registered or exempted disinfectant (see below) 

– water (at least minimum required for hand washing and disinfection) 

– a bucket or tray to contain disinfectant 

– long handled brush 

– clean bags for trash disposal or storage of items to be cleaned 

– liquid and/or gel antibacterial soap or wipes 

– first aid kit including an eye wash 

–	 phone numbers of the state veterinarian or other local officials available in case you 

suspect animal diseases are present. Share any such observations with the 

owner/operator as soon as possible 

Disinfectants for Routine Biosecurity 

The following products are currently registered by EPA as being effective against a broad range 

of disease-causing organisms, including Foot and Mouth Disease; they are not effective against 

all disease-causing organisms. Consult the label information and, if other diseases are a concern, 

consult the state veterinarian or state department of agriculture. 

Virkon S (EPA Reg. No. 62432-1, label and MSDS) 

Oxonia Active (EPA Reg. No. 1677-129, label and MSDS) 

There are also two household chemicals subject to EPA Section 18 “quarantine exemptions” 

(i.e., they are exempted from FIFRA pesticide registration requirements) for use as Foot and Mouth 

Disease disinfectants. They are issued to APHIS but designed so that the general public can make 

treatments themselves using these chemicals. One permits vinegar (acetic acid) to be applied as 

a 4% solution, and the other permits bleach (sodium hypochlorite) to be used in a solution of 3 

parts bleach to 2 parts water. Information on these Section 18 actions is attached. 

AA-5

Appendix AA Bio-Security 

Guidance 

Attachments: 

1. APHIS Veterinary Series Area Offices and State Veterinarians 

2.	 Copies of EPA-approved labels for Virkon S (April 26, 2001) and Oxonia Active 

(May 11, 2001) and associated Material Safety Data Sheets 

3. Section 18s for Acetic Acid and Sodium Hypochlorite (Bleach) 

Disclaimer 

The discussion in this document is intended solely as guidance. This document is not a regulation. 

It does not impose legally binding requirements on EPA, states, or the regulated community. This 

guidance does not confer legal rights or impose legal obligations upon any member of the public. 

The general description provided here may not apply to a particular situation based on the 

circumstances. Interested parties are free to raise questions and objections about the substance 

of this guidance and the appropriateness of the application of this guidance to a particularsituation. 

EPA retains the discretion to adopt approaches on a case-by-case basis that differ from those 

described in this guidance where appropriate. This document may be revised periodically without 

public notice. EPA welcomes public input on this document at any time. 

AA-6

Chapter Sixteen Concentrated Animal Feeding Operations 

Appendix BB 

NPDES CAFO Permit NMP Nine Minimum 

Standards Review Checklist 
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Appendix CC Integrated Compliance Information System (ICIS) Screen Shots 

APPENDIX CC


INTEGRATED COMPLIANCE INFORMATION


SYSTEM (ICIS) SCREEN SHOTS

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Office of Enforcement and Compliance Assurance ICIS User Guide 

9.1.4 Compliance Monitoring 

The Compliance Monitoring screens capture data on information requests, compliance 

inspections, compliance investigations, and off-site record reviews. These screens incorporate 

data elements from the Inspection Conclusion Data Sheet (ICDS) and Enforcement and 

Compliance data standards. All available information is initially entered through the Add 

Compliance Monitoring screen (Figure 9.1.4-1). When the user saves the data on the Add 

Compliance Monitoring screen, the Compliance Monitoring Detail (Figure 9.1.4-2) screen is 

displayed. Data can be added or updated as required via the Compliance Monitoring Detail 

screen. The Compliance Monitoring Detail screen is also displayed when the user clicks on a 

Compliance Monitoring link on the All Compliance Monitoring screen (Section 9.3.3) to edit a 

particular activity. Fields and button functionality for the Add Compliance Monitoring and 

Compliance Monitoring Detail screens are described in Table 9.1.4-1 and Table 9.1.4-2 

respectively. 

See Section 8 (i.e., Common Objects) for a discussion of left side menu topics (i.e., Sub 

Activities, Related Activities, Facility, Contacts, Regional Fields). 

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Figure 9.1.4-1: Add Compliance Monitoring Screen 

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Figure 9.1.4-2: Compliance Monitoring Detail Screen 

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Table 9.1.4-1: Compliance Monitoring Fields 

Field Description Business Rules/Instructions 

• Facility Name 

• Facility ID 

• Street Address 

• City 

• State 

• Program ID. 

These fields identify the facility site 

that is related to the compliance 

monitoring activity. 

• Facility information is display only and 

only appears on the Detail screen. 

• These fields are blank when the screen 

is initially displayed after adding the 

activity through the Add Compliance 

Monitoring screen. are populated 

as a result of the user linking a facility to 

the activity using the Facility side menu 

option. 

• If multiple facilities are linked to the 

activity, data for the first facility that was 

linked are displayed. 

They

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Field Description Business Rules/Instructions 

Compliance Activity 

Type 

This is the type of compliance 

monitoring action taken by a 

regulatory agency (i.e., Information 

Request, Off-site Review). A dropdown list of valid values is provided, 

which contains:* 

• Information Request - An 

enforceable, written request for 

information to a regulated entity or 

potentially regulated entity about a 

site, facility, or activity. Examples 

include issuance of a subpoena 

for the production of documents or 

testimony, or a requirement that a 

facility conduct testing or sampling 

(e.g., a stack test). 

• Compliance Inspection - A visit to 

a facility or site for the purpose of 

gathering information to determine 

compliance including direct 

observations of facility operations. 

Examples include inspections 

pursuant to a search warrant or an 

order in aid of access; inspections 

at a regulated entity’s office 

location; and off-site observations 

of a facility or site. 

• Compliance Investigation - An 

extraordinary, detailed 

assessment of a regulated entity’s 

compliance status. 

• Off-site Record Review - A review 

of records, conducted at the 

government agency’s offices, for 

the purpose of reviewing 

information to determine 

compliance of a regulated entity. 

Examples include the review of 

the reports of facility-conducted 

testing or sampling tests 

submitted by the regulated entity; 

the review of self-reported 

information from regulated 

entities, including information 

required to be submitted (e.g., 

Discharge Monitoring Report 

[DMR] or CAA Title V selfcertifications) and voluntarily 

submitted information. 

• Voluntary Disclosure – The 

voluntary submission of 

information regarding a potential 

violation. 

*Note: Definition of terms is not 

provided in the drop-down list. 

• Compliance Activity Type only appears 

on the Add Compliance Monitoring 

screen. The user cannot modify 

Compliance Activity Type once the 

activity is saved. 

• Compliance Activity Type is required; 

the user must select a value from the 

drop-down list. 

• If the user selects Voluntary Disclosure, 

the alert, ‘You have made a request 

that will take you to another Page. All 

changes on this page will be lost.’, is 

displayed. The user then has the 

option of clicking OK to display the 

Voluntary Disclosure Detail screen or 

Cancel to return to the Add Compliance 

Monitoring screen. 

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Field Description Business Rules/Instructions 

Compliance Monitoring 

Activity Name 

This is the name given to the 

Compliance Monitoring activity to 

allow users to identify the 

Compliance Monitoring data. This 

field is a concatenation of the name 

that the user entered through the Add 

screen and the statute code that they 

selected. 

Compliance Monitoring Activity Name is 

required. The user must enter a name in 

this field. 

Compliance Monitoring 

Type 

This is a description of the type of 

Compliance Monitoring activity taken 

by a regulatory Agency. Inspections 

to determine the compliance of a 

facility or regulated entity with the 

terms of a previously issued 

enforcement instrument are included 

here. A drop-down list of valid values 

is provided. 

• Compliance Monitoring Type is a 

required field. The user must select a 

value from the drop-down list. 

• The contents of the drop-down list are 

filtered based on the value of 

Compliance Activity Type. 

Region This is the EPA region associated 

with the monitoring activity. A dropdown list of valid values is provided 

on the Add screen. 

Region is required: 

• Add screen: 

− For regional users, Region defaults 

to the login user’s region as 

determined through their roles. 

− Headquarters users or users 

affiliated with more than one region 

must select a region from the dropdown list. 

• Detail screen: Region is display only 

and defaults to the region that was 

entered/defaulted to on the Add screen. 

Planned Start This is the date that the Compliance 

Monitoring action is planned to begin. 

The user may enter Planned Start by using 

the calendar icon to select a date from the 

calendar pop-up or by typing a date directly 

in the field. If entered, Planned Start: 

• Must be a valid date in mm/dd/yyyy 

format 

• Can be a past, current, or future date 

• Cannot be after the Planned 

Completion date. 

Planned Completion This is the date that the Compliance 

Monitoring action is planned to end. 

The user may enter Planned Completion 

by using the calendar icon to select a date 

from the calendar pop-up or by typing a 

date directly in the field. If entered, 

Planned Completion: 

• Must be a valid date in mm/dd/yyyy 

format 

• Can be a past, current, or future date 

• Cannot be prior to the Planned Start 

Date. 

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Field Description Business Rules/Instructions 

Actual Start This is the date that the Compliance 

Monitoring action was performed or 

conducted (i.e., ICDS - Date of 

Inspection). 

The user may enter Actual Start by using 

the calendar icon to select a date from the 

calendar pop-up or by typing a date directly 

in the field. 

If entered, Actual Start: 

• Must be a valid date in mm/dd/yyyy 

format 

• Can be a past or current date 

• Cannot be a future date 

• Cannot be greater than the Actual 

Completion date. 

Actual End This is the actual date on which the 

Compliance Monitoring activity was 

completed. 

The user may enter Actual End by using 

the calendar icon to select a date from the 

calendar pop-up or by typing a date directly 

in the field. 

If entered, Actual End: 

• Must be a valid date in mm/dd/yyyy 

format 

• Can be a past or current date 

• Cannot be a future date 

• Date cannot be prior to the Actual Start 

date. 

Federal Statutes This is the law(s) that is permitting 

the Compliance Monitoring action. 

• Federal Statutes is a required field. 

The user must click on the Edit Statutes 

button to select one or more statutes 

from the resulting multi-select pop-up 

window. 

• Statutes are filtered based on the 

Program(s) to which the user is 

affiliated through their role(s). 

• To create a multi-media activity, the 

user must select multiple statutes, as 

well as at least one corresponding 

section for each statute selected. 

• When multiple statutes are saved, 

individual compliance monitoring 

activities are created for each statute 

and are displayed on separate 

Compliance Monitoring Detail screens. 

Sections This is the section(s) of law(s) that is 

authorizing the Compliance 

Monitoring action. 

• Sections is a required field. The user 

must click on the Edit Sections button to 

select one or more sections from the 

resulting multi-select pop-up window. 

• Sections are filtered based on both the 

Program(s) to which the user is 

affiliated through their role(s) as well as 

the selected statutes. 

• The user must select at least one 

section for a listed statute for that 

statute to be saved with the activity. 

• To create a multi-media activity, the 

user must select multiple statutes, as 

well as at least one corresponding 

section for each statute selected. 

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Field Description Business Rules/Instructions 

Citations This is the Code of Federal 

Regulations (CFRs) that permits the 

monitoring action. 

Citation is composed of three 

components: 

• Title 

• Part 

• Section. 

Citations is an optional field; however, to 

add one or more citations to the activity, 

the user: 

• Must click on the Edit Citations button 

to display the Citations data entry popup window 

• Must enter data in each of the three 

components (Title on the first citation 

defaults to 40 CFR; however, the user 

may edit this value) 

• May enter up to five citations at a time. 

To add more than five citations, the 

user must once again click on the Edit 

Citations button. 

Programs This is the EPA program applicable to 

the monitoring activity. 

Programs is display only and is 

automatically populated based on the 

Section(s) that the user selects. 

SIC This is the 4-digit Standard Industrial 

Classification (SIC) code that 

represents the economic activity of a 

company. 

SIC is an optional field; however, to enter 

data in this list box, the user must click on 

the Edit SIC button to select one or more 

SICs from the resulting multi-select pop-up 

window. 

NAICS This is the 6-digit code that 

represents a subdivision of an 

industry that accommodates user 

needs in the United States. 

NAICS is an optional field; however, to 

enter data in this list box, the user must 

click on the Edit NAICS button to select 

one or more NAICS from the resulting 

multi-select pop-up window. 

Media Monitored This is the description of the media 

associated with the EPA programs. 

A drop-down list of valid values is 

provided. 

The user selects a value from a drop-down 

list. 

Compliance Monitoring 

Action Reason 

This is the reason for performing a 

Compliance Monitoring action. 

• Compliance Monitoring Action Reason 

is a required field. To enter data in this 

list box, the user must click on the Edit 

Reason button to select one or more 

Reasons from the resulting multi-select 

pop-up window. 

• Reasons are dependent on the 

Compliance Activity Type. If on the Add 

screen the user changes the 

Compliance Activity Type after selecting 

reasons but before saving, an alert is 

generated informing them that because 

the reasons are dependent on 

Compliance Activity Type, the 

previously selected values may no 

longer be valid and are being cleared. 

The users must then select new 

reasons. (This is not an issue on the 

Detail screen because Compliance 

Activity Type does not appear on that 

screen.) 

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Field Description Business Rules/Instructions 

Compliance Monitoring 

Agency Type 

This is the type of agency performing 

or conducting the Compliance 

Monitoring action. A drop-down list of 

valid values is provided. The list 

includes:* 

• U.S. EPA - United States 

Environmental Protection Agency 

• Other Federal - Another agency of 

the United States 

• State - State agency 

• Interstate - Interstate agency 

• Local - Local agency 

• Tribal - Tribal government agency. 

*Note: Acronyms are not spelled out 

in the drop-down list. 

Compliance Monitoring Agency Type is 

required. The user must select a value 

from the drop-down list. 

If State, Local, or Tribal 

lead, did EPA assist 

This is a check box that is used to 

indicate whether or not EPA was the 

lead agency. 

The default for this box is unchecked. The 

user cannot check this box if Compliance 

Monitoring Agency Type is U.S. EPA. 

Length of Activity in days This is the length of the monitoring 

activity in days (i.e., number of days 

to perform the inspection). 

This field is optional; however, when 

populating this field, the user must enter a 

whole number (i.e., zero or higher). 

Number of hours spent 

on the activity 

This is the total number of hours 

spent on the monitoring activity (i.e., 

hours spent on the investigation). 

This field is optional; however, when 

populating this field, the user must enter a 

whole number (i.e., zero or higher). 

Compliance Monitoring 

Activity Outcome. 

This is the result of the Compliance 

Monitoring action. A drop-down list of 

valid values is provided. 

Compliance Monitoring Activity Outcome is 

optional; however, to enter a value in this 

field, the user must select that value from 

the drop-down list. 

MOA Priorities This is the name of the Memorandum 

of Agreement (MOA) associated with 

the activity. 

• MOA Priorities is an optional field; 

however, to enter data in this list box, 

the user must click on the Edit MOA 

Priorities button to select one or more 

priorities from the resulting multi-select 

pop-up window. 

• Only current fiscal year priorities where 

Region is HQ are available to the user 

for selection. 

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Office of Enforcement and Compliance Assurance ICIS User Guide 

Field Description Business Rules/Instructions 

Regional Priorities The name of the regional priority 

associated with the activity. 

• Regional Priorities is an optional field; 

however, to enter data in this list box, 

the user must click on the Edit Regional 

Priorities button to select one or more 

priorities from the resulting multi-select 

pop-up window. 

• Only current fiscal year priorities 

affiliated with the entered/defaulted 

Region are available to the user for 

selection. 

• If on the Add screen the user changes 

the Region code after selecting regional 

priorities but before saving, an alert is 

generated informing them that because 

the priorities are dependent on region, 

the previously selected values may no 

longer be valid and are being cleared. 

The users must then either select new 

regional priorities or leave the field 

blank. (This is not an issue on the 

Detail screen because Region is display 

only and cannot be changed.) 

Multi-media Indicator This is a check box used to indicate 

that the Compliance Monitoring 

Action is a multi-media activity (i.e., a 

Compliance Monitoring Action 

designed to verify compliance with 

two or more distinct environmental 

programs conducted within a short 

time frame). 

• Multi-media Indicator only appears on 

the Compliance Monitoring Detail 

screen and then only when the current 

activity is a multi-media activity. 

• This indicator is display only and 

defaults to checked. 

Coordinated This is a check box used to indicate 

whether or not no more than three 

months may have elapsed between 

the inspection by one program and a 

subsequent inspection by another 

program. 

The default for this box is unchecked. To 

indicate that no more than three months 

may have elapsed between the inspection 

by one program and a subsequent 

inspection by another program, the user 

must check this box. 

Consolidated This is a check box used to indicate 

whether or not a single inspection 

covered two or more programs under 

different statutes. 

The default for this box is unchecked. To 

indicate that a single inspection covered 

two or more programs under different 

statutes, the user must check this box. 

Related Multimedia 

Actions: 

• Actual Date 

• Activity Name 

• Facility Name 

• Programmatic ID. 

This section identifies, in tabular 

format, those activities that are 

related to the current activity through 

a multi-media action. It is populated 

when the user selects multiple 

statute/law section combinations on 

either the Add or Detail screen, 

thereby creating individual 

compliance monitoring activities for 

each selected statute. 

• This section is display only and only 

appears on the Detail screen. 

• The user may click on the Activity 

Name link of a listed activity to display 

the Compliance Monitoring Detail 

screen for that named multi-media 

activity. 

• Each listed activity is linked to each of 

the other listed activities and is also 

listed in the Related Multimedia Actions 

sections on those activities’ Detail 

screens. 

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Field Description Business Rules/Instructions 

If you observed 

deficiencies during 

inspection, did you 

communicate the 

deficiencies to the facility 

at that time? 

These radio buttons are used to 

identify whether or not the facility was 

made aware of the observed 

deficiencies according to regional 

policies. 

The user has three options concerning 

these radio buttons: 

• To indicate that deficiencies were 

observed and communicated to the 

facility, the user must click on the Yes 

radio button. 

• To indicate that deficiencies were 

observed but not communicated to the 

facility, the user must click on the No 

radio button. 

• To indicate that deficiencies were not 

observed, the user must not select 

either radio button. 

The user must select either of the two radio 

buttons when Deficiencies are selected. 

(See below.) 

Deficiencies These are the deficiencies that were 

observed during the inspection. 

• To enter data in this list box, the user 

must click on the Edit Deficiencies 

button to select one or more 

deficiencies from the resulting multiselect pop-up window. 

• The user must enter one or more 

deficiencies when either the Yes or No 

radio button is selected in answer to the 

question,’ If you observed deficiencies 

during inspection, did you communicate 

the deficiencies to the facility at that 

time?’ 

• The user cannot enter any deficiencies 

when neither radio button is selected. 

Did you observe or see 

the facility take any 

actions during the 

inspection to address the 

deficiencies noted? 

These radio buttons are used to 

indicate whether or not any actions 

were taken by the facility to correct 

deficiencies. 

The user must select one of these radio 

buttons if they select either Yes or No in 

answer to the question, ’ If you observed 

deficiencies during inspection, did you 

communicate the deficiencies to the facility 

at that time?’: 

• To indicate that the facility took actions 

or was observed to have taken actions 

to correct the noted deficiencies, the 

user must click on the Yes radio button. 

• To indicate that the facility did not take 

actions, or was not observed to have 

taken actions to correct the noted 

deficiencies, the user must click on the 

No radio button. 

If neither button was selected in answer to 

the question, ’ If you observed deficiencies 

during inspection, did you communicate 

the deficiencies to the facility at that time?’, 

then the user cannot select either Yes or 

No here. 

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Field Description Business Rules/Instructions 

If Yes, Corrective Action 

Taken 

This lists the corrective action(s) 

taken to address the noted 

deficiencies. 

• To enter data in this list box, the user 

must click on the Edit Corrective 

Actions button to select one or more 

actions from the resulting multi-select 

pop-up window. 

• The user must select one or more 

corrective actions when the answer to 

the question, ‘Did you observe or see 

the facility take any actions during the 

inspection to address the deficiencies 

noted?’, is Yes. 

• The user cannot select any corrective 

actions when the answer to that 

question is No. 

Water Pollutants This lists the water pollutant(s) that 

were identified in the deficiency and 

had corrective action taken. 

• Water pollutants is an optional field; 

however, the user must select at least 

one water pollutant when the selected 

corrective actions include Reduced 

Pollution (e.g., User Reduction, Indstrl 

Process Change, Emissions or 

Discharge Change) is selected. 

• To enter data in this list box, the user 

must click on the Edit Water Pollutants 

button to select one or more pollutants 

from the resulting multi-select pop-up 

window. 

Air Pollutants This lists the air pollutant(s) that were 

identified in the deficiency and had 

corrective action taken. 

• Air Pollutants is an optional field; 

however, the user must select at least 

one air pollutant when the selected 

corrective actions include, Reduce(d) 

Pollution (e.g., Cease Excess Air 

Emissions). 

• To enter data in this list box, the user 

must click on the Edit Air Pollutants 

button to select one or more pollutants 

from the resulting multi-select pop-up 

window. 

Did you provide 

compliance assistance 

during the inspection? 

These radio buttons are used to 

indicate whether or not compliance 

assistance was given during the 

inspection. 

• To indicate that compliance assistance 

was given during the inspection, the 

user must click on the Yes radio button. 

• To indicate that compliance assistance 

was not given during the inspection, the 

user must click on the No radio button. 

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Field Description Business Rules/Instructions 

If yes, what type of 

assistance did you 

provide? 

These radio buttons are used to 

indicate what kind of compliance 

assistance, if any, was provided 

during the inspection: 

• Tier 1- Distribution or sharing 

information on regulatory 

compliance, P2, or technical 

written assistance materials or 

websites and EPA, state, and 

local assistance programs. 

• Tier 2 - Assistance when they 

share information and insight into 

a facility’s particular compliance 

problem and/or information on 

recognized industry practices to 

reduce or eliminate pollution at the 

facility. 

• Both – Both Tier 1 and Tier 2 

assistance was provided during 

the inspection. 

• The user must select one of these three 

radio buttons when the answer to the 

question, ‘Did you provide compliance 

assistance during the inspection?’ is 

Yes. 

• The user cannot select any of these 

three radio buttons when the question, 

‘Did you provide compliance assistance 

during the inspection?’, is not answered 

(i.e., neither the Yes or No radio button 

is selected) or the answer is No. 

Summary Comments EPA inspectors may wish to provide 

a narrative description of actions 

taken by the facility or assistance to 

help the facility come into 

compliance. 

Table 9.1.4-2: Compliance Monitoring Buttons 

Button Actions 

Button Action 

Save The user clicks on this button to validate and save the compliance monitoring data. 

If required fields are left blank at the time of the save, an alert, ‘The following fields 

are required:', listing the required fields is displayed. The user must enter each of 

the listed fields before attempting to save again. If a field fails the edit criteria, then 

an appropriate alert is displayed informing the user of the error and the user must 

correct the data before attempting to save again. Once the monitoring activity is 

successfully saved, the Compliance Monitoring Detail screen is automatically 

displayed, populated with the entered data. The message, ‘**Data has been 

successfully saved at <date, time>**’ is displayed left aligned beneath the screen 

title. 

Reset The user clicks on Reset to revert the screen to its initial display values. Upon 

clicking on this button, the confirmation message, ‘Do you want to reset this record’s 

data?’, is displayed. The user then has the option of clicking on OK to clear the 

entered data and revert to the screen defaults on the Add screen or to the last 

saved record on the Detail screen, or clicking on Cancel to leave the screen 

populated with the data that they have just entered and/or updated. 

Delete • The user clicks on this button to display a pop-up window that lists the number of 

dependencies linked to the current incident and prompts the user to confirm their 

intent to delete it (i.e., The Activity <compliance monitoring name> has the 

following dependencies. Do you want to delete it?). 

• This button is only available on the Compliance Monitoring Detail screen. 

• This button is only available for users with the rights to delete Compliance 

Monitoring activities. 

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Button Actions 

Button Action 

Release Data • The user clicks on this button to display a pop-up window that lists the number of 

dependencies linked to the current Compliance Monitoring activity and prompts 

the user to confirm their intent to release it (i.e., The Activity <compliance 

monitoring name> has the following dependencies. Do you want to release it?). 

• This button is only available on the Compliance Monitoring Detail screen. 

• This button is only available for users with the rights to release Compliance 

Monitoring data from internal review for the program associated with the 

Compliance Monitoring activity. 

• See Section 4 for a description of the Internal Review functionality. 

Add Compliance 

Determination 

• The user clicks on this button to open the Add Compliance Determination screen 

from the Compliance Monitoring Detail screen. The user must click on Save to 

save any updates input on the Compliance Monitoring Detail screen; the Add 

Compliance Determination button will not save the monitoring data. 

• This button is only available on the Compliance Monitoring Detail screen. 

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