i

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

OSWER Directive 9938.02b

October 1993

REVISED RCRA INSPECTION

MANUAL

(November 1998 Revision)

UNITED STATES ENVIRONMENTAL

PROTECTION AGENCY

Office of Waste Programs Enforcement

RCRA Enforcement Division
OSWER Dir. No. 9938.02(b)

ii

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Disclaimer

The policies and procedures established in this document are intended solely

for the guidance of employees of the U.S. Environmental Protection Agency. They are

not intended and cannot be relied upon to create any rights, substantive or procedural,

enforceable by any party in litigation with the United States. EPA reserves the right to

act at variance with these policies and procedures and to change them at any time

without public notice.

Revision

This document was originally written in 1993 and has recently been converted

to an electronic format. At the time of conversion, Appendix III, Table III-7 and

Appendix IV, Land Disposal Restriction Checklist were updated as of November, 1998.

Although other portions of the document have not been updated in this revision, they

may have been superceded by more current information. EPA strongly encourages

readers to verify the validity of information by contained in this document by consulting

the most recent Code of Federal Regulations and guidance documents.
OSWER Dir. No. 9938.02(b)

iii

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Table of Contents

SECTION PAGE

1.0 Introduction.............................................................................................. 1-1

1.1 Background..................................................................................... 1-2

1.2 Enforcement Overview.................................................................... 1-8

1.3 Enforcement Priorities..................................................................... 1-10

1.4 Authority and Limitations of Inspectors........................................... 1-12

1.5 Health and Safety Considerations .................................................... 1-16

1.6 Work Ethics.................................................................................... 1-19

1.7 Summary......................................................................................... 1-21

2.0 Preparing for an Inspection...................................................................... 2-1

2.1 Introduction—Purpose and Objectives of Inspection

Preparation...................................................................................... 2-2

2.2 Defining the Scope of an Inspection................................................. 2-4

2.3 Coordinating an Inspection.............................................................. 2-6

2.4 Reviewing a Facility File.................................................................. 2-8

2.5 Reviewing Applicable Regulations................................................... 2-11

2.6 Developing Facility-Specific Inspection Plans and Checklists........... 2-13

2.7 Identifying Inspection Equipment .................................................... 2-16

2.8 Completing a Pre-Inspection Worksheet.......................................... 2-19

2.9 Summary......................................................................................... 2-21

3.0 Procedure for Developing Permit-Specific TSDF Inspection

Plans.......................................................................................................... 3-1

3.1 Introduction .................................................................................... 3-2

3.2 Developing An Inspection Protocol ................................................. 3-6

3.3 Summary......................................................................................... 3-22

4.0 Conducting an Inspection ........................................................................ 4-1

4.1 Introduction .................................................................................... 4-3

4.2 Facility Entry................................................................................... 4-4

4.3 Opening Discussion......................................................................... 4-10

4.4 Operations, Waste Handling, and Record Review ............................ 4-12

4.5 Visual Inspection Procedures........................................................... 4-17

4.6 Documentation................................................................................ 4-22

4.7 Closing Discussion .......................................................................... 4-25

4.8 Summary......................................................................................... 4-28
OSWER Dir. No. 9938.02(b)

iv

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Table of Contents

SECTION PAGE

5.0 Inspection Follow-Up............................................................................. 5-1

5.1 Introduction ................................................................................. 5-2

5.2 Report Preparation ....................................................................... 5-3

5.3 Report Elements........................................................................... 5-5

5.4 Follow-up Discussions and File Preparation.................................. 5-9

5.5 Disclosure of Official Information................................................. 5-11

5.6 Summary...................................................................................... 5-13

Appendix I: Keeping Up With Current RCRA Regulatory

Concerns............................................................................ I-1

Appendix II: Glossary ............................................................................. II-1

Appendix III: Regulatory Requirement Synopsis and Inspection

Procedures ......................................................................... III-1

Introduction......................................................................... III-2

Table III-1 Part 261 - Identification of Hazardous

Waste .................................................................................. III-4

Table III-2 Part 262 - Generator Regulatory

Requirements....................................................................... III-30

Table III-3 Part 263 - Transporter Regulatory

Requirements....................................................................... III-54

Table III-4 Part 265 - Interim Status Facility

Regulatory Requirements..................................................... III-64

Table III-5 Part 264 - Permitted Facility Regulatory

Requirements....................................................................... III-192

Table III-6 Part 266 - Standards for Management of

Specific Hazardous Wastes and Specific Types of

Hazardous Waste Management Facilities ............................. III-236
OSWER Dir. No. 9938.02(b)

v

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Table of Contents

SECTION PAGE

Appendix III: Regulatory Requirement Synopsis and Inspection

Procedures (Continued)

Table III-7 Part 268 - Land Disposal Restrictions

Regulatory Requirements..................................................... III-284

Table III-8 Part 279 - Used Oil Management

Standards............................................................................. III-347

Appendix IV: Inspection Checklists......................................................... IV-1

1. General Site Inspection Information Form................... IV-2

2. General Facility Checklist............................................ IV-3

3. Air Emissions Checklist............................................... IV-10

4. Containers Checklist ................................................... IV-31

5. Generators Checklist................................................... IV-32

6. Ground-Water Monitoring Checklist ........................... IV-38

7. Health and Safety Checklist......................................... IV-45

8. Incinerator Checklist ................................................... IV-58

9. Land Disposal Restrictions Checklist........................... IV-80

10. Landfills Checklist....................................................... IV-115

11. Land Treatment Checklist ........................................... IV-119

12. Surface Impoundments Checklist................................. IV-125

13. Thermal Treatment Checklist ...................................... IV-130

14. Transporters Checklist ................................................ IV-133

15. Waste Information Checklist ....................................... IV-136

16. Waste Piles Checklist .................................................. IV-140

17. RCRA Waste Minimization Checklist.......................... IV-143

Appendix V: Additional Resources......................................................... V-1

Appendix VI: Significant Recent RCRA Federal Register Entries......... VI-1
OSWER Dir. No. 9938.02(b)

vi

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

List of Exhibits

PAGE

Exhibit 1-1: RCRA Mixed Waste Authorization as of

May 1, 1993................................................................................. 1-6

Exhibit 1-2: RCRA Corrective Action Authorization as of

May 1, 1993................................................................................. 1-7

Exhibit 1-3: Inspection Types and Relevant Guidance ...................................... 1-9

Exhibit 1-4: RCRA Section 3007 (as amended by the Solid Waste

Disposal Act of 1980 and the Hazardous and

Solid Waste Amendments of 1984)............................................... 1-13

Exhibit 1-5: Health and Safety Guidance Documents ....................................... 1-17

Exhibit 2-1: Inspection Preparation Summary .................................................. 2-3

Exhibit 2-2: Contents of an Inspection File....................................................... 2-10

Exhibit 2-3: List of Inspection Equipment........................................................ 2-17

Exhibit 2-4: Pre-Inspection Worksheet............................................................. 2-20

Exhibit 3-1: Map of ABC Manufacturing Facility............................................. 3-8

Exhibit 3-2: Waste Analysis Plan Permit Conditions and

Inspection Questions .................................................................... 3-17

Exhibit 3-3: Unit-Specific Permit Conditions and Inspection

Questions..................................................................................... 3-19

Exhibit 3-4: ABC Manufacturing Facility’s Corrective

Action Conditions......................................................................... 3-21

Exhibit 4-1: Format for Denial-of-Access Report............................................. 4-7

Exhibit 4-2: Required Submittals to the Regional Administrator....................... 4-15

Exhibit 5-1: Recommended Narrative Outline for Inspection

Report.......................................................................................... 5-7
OSWER Dir. No. 9938.02(b)

vii

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Foreword

The RCRA Inspection Manual was originally developed and issued by the RCRA Enforcement

Division of U.S. EPA's Office of Waste Programs Enforcement in 1988. The Manual was intended for the

exclusive use of inspection personnel in conducting field inspections of RCRA-regulated facilities under

U.S. EPA or State program authorities. Since 1988, significant regulatory developments have occurred

and the need to provide a more useful tool for inspectors has grown.

The overall goal of this Manual, then, is to provide useful procedural and technical information

to determine facility compliance with RCRA standards. Specific objectives are as follows:

• To provide a detailed overview of the elements of RCRA Compliance Evaluation

Inspections (CEIs)

• To describe the scope of inspector authorities and responsibilities

• To provide detailed standard procedures for performing RCRA inspections

• To provide general inspection information that is comprehensive in scope and

complements more detailed guidance on inspecting particular types of hazardous waste

facilities

• To provide a basis for general training of new inspection personnel in RCRA inspection

procedures

• To make essential regulatory information readily accessible to inspectors.

OSWER Dir. No. 9938.02(b)

1-1

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.0 Introduction

SECTION PAGE

1.1 Background............................................................................................... 1-2

Introduction................................................................................................ 1-2

The RCRA Program ................................................................................... 1-3

Federal RCRA Standards............................................................................ 1-4

State Authorization in the RCRA Program.................................................. 1-4

1.2 Enforcement Overview............................................................................. 1-8

Types of Inspections................................................................................... 1-8

Enforcement Actions................................................................................... 1-8

1.3 Enforcement Priorities.............................................................................. 1-10

1.4 Authority and Limitations of Inspectors ................................................. 1-12

Confidential Business Information............................................................... 1-15

1.5 Health and Safety Considerations............................................................ 1-16

1.6 Work Ethics.............................................................................................. 1-19

Conflicts of Interest .................................................................................... 1-19

Public Relations.......................................................................................... 1-19

Gifts, Gratuities, Favors, Luncheons, Etc. ................................................... 1-20

Attempted Bribery ...................................................................................... 1-20

1.7 Summary................................................................................................... 1-21
OSWER Dir. No. 9938.02(b)

1-2

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.1 Background

Introduction

This chapter will:

• Provide an overview of the RCRA program, summarizing the purpose of the statute,

applicable federal regulatory standards, and authorization of state RCRA programs

• Provide an overview of the RCRA enforcement program, including a description of the

types of RCRA inspections, their role in the enforcement program, and available

guidance

• Briefly explain the basis for the RCRA program's enforcement priorities and their

potential impact on inspectors

• Summarize an inspector's authority and responsibilities under RCRA §3007

• Offer insight into health and safety concerns about which inspectors should be aware

• Discuss the work ethics expected of an inspector.

The remainder of this Manual will provide inspectors with detailed procedures and guidelines for

inspection preparation, conducting inspections, and inspection follow-up.

PREPARING 

FOR 

INSPECTIONS

CONDUCTING 

INSPECTIONS

INSPECTION 

FOLLOW-UP

Chapters 2 & 3

Chapter 4

Chapter 5
OSWER Dir. No. 9938.02(b)

1-3

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

The primary purpose of this Manual is to provide procedural and technical guidance for

performing inspections of facilities regulated by the Resource Conservation and Recovery Act of 1976

(RCRA). The main text consists of five sections and discusses pre-inspection, inspection, and postinspection procedures. The remainder of the Manual contains appendices that provide technical

information of potential use to inspectors.

The procedures covered in the main text relate to performance of Compliance Evaluation

Inspections (CEIs) of hazardous waste generators; transporters; and treatment, storage, and disposal

facilities (TSDFs). However, these procedures may also be applicable to other types of RCRA inspections

(which are discussed in Section 1.2); they are general and are not intended to be prescriptive, in deference

to Regional and state differences in approaches and procedures. Inspectors using this Manual should be

aware of and follow additional Regional or state guidance supplementing the information provided herein.

The RCRA Program

RCRA is the primary statute governing the regulation of solid and hazardous waste. It

completely replaced the Solid Waste Disposal Act of 1965 and supplemented the Resource Recovery Act

of 1970; RCRA itself was substantially amended by the Hazardous and Solid Waste Amendments of 1984

(HSWA).

The principal objectives of RCRA, as amended, are to:

• Promote the protection of human health and the environment from

potential adverse effects of improper solid and hazardous waste 

management

• Conserve material and energy resources through waste recycling and 

recovery

• Reduce or eliminate the generation of hazardous waste as expeditiously as 

possible.

To achieve these objectives, RCRA authorizes EPA to regulate the generation, treatment, storage,

transportation, and disposal of hazardous wastes.1 The structure of the national hazardous waste

regulatory program envisioned by Congress is laid out in Subtitle C of RCRA (Sections 3001 through

3019), which authorizes EPA to:

• Promulgate standards governing hazardous waste generation and management

• Promulgate standards for permitting hazardous waste treatment, storage, and disposal

facilities

• Inspect hazardous waste management facilities

 

1 RCRA also provides EPA with authority to regulate solid waste and underground storage tanks.

Programs established under these authorities are not within the scope of this Manual.
OSWER Dir. No. 9938.02(b)

1-4

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• Enforce RCRA standards

• Authorize states to manage the RCRA Subtitle C program, in whole or in part, within

their respective borders, subject to EPA oversight.

Federal RCRA Standards

Federal RCRA hazardous waste regulations are set forth in 40 CFR Parts 260 through 272. The

core of the RCRA regulations establishes the "cradle to grave" hazardous waste regulatory program

through seven major sets of regulations:

• Identification and listing of regulated hazardous wastes (Part 261)

• Standards for generators of hazardous waste (Part 262)

• Standards for transporters of hazardous waste (Part 263)

• Standards for owners/operators of hazardous waste treatment, storage, and disposal

facilities (Parts 264, 265, and 267)

• Standards for the management of specific hazardous wastes and specific types of

hazardous waste management facilities (Part 266)

• Land disposal restriction standards (Part 268)

• Requirements for the issuance of permits to hazardous waste facilities (Part 270)

• Standards and procedures for authorizing state hazardous waste programs to be operated

in lieu of the federal program (Part 271).

Appendix I discusses how inspectors can keep up with changes in the RCRA

standards, and identifies sources of regulatory information.

State Authorization in the RCRA Program

EPA, under Section 3006 of RCRA, may authorize a state to administer and enforce a state

hazardous waste program in lieu of the federal Subtitle C program. To receive authorization a state

program must:

• Be equivalent to the federal Subtitle C program

• Be consistent with, and no less stringent than, the federal program and other authorized

state programs

• Provide adequate enforcement of compliance with Subtitle C requirements.
OSWER Dir. No. 9938.02(b)

1-5

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

In practical terms, these requirements mean that, to be authorized, state hazardous waste regulations must

be at least as stringent as federal Subtitle C standards; state regulations and programs must follow the

same general approach as federal regulations and programs, and other state regulations and programs;

state enforcement penalties must be at least equivalent to penalties provided for in RCRA; and state

enforcement activities must be equivalent to those performed by EPA.

States have generally received authorization incrementally, consistent with the gradual

implementation of the federal RCRA program (i.e., the ongoing development of regulations governing

new waste management units and practices), due largely to the unavoidable lag between federal

promulgation of Subtitle C standards and development and adoption of equivalent standards by the states.

Thus, states may be authorized to administer and enforce the program covering certain types of waste

management units and practices within the state and may not be authorized for other types of units. For

example, a state may be authorized to manage the program for hazardous waste generators and storage

and treatment facilities, but may not be authorized for a newer regulation based on HSWA. As a result,

some facilities in a state may be subject to state enforcement, and others subject to federal enforcement

through EPA Regional offices. Facilities with several types of units may be subject to joint federal/state

enforcement.

In general, where a facility is subject to joint federal/state authority, inspections may be

conducted by both federal EPA and state inspectors. These inspections may be

conducted jointly or separately. When acting jointly, federal and state inspectors

should focus their efforts on the units subject to their respective jurisdictions. When

working separately, federal or state inspectors may inspect units which are not under

their jurisdiction and identify non-complying conditions. These conditions should then

be reported to the agency with jurisdiction over the unit(s) for further action.

Currently, all states are authorized to administer or enforce

their own programs, except for the following:

Iowa

Wyoming

Hawaii

Alaska

Following are two maps, Exhibits 1-1 and 1-2, detailing the states that are authorized for specific

aspects of the RCRA program, corrective action and mixed waste. Inspectors should also be aware of the

authorization status of states with respect to other aspects of the RCRA program.
OSWER Dir. No. 9938.02(b)

1-6

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 1-1

RCRA Mixed Waste Authorization as of October 1, 1993

[Note: This map is no longer accurate. Please contact your state implementing agency or

EPA Regional Office for up-to-date information.]
OSWER Dir. No. 9938.02(b)

1-7

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 1-2

RCRA Corrective Action Authorization as of October 1, 1993

[Note: This map is no longer accurate. Please contact your state implementing agency or

EPA Regional Office for up-to-date information.]
OSWER Dir. No. 9938.02(b)

1-8

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.2 Enforcement Overview

The goal of the RCRA enforcement program is to assure that hazardous waste handlers are

properly complying with RCRA regulations. This requires close monitoring of such handlers and

expeditious legal action when non-compliance is detected. Facility inspections by EPA/state officials are

the primary tool for monitoring compliance. EPA/states may also determine compliance through

examination of required reports submitted by waste handlers. When non-compliance is detected, an

enforcement action may follow.

Types of Inspections

There are many types of inspections; however, the CEI is the primary mechanism for detecting

and verifying RCRA violations by hazardous waste generators, transporters, and TSDFs.

Types of inspections differ based upon the purpose, facility status, and the probable use of

inspection results. The Office of Waste Programs Enforcement has developed, and is continuing to

develop, specific guidance on performing the different types of inspections. Exhibit 1-3 below describes

the various types of inspections, and lists the available and planned guidance for each type.

Enforcement Actions

When a violation is detected, an enforcement action may be initiated to compel the

violator to return to compliance and/or possibly make compensation. EPA/states may use

the evidence collected through inspections to determine which of the following

enforcement options, if any, to pursue:

• Administrative action (warning letter, administrative order, administrative

penalty, permit action)

• Civil court action

• Criminal court action.

A decision to pursue one or more of these options should be based on the nature and

severity of the violation and the strength of available evidence.

For further information regarding the options described above, inspectors should review the 1990

RCRA Civil Penalty Policy and/or contact the RCRA Docket (703-603-9230).
OSWER Dir. No. 9938.02(b)

1-9

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 1-3

Inspection Types and Relevant Guidance

Type of Inspection Description Guidance

Compliance Evaluation

Inspection (CEI)

Case Development Inspection

Comprehensive GroundWater Monitoring Evaluation

Compliance Sampling

Inspection (CSI)

Operation and Maintenance

Inspection (O&M)

Laboratory Audit

State Oversight Inspection

CEIs are routine inspections of hazardous

waste generators, transporters, and TSDFs

to evaluate compliance with the requirements

of RCRA. CEIs encompass a file review prior

to the site visit; an on-site examination of

generation, treatment, storage or disposal

areas; and a review of records. Inspections of

facilities with delisted waste may be

conducted as part of a CEI. Also, corrective

action inspections are specifically intended to

evaluate facilities' compliance with consent

and permit orders.

CDIs are conducted when RCRA violations

are suspected or revealed during a CEI for

the specific purpose of gathering data in

support of an enforcement action.

CMEs are conducted to ensure that

ground-water monitoring systems are

designed and function properly at RCRA land

disposal facilities. In addition to the CEI

activities, CMEs include sampling and analysis

of the facility's ground-water monitoring

system and hydrogeological conditions.

CSIs are inspections in which samples are

collected for laboratory analysis. A sampling

inspection may be conducted in conjunction

with a CEI or any other type of inspection,

except a CDI.

O&M inspections of land disposal facilities

are conducted to determine the adequacy of

the operation and maintenance of

ground-water monitoring systems at RCRA

facilities after a land disposal facility has

closed. O&M inspections are usually

conducted at facilities that have already

received a thorough evaluation of the

ground-water monitoring system under a

CME inspection.

Laboratory audits are inspections of

laboratories performing sample analyses.

Audits ensure that these laboratories are

using proper sample handling and analysis

protocols.

State oversight inspections are conducted by

U.S. EPA personnel to determine the

effectiveness of State hazardous waste

management programs and to determine

facility compliance.

The RCRA Inspection Manual

The LDR Inspection Manual

Hazardous Waste Tank Systems

Inspection Manual, OSWER Dir.

9938.1A, 1988

Hazardous Waste Incinerator

Inspection Manual, OSWER Dir.

9938.6, 1989

Guidance for Inspection of Facilities

with Delisted Waste , OSWER Dir.

9938.2B (to be issued)

Conducting RCRA Inspections at

Mixed Waste Facilities, OSWER Dir.

9938.9, 1991

Technical Case Development

Guidance Document, OSWER Dir.

9938.3, 1988

RCRA Ground-Water Monitoring

Technical Enforcement Guidance

Document, OSWER Dir. No. 9950.1,

September 1986

Comprehensive Ground-Water

Monitoring Evaluation Guidance

Document, OSWER Dir. No. 9950.2,

December 1986

Operation and Maintenance

Inspections for Ground-Water

Monitoring (RCRA Ground-Water

Monitoring Systems) , OSWER Dir.

No. 9950.3, March 1988

RCRA Laboratory Audit Inspection

Guidance Document, OSWER Dir.

9950.4, 1988

RCRA State Oversight Inspection

Guide, OSWER Dir. No. 9946.1,

December 1987

•

•

•

•

•

•

•

•

•

•

•

•

(CME)

(CDI)
OSWER Dir. No. 9938.02(b)

1-10

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.3 Enforcement Priorities

RCRA enforcement managers at EPA Headquarters, Regional offices, and state agencies

establish priorities for inspecting RCRA regulated facilities to optimize the use of limited resources to

achieve enforcement objectives. Generally, priorities are established annually in the "RCRA

Implementation Plan" (RIP) and are based on Congressional mandates and the facility's "Environmental

Priority." A facility's Environmental Priority is based on its environmental significance, the potential

environmental benefits from enforcement, and other considerations. The priorities change from year to

year to reflect new information and program changes including:

• Promulgation of new standards governing specific types of facilities or activities (e.g.,

land disposal regulations (LDR))

• Expansion of the regulatory program to cover new types of facilities

• Progression of the RCRA enforcement program to new stages of implementation (e.g.,

from CMEs to O&M)

• Specific national or regional enforcement initiatives focused on particular rules, types of

facilities, or geographic areas.

Inspectors should be knowledgeable about the current enforcement priorities and develop the

skills necessary to perform the inspections required to meet those priorities. Inspectors must also be aware

of changes in the priorities to identify new training needs and other ways (i.e., inspection preparation)

they may need to reassess their approach to inspections.

Frequently, inspectors, through training, research, and experience, develop specialized skills in

inspecting a particular type of facility or evaluating a waste management practice. Although this can be

valuable, inspectors also must develop and maintain a solid general knowledge of the overall RCRA

program so that they can flexibly respond to new enforcement priorities or changes in assignments which

require them to inspect types of facilities and practices previously unfamiliar to them.

Inspectors should:

• Review major new regulations (including preambles) as they are 

promulgated

• Be familiar with new and existing guidance on inspecting other

types of facilities and practices

• Be aware of new and existing technical guidance that could provide

quick background information on other types of facilities and practices.
OSWER Dir. No. 9938.02(b)

1-11

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

New regulations can be found in the Code of Federal Regulations. Inspection and

technical guidance can be identified by contacting the RCRA Docket (703-603-9230).

Inspectors should also be ready to provide input to enforcement program managers planning

initiatives that are within the inspectors' areas of expertise. In such instances, inspectors may be able to

expedite information collection or identify technical difficulties or issues which should be considered in

the planning stage.
OSWER Dir. No. 9938.02(b)

1-12

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.4 Authority and Limitations

of Inspectors

RCRA Section 3007 provides inspectors with the authority to conduct inspections and

specifies certain guidelines that should govern the conduct of an inspection. It is essential

that all inspectors be familiar with Section 3007, presented in Exhibit 1-4 below, or

comparable, applicable state authority.

RCRA provides the authority to conduct inspections of facilities for the purpose of developing

regulations, preparing permits, or ensuring compliance with the provisions or regulations promulgated

under RCRA. Access to such facilities is granted to "duly designated" officers, employees, or

representatives of EPA (or an authorized state).

Specifically, inspectors are authorized to:

• Enter any establishment or location where hazardous wastes are, or have 

been, generated, transported, stored, treated, or disposed

• Obtain samples for the inspection of any such wastes as well as samples of 

any containers or labeling for such wastes

• Access and copy all records relating to such wastes.

in sp ect Inspections must be conducted in a prescribed manner, which includes the following:

• Presenting EPA or state identification

• Entering an establishment at a reasonable time and completing the inspection

as promptly as possible

• Issuing a receipt for any samples obtained

• Providing a duplicate sample (split sample), if requested

• Furnishing a copy of any sample analysis, if conducted, to the owner/operator,

or agent in charge.
OSWER Dir. No. 9938.02(b)

1-13

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 1-4

RCRA Section 3007

(As Amended by the Solid Waste Disposal Act of 1980

and the Hazardous and Solid Waste Amendments of 1984)

INSPECTIONS

Sec. 3007. (a) ACCESS ENTRY.—For purposes of developing or assisting in the development of

any regulation or enforcing the provisions of this title, any person who generates, stores, treats, transports,

disposes of, or otherwise handles or has handled hazardous waste shall, upon request of any officer,

employee or representative of the Environmental Protection Agency, duly designated by the

Administrator, or upon request of any duly designated officer, employee or representative of a State

having an authorized hazardous waste program, furnish information relating to such wastes and permit

such person at all reasonable times to have access to, and to copy all records relating to such wastes. For

the purposes of developing or assisting in the development of any regulation or enforcing the provisions of

this title, such officers, employees or representatives are authorized —

(1) to enter at reasonable times any establishment or other

place where hazardous wastes are or have been generated, stored,

treated, disposed of, or transported from;

(2) to inspect and obtain samples from any person of any such

wastes and samples of any containers or labeling for such wastes.

Each such inspection shall be commenced and completed with reasonable promptness. If the officer,

employee, or representative obtains any samples, prior to leaving the premises, he shall give to the owner,

operator, or agent in charge a receipt describing the sample obtained and if requested a portion of each

such sample equal in volume or weight to the portion retained. If any analysis is made of such samples, a

copy of the results of such analysis shall be furnished promptly to the owner, operator, or agent in charge.

(b) AVAILABILITY TO PUBLIC.—1) Any records, reports, or information (including records,

reports, or information obtained by representatives of the Environmental Protection Agency) obtained

from any person under this section shall be available to the public, except that upon a showing satisfactory

to the Administrator (or the State, as the case may be) by any person that records, reports, or information,

or particular part thereof, to which the Administrator (or the State, as the case may be) or any officer,

employee or representative thereof has access under this section if made public, would divulge information

entitled to protection under section 1905 of title 18 of the United States Code, such information or

particular portion thereof shall be considered confidential in accordance with the purposes of that section,

except that such record, report, document, or information may be disclosed to other officers, employees, or

authorized representatives of the United States concerned with carrying out this Act, or when relevant in

any proceeding under this Act.

(2) Any person not subject to the provisions of section 1905 of title 18 of the United States Code

who knowingly and willfully divulges or discloses any information entitled to protection under this

subsection shall, upon conviction, be subject to a fine of not more than $5,000 or to imprisonment not to

exceed one year, or both.
OSWER Dir. No. 9938.02(b)

1-14

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 1-4 (Continued)

RCRA Section 3007

(3) In submitting data under this Act, a person required to provide such data may —

(A) designate the data which such person believes is entitled to

protection under this subsection, and

(B) submit such designated data separately from other data

submitted under this Act.

A designation under this paragraph shall be made in writing and in such manner as the Administrator

may prescribe.

(4) Notwithstanding any limitation contained in this section or any other provision of law, all

information reported to, or otherwise obtained by, the Administrator (or any representative of the

Administrator) under this Act shall be made available, upon written request of any duly authorized

committee of the Congress, to such committee.

(c) FEDERAL FACILITY INSPECTIONS.—Beginning twelve months after the date of enactment of

the Hazardous and Solid Waste Amendments of 1984, the Administrator shall, or in the case of a State

with an authorized hazardous waste program the State may, undertake on an annual basis a thorough

inspection of each facility for the treatment, storage, or disposal of hazardous waste which is owned or

operated by a Federal agency to enforce its compliance with this subtitle and the regulations promulgated

thereunder. The records of such inspections shall be available to the public as provided in subsection (b).

(d) STATE-OPERATED FACILITIES.—The Administrator shall annually undertake a thorough

inspection of every facility for the treatment, storage, or disposal of hazardous waste which is operated by

a State or local government for which a permit is required under section 3005 of this title. The records of

such inspection shall be available to the public as provided in subsection (b).

(e) MANDATORY INSPECTIONS.—(1) The Administrator (or the State in the case of a State having

an authorized hazardous waste program under this subtitle) shall commence a program to thoroughly

inspect every facility for the treatment, storage, or disposal of hazardous waste for which a permit is

required under section 3005 no less often than every two years as to its compliance with this subtitle (and

the regulations promulgated under this subtitle). Such inspections shall commence not later than twelve

months after the date of enactment of the Hazardous and Solid Waste Amendments of 1984. The

Administrator shall, after notice and opportunity for public comment, promulgate regulations governing

the minimum frequency and manner of such inspections, including the manner in which records of such

inspections shall be maintained and the manner in which reports of such inspections shall be filed. The

Administrator may distinguish between classes and categories of facilities commensurate with the risks

posed by each class or category.

(2) Not later than six months after the date of enactment of the Hazardous and Solid Waste

Amendments of 1984, the Administrator shall submit to the Congress a report on the potential for

inspections of hazardous waste treatment, storage, or disposal facilities by nongovernmental inspectors as

a supplement to inspections conducted by officers, employees, or representatives of the Environmental

Protection Agency or States having authorized hazardous waste programs or operating under a

cooperative agreement with the Administrator. Such report shall be prepared in cooperation with the

States, insurance companies offering environmental impairment insurance, independent companies

providing inspection services, and other such groups as appropriate. Such report shall contain

recommendations on provisions and requirements for a program of private inspections to supplement

governmental inspections.

[42 U.S.C. 6927]
OSWER Dir. No. 9938.02(b)

1-15

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Although compliance inspections may result in enforcement actions, they generally will not

involve the need to inform individuals of their rights under the Fifth Amendment of the United States

Constitution (e.g., to provide them with a "Miranda" warning). The Fifth Amendment provides that "No

person shall be compelled in any criminal case to be a witness against himself." Because inspections

under RCRA are generally not conducted by law enforcement officers and do not involve custodial

situations (when a person is taken into custody), Fifth Amendment rights normally are not implicated.

Confidential Business Information

Inspectors who conduct RCRA inspections will probably encounter confidential business

information (CBI) during the course of their work. Inasmuch as this information may only be viewed by

individuals who have been cleared for access, all inspectors should have CBI access authorization. This

authorization is granted by either the EPA's Deputy Administrator for General Enforcement or the duly

designated state-level representative in the case of a state-run hazardous waste program.

When inspectors return from an inspection with information that a facility owner/operator has

declared to be confidential, they should immediately give such information to the local Document Control

Officer (DCO) or Document Control Assistant (DCA), who will assign a document control number to the

confidential material. In addition, inspectors should inform the DCO or DCA of any physical samples

that have been claimed as confidential. These samples will be assigned a document control number,

which is given to laboratory personnel for use in completing chain-of-custody and laboratory analysis

forms.
OSWER Dir. No. 9938.02(b)

1-16

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.5 Health and

Safety Considerations

The health and safety of inspection personnel is an important aspect of the overall inspection

process that must be seriously considered prior to entry into a facility. The Occupational Safety and

Health Administration (OSHA) standards for hazardous materials (Subpart H of 29 CFR Part 1910) were

amended in December 1986 by the addition of a new §1910.120, which contains protection requirements

for workers involved in hazardous waste operations. This interim final rule, mandated by the Superfund

Amendments and Reauthorization Act (SARA) of 1986, regulates employee safety and health at

hazardous waste operations and during emergency response actions. Inspectors must be thoroughly

familiar with the OSHA health and safety regulations to ensure compliance with those requirements that

are applicable to the inspection process.

Another source of information regarding health and safety requirements with which inspectors

should be familiar is U.S. EPA Order No. 1440.2, titled "Health and Safety Requirements for Employees

Engaged in Field Activities." This Order establishes policy, responsibilities, and mandatory requirements

for occupational health and safety training and for occupational medical monitoring of EPA employees

engaged in field activities; therefore, RCRA inspectors must be familiar with its contents.

All hazardous waste management facilities pose some degree of hazard to personnel present on

site, and this hazard increases in direct proportion to the decrease in the amount and quality of

information available to these personnel on facility operations and practices.

Therefore, it is extremely important that inspectors understand a facility's

processes and hazardous waste management practices prior to entering a

facility so that they are aware of all the potential health and safety issues and

follow the appropriate procedures during an inspection.

In addition to reviewing federal, state, and/or local files and interviewing regulatory personnel

who are familiar with a facility, inspectors should also consult the Regional Safety Officer or equivalent

state official regarding potential hazards before undertaking an inspection. Even though thoroughly

familiar with available information regarding a facility, inspectors still may not have all the information

needed to make sound health and safety judgments; therefore, common sense and experience must enter

into determinations and decisions. Inspectors should not assume that an owner/operator knows all of the

safety concerns that may apply to a facility, and should not take statements made by the owner/operator

concerning the safety of an activity or location at the facility at face value.

The RCRA inspector should have a working knowledge of the following health- and safetyrelated areas and issues:
OSWER Dir. No. 9938.02(b)

1-17

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• Potential exposure routes

• Hazard assessment

• Long-term risk

• Levels of protection

• Safety equipment (use and maintenance)

• Personal protective equipment (use and maintenance)

• Decontamination and disposal of protective clothing

• Emergency treatment.

Exhibit 1-5 presents a partial listing of guidance documents that are available on health and safety issues

related to hazardous waste management. Inspectors are referred to these documents for detailed

information on the areas and issues identified above.

Exhibit 1-5

Health and Safety Guidance Documents

"Appendix M, Site Safety Plan Guidance: Draft." OSWER 9375.1-2A-C. U.S. Environmental Protection Agency.

December 30, 1986. Provides information on health and safety to supplement Regional Office safety procedures.

"Chemical Engineering Preparedness Program, Interim Guidance," U.S. Environmental Protection Agency. Program

Directive No. 9223.0-01A. OERR, Catalog of Program Directives. December 1986. Establishes criteria for

identifying acutely toxic chemicals.

Chemical Manufacturers Association, 1825 Connecticut Avenue, N.W., Washington, D.C. 20009. The CMA has

many publications that give complete information on health and fire hazards, handling, storage, labeling, packaging,

and transportation. A list of publications is available.

"Dangerous Properties of Industrial Materials," Sax, Newton Irving, Reinhold Publishing Corporation, New York,

1989 Seventh Edition. Contains information covering more than 12,000 hazardous materials. Areas of hazard

covered include radiation hazards, industrial fire protection, storage and handling of hazardous materials, respiratory

protection, and personal hygiene.

"Environmental Monitoring Series: Hazardous Materials Spill Monitoring Safety Handbook and Chemical Hazard

Guide Part A." EPAx8602-0151. U.S. Environmental Protection Agency. 1979. Presents information on hazards

from spills of chemical compounds, exposure, prevention, protection, and first-aid measures to be followed by

response personnel.

"Fire Protection Guide To Hazardous Materials," National Fire Protection Association, 60 Batterymarch Street,

Boston, Massachusetts 02110. This publication is a complete volume on the fire, explosion, and health

characteristics of many chemicals and materials. It contains complete texts of the following NFPA documents:

325M, 49, 491M, and 704.

"Guidance on Remedial Investigations Under CERCLA," U.S. Environmental Protection Agency, HWERL, OERR,

OWPE. May 1985. Provides guidance on conducting remedial investigations at uncontrolled hazardous waste sites;

includes detailed discussion of health and safety issues and procedures.

"Hazardous Waste Site Investigation Training." EPA-8512-0003. U.S. Environmental Protection Agency. 1981.

Covers a 5-day training course and includes appendices on toxicology and safety and health policy.
OSWER Dir. No. 9938.02(b)

1-18

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 1-5 (Continued)

Health and Safety Guidance Documents

"Hazardous Material Handling Training Manual," NUS Corporation, Waste Management Services Group. February

1987. Guidance manual used for health and safety training of RCRA and CERCLA field personnel.

"Hazardous Waste Sites and Hazardous Substance Emergencies: Worker Bulletin," EPAx8610-0023. U.S.

Department of Health and Human Services. 1982. Provides preliminary guidance to protect health of hazardous

waste workers; joint project of EPA, NIOSH, OSHA, and U.S. Coast Guard.

Health effects assessment documents (available for a large number of chemical compounds). U.S. Environmental

Protection Agency, Office of Research and Development, Environmental Criteria and Assessment Office. 1984.

"NEIC Safety Manual," U.S. Environmental Protection Agency, Office of Enforcement, National Enforcement

Investigation Center, EPA-330/9-74-002-B, Denver, Colorado. February 1977. Provides general guidelines on safety

for NEIC personnel; consistent with OSHA requirements.

"Occupational Safety and Health for the Federal Employee," U.S. Department of Labor, Occupational Safety and

Health Administration. January 1, 1979. A booklet outlining Federal government policy concerning occupational

safety and health protection provided for government employees.

"Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities," EPAx8603-0213. NIOSH,

OSHA, U.S. Coast Guard, EPA. 1985. Provides guidance on hazards, training, medical programs, protective

equipment, decontamination, air monitoring, container handling, and site emergencies.

"Occupational Safety and Health Technical Assistance and Enforcement Guidelines for Superfund," U.S.

Environmental Protection Agency. Program Directive No. 9285.3-01. OERR. Catalog of Program Directives.

December 1986. Provides direction for OSHA and other field staff who may be called upon to provide technical

assistance or conduct enforcement activities at hazardous waste sites.

"Protecting Health and Safety at Hazardous Waste Sites: An Overview," EPAx8603-0208. U.S. Environmental

Protection Agency. 1985. Summaries for health protection; details training, medical monitoring, handling waste

containers, and wearing personal protective equipment.

"Quality Assurance/Field Operations Methods Manual," U.S. Environmental Protection Agency. Program Directive

No. 9355.0-14. OERR. Catalog of Program Directives. December 1986. Provides Remedial Project Managers

(RPMs), quality assurance officers, and states with a reference for field procedures.

"OSWER Integrated Health and Safety Policy for Field Activities," U.S. Environmental Protection Agency. Program

Directive No. 9285.1-01B. OERR. Catalog of Program Directives. 1988. Provides guidance on health and safety to

complement professional judgment and experience and to supplement existing Regional safety criteria.
OSWER Dir. No. 9938.02(b)

1-19

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.6 Work Ethics

Inspectors are skilled field professionals who represent regulatory agencies when dealing with

industry and the public. As a result, inspection personnel are expected to perform their duties in a

professional and responsible manner.

Personnel shall:

• Develop and report the facts of an investigation completely, accurately,

and objectively

• Conduct themselves at all times in accordance with the regulations in the 

EPA handbook, Responsibilities and Conduct for EPA Employees

• Avoid, in the course of an investigation, any act or failure to act which

could be considered motivated by reason of personal or private gain

• Improve continually their professional knowledge and technical skill in 

conducting hazardous waste inspections.

Discussed below are several specific topics pertinent to RCRA inspectors.

Conflicts of Interest

A conflict of interest may exist whenever an inspector has a personal or private interest in a

matter which is related to his or her official duties and responsibilities. It is important to avoid even the

appearance of a conflict of interest because such an appearance damages, in the eyes of the public, the

integrity of the EPA or state agency and their employees. All employees must, therefore, be constantly

aware of situations which are, or give the appearance of being, conflicts of interest when dealing with

others inside or outside of the government. For a detailed discussion of situations and/or activities which

may result in a conflict of interest, personnel are directed to Responsibilities and Conduct for EPA

Employees, which can also be found in the Federal Register (38 FR No. 73), April 17, 1973.

Public Relations

It is important that cooperation be obtained from, and good working relations

established with, the public and regulated community. This can best be accomplished

by using diplomacy, tact, and persuasion. Even a hostile person should be treated with

courtesy and respect. Personnel should not offer opinions concerning any person,

regulatory agency, manufacturer or industrial product. All information acquired in the

course of duty is for official use only.
OSWER Dir. No. 9938.02(b)

1-20

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Gifts, Gratuities, Favors, Luncheons, Etc.

An EPA employee is forbidden to solicit or accept any gift, gratuity, entertainment (including

meals), favor, loan, or any other thing of monetary value from any person, corporation, or group that:

• Has a contractual or financial relationship with EPA

• Has an interest that may be substantially affected by such employee's official actions

• Conducts operations regulated by EPA.

Attempted Bribery

Money in varying amounts may be offered by persons whose activities are being investigated.

Offers are usually made by people unfamiliar with EPA rules or regulations. Other bribes may be blatant

attempts to whitewash a serious violation or condition or to cause the withholding of damaging

information or observations. Inspectors should:

• Ask "What is this for?" if offered something of value

• Explain politely, if the offer is repeated, that both parties to such transactions

may be guilty of violating federal statutes

• Decline money or goods of any kind

• Report immediately any such incident, in detail, to his or her supervisor.
OSWER Dir. No. 9938.02(b)

1-21

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

1.7 Summary

In performing their job, RCRA inspectors must keep in mind a number of considerations:

• The purpose of the RCRA program

• The types of inspections that should be performed

• The types of enforcement actions that can be brought against violators

• Current EPA enforcement priorities

• The scope of and limit on permissible action

• Ways in which to protect themselves

• The need to comply with ethical and legal requirements.

Although specific skills and knowledge are needed to perform effectively at specific inspection-related

tasks, inspectors must internalize the above mentioned considerations to assure a solid foundation for all

inspection/enforcement activity.



OSWER Dir. No. 9938.02(b)

2-1

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.0 Preparing for an Inspection

SECTION PAGE

2.1 Introduction—Purpose and Objectives of Inspection

Preparation ............................................................................................... 2-2

2.2 Defining the Scope of an Inspection......................................................... 2-4

2.3 Coordinating an Inspection...................................................................... 2-6

Permitted Facilities...................................................................................... 2-7

Enforcement Actions................................................................................... 2-7

2.4 Reviewing a Facility File........................................................................... 2-8

Updating/Developing a Facility File............................................................. 2-9

Reviewing Facility Enforcement Documents................................................ 2-9

2.5 Reviewing Applicable Regulations........................................................... 2-11

2.6 Developing Facility-Specific Inspection Plans and

Checklists.................................................................................................. 2-13

Notifying a Facility...................................................................................... 2-14

2.7 Identifying Inspection Equipment ........................................................... 2-16

Determining Health and Safety Requirements.............................................. 2-16

2.8 Completing a Pre-Inspection Worksheet................................................. 2-19

2.9 Summary................................................................................................... 2-21

PREPARING FOR 

INSPECTIONS

CONDUCTING 

INSPECTIONS

INSPECTION 

FOLLOW-UP
OSWER Dir. No. 9938.02(b)

2-2

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.1 Introduction—Purpose and

Objectives of Inspection

Preparation

Adequate preparation is critical to the effective performance of RCRA inspections.

Generally, inspectors have only a relatively brief period of time on-site in which to perform an inspection;

therefore, it is essential that an inspection be properly scoped and planned to allow for efficient use of time

and to insure that all aspects of the facility which should be evaluated are inspected. Of course, there will

be instances in which insufficient time will be available to an inspector for the complete preparation

described here. Even on those occasions, the inspector should make every effort to engage in as many

preparatory activities as possible.

The inspector's objectives in preparing for an inspection

should include the following activities, all of which are described

in greater detail in this chapter:

• Determining the scope and objectives of an inspection

• Coordinating inspection activities with other regulatory or

enforcement personnel as necessary

• Developing a thorough understanding of the technical, regulatory,

and enforcement aspects of a facility

• Developing a plan or strategy for conducting an inspection consistent

with inspection objectives

• Determining health and safety requirements and equipment needs.

Exhibit 2-1 below identifies and summarizes the key steps in inspection preparation.
OSWER Dir. No. 9938.02(b)

2-3

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 2-1

Inspection Preparation Summary

Manual 

Section 

2.2 

2.3 

2.4 

2.5 

2.6 

2.7 

2.8

Define 

Scope of 

Inspection

Coordinate/Schedule 

Inspection

Review Facility File

Review Applicable 

Regulations

Develop Inspection Plan 

and Checklist(s)

Identify Needed 

Inspection 

Equipment

Complete 

Pre-Inspection 

Worksheet

Determine inspection objectives 

Identify needed preparation and appropriate 

inspection activities 

Identify any interested offices or agencies 

Consult on an appropriate joint effort 

Consult permit writer and compliance 

officer/attorney 

Review facility files, including permit/ 

enforcement files 

Develop and maintain facility file as 

necessary 

Identify and review applicable regulations, as 

determined through file review 

Obtain/understand relevant amendments to 

the RCRA standards 

Develop a brief plan on how to proceed 

during the inspection and highlight key 

site-specific issues that need to be resolved 

Review existing checklists and determine 

their usefulness 

If needed, develop facility-specific checklist 

Determine how to notify the facility of the 

inspection, if appropriate 

Identify/obtain necessary inspection 

equipment based on type of inspection, kind 

of facility, Regional/state policy 

Determine health and safety requirements 

Complete Pre-Inspection Worksheet

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

•

Key Steps
OSWER Dir. No. 9938.02(b)

2-4

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.2 Defining the Scope of an

Inspection

When planning an inspection, it is critical that the inspector first define its scope.

Generally, the purpose and objectives of an inspection determine its scope. For example,

the scope of a routine CEI will differ from the scope of an inspection performed to assess

facility compliance with permit deadlines.

Inspectors can most easily determine the purpose and objectives of an inspection through

discussions with supervisory or other enforcement personnel, such as an enforcement compliance

specialist.

Typically, the purpose of an inspection will be one of the following:

• A routine periodic assessment of RCRA compliance

• A review of facility activities or status with respect to an enforcement

action

• A review of facility compliance with deadlines set forth in its

RCRA permit

• A response to information received concerning alleged violations

at the facility

• Identification of vehicles for cross-program compliance.

Routine compliance inspections are generally broad in scope. However, inspections performed

for other purposes (e.g., compliance with an enforcement order) are composed of activities not typically

performed during a routine CEI, such as:

• Comprehensive records review

• Data evaluation/verification

• Waste or media sampling.

If inspectors do not need to generate the kinds and amount of information normally collected

during a comprehensive investigation, they should conduct a more narrowly-focused inspection that will

be a more efficient use of resources. However, even if inspectors anticipate conducting such a narrowlyfocused inspection, they should be prepared to conduct a more comprehensive inspection if, once on-site,

they determine that conditions so require.

To properly prepare for an inspection, inspectors should determine:

• The offices or agencies with which the inspection should be coordinated

• The facility information which should be focused upon
OSWER Dir. No. 9938.02(b)

2-5

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• The regulations and enforcement documents that should be obtained and reviewed

• Whether sampling will be required during the inspection.2

• Whether it is appropriate to notify the facility in advance of the inspection.

An inspector must have as clear an understanding of the scope of an inspection as

possible, derived in part from communications with his or her supervisor or other

enforcement personnel, as appropriate to the Region or state.

 

2 Preparing for sampling during the inspection is not within the scope of this Manual; inspectors

should refer to the RCRA Technical Case Development Guidance Document, OSWER Dir. 9938.3,

1988.
OSWER Dir. No. 9938.02(b)

2-6

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.3 Coordinating an Inspection

Inspectors should identify the other offices within their agency and in sister federal, state,

or local agencies that may be interested in the results of, or participating in, an inspection. They can

accomplish this by consulting with their supervisor and considering the scope and nature of a proposed

inspection. After making a determination, an inspector should contact the appropriate offices or agencies

to inform them of his or her proposed effort and/or to coordinate the inspection.

Coordination can be highly beneficial to inspectors and those offices or agencies with

which coordination is attempted. Other offices or agencies may be interested in an

inspection for several reasons:

COORDINATION

Reasons for Coordination Possible Coordination Activities

• Other office may be pursuing a planned

action that might be interfered with by the

inspection or enhanced through

coordination

• Offices may be able to share resources and

information or conduct concurrent multimedia inspections

• The inspection may provide incidental

information or identify cross-program

compliance issues that would be useful to

another office in their regulatory or

enforcement activities (e.g., an inspection at

a facility with a NPDES-permitted

wastewater treatment facility may be of

special interest to the office responsible for

water enforcement)

• The inspection is being performed, in part

or exclusively, at another office's request

(e.g., an inspection performed to verify

permit application information or to support

an enforcement action)

• Another office shares jurisdiction for RCRA

enforcement at the facility, making the

scheduling of a joint inspection desirable

(e.g., where a state agency has partial

authorization for some units at a facility,

and the remaining units are subject to EPA

enforcement).

• Scheduling joint inspections with other

offices or agencies

• Scheduling an inspection to avoid

interference with planned activities of other

agencies or offices

• Conferring with other offices or agencies to

insure that the inspection satisfies their

information needs

• Obtaining relevant information on the

facility's administrative or enforcement

status, such as pending enforcement actions

under RCRA or other environmental

programs

• Clarifying for a requesting office the scope

of an inspection and areas of particular

interest to that office

• Clarifying with a permit writer permit

conditions or the status of a facility's permit

application

• Obtaining technical information on a

facility from a permit writer

• Obtaining facility information from other

agencies

• Working to further the goals of a

Memorandum of Understanding that may

exist between Regions and states, explaining

coordination protocols.
OSWER Dir. No. 9938.02(b)

2-7

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Federal inspectors may find state and local agencies to be good sources of information about a

facility. For example, some states maintain waste manifest records or histories that are useful in

preparing for an inspection. Similarly, state inspectors may find the Regional EPA office has useful

information about a facility obtained prior to state authorization or for other purposes (e.g., the NPDES

program).

Inspectors, or their supervisors, should confirm that all appropriate people have been

contacted to prevent interference with planned, ongoing activities and to insure efficient use of

inspection resources.

Permitted Facilities

Inspectors should contact the responsible permit writer before inspecting facilities that have

applied for or received a permit. If the facility's permit application is undergoing review, the permit

writer and the application will usually provide valuable information about the facility and, alternatively,

the permit writer may have information needs that inspectors can fulfill during an inspection (e.g.,

verifying completion of facility modifications reported by the permit applicant). If a facility has received

its permit, the permit imposes site-specific requirements that are subject to enforcement and should be

evaluated during the inspection. In addition, the permit writer may be able to identify suspected problem

areas at a facility. Preparing for an inspection at permitted facilities is discussed in greater detail in

Chapter 3 of the Manual.

Enforcement Actions

If an inspector is conducting an inspection to support an enforcement action (e.g., to determine if

a facility has come into compliance with the terms of an enforcement order), he or she must coordinate the

inspection with the appropriate compliance officer or attorney assigned to the action. Those individuals

will be able to explain the specifics of the action and identify important areas for review at the facility.

Inspectors should advise the attorney or compliance officer of the time and date of an inspection, and

obtain their phone numbers so that they can be contacted from the field if an inspector needs to confer on

specific aspects of the inspection.

NOTE: Inspectors must make any calls from the field to an attorney or compliance

officer confidentially, preferably from an off-site phone, and should give no indication to

the owner/operator that a conference has occurred.

Inspectors should also determine, with guidance from the compliance officer or attorney, how to

submit inspection results. Normally, inspection results are submitted in an inspector's report (discussed in

Chapter 5 of this Manual); however, results can be "fast tracked" to the requesting office to expedite

response actions.
OSWER Dir. No. 9938.02(b)

2-8

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.4 Reviewing a Facility File

Regional and state RCRA program offices generally have one or more existing files for each

facility within their jurisdiction and/or may make information on a facility available through an automated

data processing (ADP) system, such as the RCRA Information System (RCRIS). Inspectors should make

full use of all such available information in preparing for an inspection.

Inspectors should review facility file information to:

• Develop a thorough technical understanding of a facility, including the wastes

managed, the waste management units used, and the processes which generate and

treat wastes

• Develop an understanding of the compliance history of a facility, including past

violations, facility efforts to correct compliance problems, and potential violations

that may not have been remedied

• Identify, based on citizen complaints or inconsistencies in file materials, potential

violations to be evaluated during an inspection

• Determine applicable regulations for review (see Section 2.5 below)

• Support development of the inspection plan for a facility (see Section 2.6 below).

NOTE: In many Regions and states, one program office is responsible for all RCRA

activities (e.g., permitting, inspections, and enforcement) and will have a central program

file for each facility within its jurisdiction. However, responsibility for permitting,

inspections, and enforcement may be split among several offices and separate files may be

maintained by these offices. The information in each of these files may vary as they are

developed for different purposes. Inspectors will, ideally, review all potentially relevant

files. Coordination between the Region and state is important to ensure that all

applicable files are reviewed. Coordination is particularly important in states authorized

for part, but not all of the federal RCRA program.

Updating/Developing a Facility File

In general, the office responsible for RCRA inspections should have a central inspection

file on each RCRA facility. Inspectors should maintain the central inspection files on

each RCRA facility within their respective areas of responsibility, updating the files as

new information becomes available (e.g., the results of recent inspections). If inspection

files are not part of a central program file, maintaining a file may require periodically

reviewing and obtaining new data from files held by the offices responsible for

permitting, enforcement, or other activities in the EPA Regional office and/or state

agency. Before an inspection, inspectors should review the inspection file to determine

the adequacy and timeliness of information in the file, and obtain additional or updated

information from other offices as appropriate. This activity can be performed when

coordinating the inspection, as discussed in Section 2.3 above.
OSWER Dir. No. 9938.02(b)

2-9

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 2-2 below describes the minimum contents of an inspection file.

NOTE: A facility's Part A application, Part B application, and/or permit will provide

some of the information listed in Exhibit 2-2, including a plot plan or map and, possibly,

a flow chart or illustration showing processes and design features. Part B permit

applications and final permits may be lengthy documents which may not be convenient to

duplicate for the inspection file if they are already maintained in the files of another

office. It may be more efficient and convenient to note in the central inspection file

where these documents are maintained and how they may be obtained for review by

inspectors (e.g., the point-of-contact for obtaining the document, such as the permit

writer). Inspection planning for permitted facilities is discussed in greater detail in

Chapter 3 of this Manual.

When inspecting a manufacturing plant, inspectors may want to obtain additional information on

the types of processes used at the plant to better understand plant activities once on-site. Several EPA

documents and other standard references on industrial processes are available for this purpose and are

listed in Appendix V of the Manual.

Reviewing Facility Enforcement Documents

Report Where the purpose of an inspection is to support an enforcement action (e.g., to

evaluate facility progress in meeting compliance deadlines set forth in an enforcement

order), inspectors should obtain all applicable documents from the enforcement office,

compliance specialist, legal counsel, or other appropriate office or official. Generally,

inspectors should obtain these documents while attempting to coordinate an inspection,

as discussed in Section 2.3 above.

Inspectors should review enforcement documents to determine:

• Specific activities or units of interest at a facility

• Specific non-complying conditions or violations

• Specific activities a facility is required to have performed or be performing to come into

compliance

• The compliance schedule and intermediate milestones towards completion of required

activities.

Knowing these items is important in determining the applicable regulations that must be

reviewed (Section 2.5 below), and the appropriate strategy for inspecting a facility and

developing an inspection plan (Section 2.6 below).
OSWER Dir. No. 9938.02(b)

2-10

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 2-2

Contents of an Inspection File

• A summary of names, titles, locations, and phone numbers of

the responsible persons (operators, plant officials, municipal

officials, etc.) involved in the facility's hazardous waste program

(in many cases, this information may be incorporated into the Regional

or state ADP system to facilitate contacting the facility)

• A flow chart or other illustration showing processes used and

design features of present and planned units and processes at the facility

• For treatment, storage, and disposal facilities (TSDFs), a list of the

wastes that are treated, stored, or disposed of by type of management

• For generators, a list of the wastes generated, including their origin

• Inspection reports, including photographs, from previous state or

Regional inspections

• A compliance history of the site, including a listing of any

past compliance or enforcement actions, the current status of any

such actions, and copies of correspondence relating to the actions

• Biennial, annual, and other reports submitted by the facility to the

state or Region, including the most recent monitoring reports,

where applicable

• Previous EPA studies, consultant's reports, and laboratory reports

• Citizens' complaints filed against the facility

• A detailed map or plot plan showing the facility layout and location

of waste management units, and any available sketches or drawings

of the waste management units

• Records of any phone conversations with facility representatives

• The letter of notification of inspection sent to the facility and any

response (if the facility has been notified)

• The facility's RCRA Notification Form

• The facility's RCRA Part A Permit application (for TSDFs)

• The facility's RCRA Part B Permit application (for certain TSDFs)

• The facility's final RCRA permit (for certain TSDFs).
OSWER Dir. No. 9938.02(b)

2-11

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.5 Reviewing Applicable

Regulations

Inspectors should obtain and review all federal and state regulations governing operations

of a facility that is to be inspected. In most cases, inspectors will be able to determine which regulations

apply to a facility, based on information in the facility file. In some cases, they will need to contact an

attorney or other enforcement personnel for assistance.

It is important that inspectors use the most current versions of regulations when reviewing

applicable standards. Federal RCRA standards are published in their entirety annually in Title 40 of the

Code of Federal Regulations. Amendments to the federal standards promulgated periodically during the

year are published in the Federal Register, which is published daily. Inspectors can obtain copies of new

or recently promulgated regulations from their enforcement office or from the Regional or state legal

counsel. Information on recently published amendments, and answers to questions regarding the RCRA

standards, can be obtained from the RCRA-Superfund Industry Assistance Hotline at the following

number:

RCRA /SUPERFUND INDUSTRY ASSISTANCE HOTLINE

1-800-424-9346

Approaches for keeping up with the changes in RCRA regulations and obtaining recent

amendments to federal standards are discussed in detail in Appendix I of this Manual.

Inspectors should be aware that changes in regulations, which may have occurred following

a previous inspection of a facility, may change the compliance status of that facility. Activities which

may previously have been consistent with applicable standards may not meet current standards. Thus, the

results of previous inspections, usually recorded on checklists, should be critically reviewed in light of any

known regulatory changes.

Inspectors should understand, to the extent possible, the intent underlying and interpretation of

applicable standards, so as to evaluate situations that may require refined knowledge of the standards and

to answer as fully as possible facility representatives' questions regarding the regulations. If inspectors

have questions concerning regulatory intent or interpretation, they can obtain answers through:

• Discussion of the regulation with other inspection personnel, a supervisor, or

compliance personnel

• Discussion of the regulation with Office of Regional Counsel or Headquarters personnel
OSWER Dir. No. 9938.02(b)

2-12

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• Review of the preamble material that accompanies regulations published in the Federal

Register

• Review of policy or technical guidance—RCRA/Superfund Industry Assistance Hotline

can identify specific applicable guidance available from EPA.

In general, the first of these alternatives is the most efficient, as it allows inspectors to answer questions

without obtaining and reviewing a large volume of material.

Some state and Regional offices have developed a process for institutionalizing the development

of specialized regulatory expertise among inspection staff to allow for expedient in-house response to

questions. This approach divides responsibility for maintaining current knowledge of RCRA standards

among the inspection staff by subject area (e.g., landfills, incinerators). For their respective subject areas,

the inspection personnel are required to understand the interpretation and intent of existing regulations,

and to track and understand changes to the regulations as they are made. Even where such a system is in

place, inspectors with specialized regulatory expertise should be aware of all regulatory changes and

review the applicable material before conducting an inspection.
OSWER Dir. No. 9938.02(b)

2-13

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.6 Developing Facility-Specific

Inspection Plans and

Checklists

Once inspectors have determined the scope of an inspection, discussed the inspection

with relevant personnel, and reviewed all background information and standards

relevant to the facility, they should prepare a brief plan for inspecting the facility.

Generally, an inspection plan does not need to be elaborate or formal, or conform to any

particular format (unless the Region or state has specific inspection plan requirements); rather, the plan

should be prepared in accordance with the preferences of the individual inspector in a way that will make

it most useful to her or him. The inspection plan is usually used only by the inspector to help organize his

or her thoughts on the inspection and prepare an inspection strategy.

As a general rule, in preparing inspection plans, inspectors should:

• Outline the steps they will take once on-site

• Highlight any particular questions the inspection should address.

 Inspectors should consider the following issues in preparing an

 inspection plan:

 • Should they notify the facility prior to the inspection or will inspection objectives best be met by

performing a "surprise" inspection?

 • How should they proceed upon entry to the facility? Should they conduct an opening conference to

discuss the purpose of the inspection with facility representatives immediately upon entry, or first

proceed with a visual inspection of certain operations or units at the facility (before the owner/operator

may have time to stop or conceal possible violations)?

 • When should they conduct an opening conference, if at all? What topics should they discuss with

facility representatives during an opening conference?

 • What facility records should they focus on, as suggested by their facility file review and any

enforcement actions being undertaken?

 • What route through the facility, or order of inspection, should they follow? To what should they pay

particular attention during the inspection of individual units (e.g., compliance with requirements of an

enforcement action)?

 • What hazardous wastes may they encounter? With what safety equipment, safety guidance and

practices (e.g., OSHA), and facility-specific safety regulations (if the facility is being notified of the

inspection) should they become familiar?
OSWER Dir. No. 9938.02(b)

2-14

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Approaches to conducting an inspection are discussed in Chapter 4 below, which provides details

on performing the activities listed above.

As part of the planning process, inspectors should determine which checklists to use, if

any, for assessing facility compliance with RCRA standards. Sample checklists are

provided in Appendix IV of this Manual; inspectors may use these checklists, or

checklists which have been developed for their use by their Regional office or state

agency, to the extent they prove helpful. Inspectors should review checklists while

planning for an inspection to familiarize themselves with the information required, and

update the checklists to reflect requirements of enforcement orders, amendments to

regulations, or state-specific standards. When inspecting permitted facilities, inspectors

should develop facility-specific checklists that address permit requirements. Preparing

for the inspection of permitted facilities is discussed in Chapter 3 of the Manual.

Notifying a Facility

Notifying a facility prior to an inspection may or may not be appropriate, depending upon the

following factors:

• The purpose of the inspection and inspection strategy

• Regional or state policy concerning notification

• Whether an inspector suspects that a facility is engaged in illegal dumping or other

illegal (particularly criminal) activities

• The length of time the inspection is expected to require. Long inspections of complex

facilities may require a substantial amount of facility workers' time. It may be desirable

to schedule long inspections with the facility to insure that facility staff are available,

unless the purpose of the inspection requires surprise.

For example, depending on Regional or state policy, it may be appropriate for inspectors to notify a

facility of routine periodic compliance inspections when the facility is not expected to have significant

violations (e.g., based on past inspections) and an inspector needs to speak with specific facility personnel.

Generally, it will not be appropriate to notify facilities in advance of inspections if violations are known or

suspected to exist, where the purpose of the inspection is to support a specific enforcement action, or

where a "cover-up" is anticipated. Inspectors should consult with their supervisors and responsible

compliance officers or attorneys if they have questions concerning whether to notify a facility of an

inspection.
OSWER Dir. No. 9938.02(b)

2-15

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Possible Methods of Facility Notification

• An annual notification letter which establishes the authority for inspections

without specifying an inspection date

• A specific inspection letter sent out a month prior to an inspection as to inform

the facility that an inspection will be conducted within a month

• An advance phone call to a facility to notify its staff of the inspection date,

making appointments to see particular personnel.

These methods may be used alone, or in combination, as required. Inspectors should always, when

notifying a facility, identify themselves and the organization or agency they represent.
OSWER Dir. No. 9938.02(b)

2-16

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.7 Identifying Inspection

Equipment

Inspectors will select equipment to take into the field depending on the kind of inspection they

plan to perform and the type of facility that will be inspected. Inspectors should use their knowledge of

the facility, understanding of inspection objectives, training, and experience to decide which equipment is

necessary for a particular inspection. Inspectors may wish to consult with other inspection personnel or

their supervisor to determine equipment requirements. They should also consider Regional or state

policies and conditions when selecting equipment during inspection planning.

Exhibit 2-3 below is a list of equipment that is commonly used in performing inspections.

Inspectors may not need all of the equipment listed for every inspection; on the other hand, they may need

equipment not specified on the list for some inspections. The list is divided into four categories of

equipment: general equipment, safety equipment, sampling equipment, and paperwork.

Determining Health and Safety Requirements

Although routine inspections generally do not involve activities in which inspectors must

physically contact hazardous wastes (except inspections involving sampling, during which incidental

contact with wastes may occur), there is always the potential for inspectors to be exposed to hazardous

wastes or substances during the course of an inspection. Therefore, in planning an inspection,

inspectors should:

• Determine the nature of the chemical hazards that may be encountered during the

inspection (based on the types of materials handled on-site)

• Identify and obtain proper safety equipment

• Become familiar with the proper use of safety equipment, check equipment to ensure

proper functioning, and perform necessary maintenance on the equipment (if

appropriate and within the technical abilities of the inspector)

• Obtain and become familiar with all applicable safety guidance and practices—

information on EPA directives on safety and health, and on Occupational Safety and

Health Administration (OSHA) standards for hazardous waste facilities, is provided in

Section 1.5 above

• Determine any facility-specific safety requirements by contacting the facility (only in

cases where the facility is being notified of the inspection) or by reviewing previous

inspection notebooks.

As noted above, the inspection equipment list in Exhibit 2-3 cites health and safety equipment

that may typically be required in performing routine compliance inspections. In many cases, facilities

may require that an inspector have standard safety equipment listed on the checklist. Inspectors should

use Exhibit 2-3, in conjunction with information about the chemical hazards at the facility and applicable

EPA guidance and OSHA requirements, to select appropriate health and safety equipment for performing

an inspection.
OSWER Dir. No. 9938.02(b)

2-17

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 2-3

List of Inspection Equipment

GENERAL EQUIPMENT

Camera, film, and flash equipment 

Pocket calculator 

Tape measure 

Clipboard 

Waterproof pens, pencils, and markers 

Locking briefcase 

"Confidential Business Information" stamp 

(if needed) 

Stamp pad 

Envelopes pre-addressed to Document Control 

Officer (for CBI) 

Plain envelopes 

Polyethylene bags

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

•

Disposable towels or rags 

Flashlight and batteries 

Pocket knife 

Pocket tape recorder 

Level 

Range finder/optical tape measure 

Compass 

Stopwatch 

Wind meter or Admiral Beaufort wind scale 

Square 

Ruler (for use as scale in photos)

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

•

SAFETY EQUIPMENT

Safety glasses or goggles 

Face shield 

Ear plugs 

Coveralls, long-sleeved 

Hard hat 

Plastic shoe covers (disposable)

• 

• 

• 

• 

• 

•

Rubber-soled, metal-toed, non-skid shoes 

Liquid-proof gloves (disposable if possible) 

Long rubber apron 

Respirators and cartridges 

Self-contained breathing apparatus

• 

• 

• 

• 

•

PAPERWORK

Proper identification 

Copy of facility's inspection file, permit, and 

monitoring schedule, including: 

- Maps 

- Photographs 

- History of enforcement actions 

Notebook 

Notice of inspection (if applicable) 

Chain of custody record

• 

• 

• 

• 

•

Relevant checklists 

Code of Federal Regulations or applicable 

state code 

EPA Regional or state forms for: 

- Inspection confidentiality notice 

- Enforcement actions notice 

- Declaration of confidential business 

 information 

- Receipts for documents and samples 

Field data sheets

• 

• 

• 

•

SAMPLING EQUIPMENT

Bucket auger 

Bucket 

Containers 

- Jars 

- Plastic (for metals) 

- Organic sample containers 

Bailers 

Pumps

• 

• 

• 

• 

•

Conductivity meter 

Thermometer 

Dissolved oxygen meter 

Steel tape measure 

Sampling safety equipment 

 (in addition to equip. on the Safety Equip. list 

 above) 

- Tyvek suit 

- Booties 

- Gloves

• 

• 

• 

• 

•
OSWER Dir. No. 9938.02(b)

2-18

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 2-3 (Continued)

List of Inspection Equipment

SAMPLING EQUIPMENT (continued)

Rope 

Glass tubes 

Ice 

Scoops 

Trowels 

Bacon Bomb 

Tape 

- Labelling 

- Duct 

- Electrical

• 

• 

• 

• 

• 

• 

•

- Harnesses 

- Chemical resistant suit 

- Organic Vapor Analyzer (OVA) 

Decontamination equipment 

- Buckets 

- Alconex 

- Brushes 

- Grate 

- Deionized water 

- Solvents for equipment cleaning 

- Steam cleaning machine 

- Plastic bags

Safety Equipment (Cont'd) 

•

In some cases, inspectors will have limited information about a facility, or may be inspecting an

uncontrolled site. Inspectors should be prepared to encounter the worst conditions in such cases.

Inspectors should never proceed with inspections involving site conditions for

which they are not prepared and do not have the proper safety equipment.
OSWER Dir. No. 9938.02(b)

2-19

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.8 Completing a

Pre-Inspection Worksheet

A pre-inspection worksheet, set forth in Exhibit 2-4, can serve as:

• An internal check on performance of all necessary pre-inspection activities

• A planning tool to enable the inspector to perform pre-inspection activities more

effectively.

Exhibit 2-4 is designed to insure that, at a minimum, inspectors have identified, assembled, and reviewed

all relevant materials prior to departure for an inspection. Proper preparation for an inspection, as

documented by completion of the worksheet, helps to insure that the inspection will be performed

efficiently and will meet all objectives. Since Regional and state inspection needs, objectives, and

procedures may vary, this worksheet is intended only as a guide and should be modified to reflect and

incorporate the specific needs of each inspector. It is strongly recommended that all inspectors use the

following pre-inspection worksheet or a modified version.
OSWER Dir. No. 9938.02(b)

2-20

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 2-4

Pre-Inspection Worksheet

TASK 

COMPLETED DESCRIPTION OF ACTIVITY

Contact/Coordinate with other offices and agencies 

 -- 

 -- 

 -- 

Complete/verify the general information section of the inspection report 

Manifest history 

Notification form 

Part A permit application 

Previous inspection reports 

Correspondence 

Part B permit application (if available) 

Annual reports 

Final Part B permit (if available) 

Enforcement documents 

Other 

Notification form 

Part A permit application 

Previous inspection reports 

Waste generation and characterization information 

Information from air and water pollution control agencies or offices 

Inspection checklists 

Copies of state statutes and regulations or Federal laws and regulations 

General inspection equipment (e.g., camera and film) 

Safety equipment 

Paperwork 

Agency identification card 

Sampling equipment (if necessary) 

Other 

Letters of intent to visit/inspect 

Establish date(s) of the inspection 

Follow-up telephone call to confirm date(s) of the inspection and to request 

that additional information be made available at time of inspection 

Complete inspection plan 

Notify interested agencies of EPA staff schedule 

Other

Identify and Obtain All Relevant Information:

Assemble Inspection Package:

Scheduling the Investigation:
OSWER Dir. No. 9938.02(b)

2-21

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

2.9 Summary

Adequate preparation for an inspection is an essential ingredient for fulfilling inspection

objectives, regardless of the type of inspection being performed.

In this chapter, inspectors have been presented with information and approaches that should

assist them in their preparations. These are only suggestions but inspectors are strongly advised to at least

consider the material here and adopt portions of it for their own use.

Define the inspection's scope 

Coordinate the inspection with all interested 

offices 

Review existing files on the facility to be 

inspected 

Develop an up-to-date inspection file 

Review all applicable regulations, 

enforcement documents, and permits 

Prepare a facility-specific inspection plan 

Identify and obtain all necessary inspection 

equipment 

Complete a pre-inspection worksheet.

• 

• 

• 

• 

• 

• 

• 

• 

Key Steps in Preparation

Once inspectors have completed the above steps, they will be ready to conduct an effective

inspection.



OSWER Dir. No. 9938.02(b)

3-1

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

3.0 Developing Permit-Specific 

TSDF Inspection Plans

SECTION PAGE

3.1 Introduction.............................................................................................. 3-2

Alternative Approaches to Permit-Specific Inspection Plans........................ 3-2

Assembling Pertinent Materials................................................................... 3-3

3.2 Developing An Inspection Protocol.......................................................... 3-6

General Guidelines...................................................................................... 3-6

Overall Site Orientation............................................................................... 3-6

Releases ..................................................................................................... 3-11

Other Permit Conditions ............................................................................. 3-15

3.3 Summary................................................................................................... 3-22

PREPARING FOR 

INSPECTIONS

CONDUCTING 

INSPECTIONS

INSPECTION 

FOLLOW-UP
OSWER Dir. No. 9938.02(b)

3-2

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

3.1 Introduction

This chapter describes methods for developing site-specific inspection plans and checklists for

permitted facilities. Generic checklists will generally not provide much assistance. Such checklists,

which cover the various 40 CFR Part 265 requirements, are useful for conducting interim status

inspections. Generic checklists are also "efficient" in that they are equally applicable to all facilities, but

facility-specific conditions (e.g., those imposed through orders and consent decrees) will often require that

a generic checklist be supplemented in some manner.

A site-specific checklist can guide less experienced inspectors through a facility and serve as a

reminder to more experienced inspectors. While creating site-specific inspection plans may seem to be

inefficient, especially given the length of a permit and its associated attachments, developing such

inspection plans offers several advantages to the compliance and enforcement program. Among these

advantages are the opportunity for inspectors to immerse themselves in a facility's operations and

understand the relationship of those operations to subsequent permit conditions. The fact that permit

conditions are site-specific forces inspectors to understand facilities in greater detail than might otherwise

be necessary. This, in turn, should result in more thorough inspections.

The cost of inspection planning for permitted facilities will be greater than that associated with

the inspection of interim status facilities. The mere size of RCRA permits attests to the potential

magnitude of the permitted facility inspection effort. An experienced inspection staff will help reduce this

cost. The graduation of facilities from interim to permitted status also puts a premium on retaining

experienced staff.

Alternative Approaches to Permit-Specific Inspection Plans

This chapter does not endorse any single approach to developing facility-specific inspection

plans. Two "models" for developing facility-specific plans are presented below; inspectors and their

supervisors may choose either model or combine them in some manner:

 • Checklist: This approach involves developing a checklist similar to that used for

interim status inspections but based on permit information rather than 40 CFR

Part 265. Inspectors need to review permit files, identify those conditions that can

be inspected readily, and use this information as a basis for developing a checklist.

A checklist can be inclusive of all conditions, or focus on specific conditions. An allinclusive checklist may be designed to be used for all subsequent inspections,

whereas a focused checklist may only be useful for a single case development

inspection. Alternatively, the all-inclusive checklist can comprise several sections

(e.g., the waste analysis plan action) that may be selected for use when a focused

inspection is necessary.
OSWER Dir. No. 9938.02(b)

3-3

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

 • Permit Information Summary Sheets: The information summary sheets model

differs from the checklist model in that it provides inspectors with only the most

basic facility information and a list of key points or concerns that need to be

covered during the inspection (e.g., concerns about possible releases from one of the

facility's units, or past compliance problems). The summary sheets may describe

the number of facility units, both regulated and non-regulated, their status

(operational, closing, closed) and waste generation and handling. Since the

summary sheets provide only limited information, inspectors will need to become

familiar with a site through some means such as review of records. One

disadvantage of using an information summary sheet is that the facility inspection

probably will not allow for verification of a facility's compliance with every aspect

of its permit. Use of a summary sheet requires the exercise of greater judgment on

the part of inspectors, and may be inappropriate for less experienced ones. Despite

these shortcomings, the summary sheets still represent an attractive alternative, as

inspectors can concentrate their efforts on: 1) assembling a detailed and exact list

of concerns upon which an inspection will be based, and 2) applying their

knowledge and experience in investigating each of the identified concerns.

In choosing either approach, inspectors and their supervisors should consider several factors:

• The purpose of the inspection

• The complexity of the facility

• The experience of an inspector.

In any case, the selected technique should be geared towards making the goals of the inspection more

attainable.

Assembling Pertinent Materials

As discussed in Chapter 2 above, inspectors must identify and make use of all information

sources in developing a protocol. Perhaps the best sources of information are other agency/state officials

familiar with a particular facility. They may assist in determining the major areas of interest at the

facility, such as potential release points and past compliance problems. In addition, these officials should

be able to assist inspectors in determining whether documents in addition to those contained in a permit

may be useful in developing a complete picture of a facility.

Other information sources include:

(1) A Facility's RCRA Permit and Permit Application — The permit contains most of

the site-specific conditions and requirements that a facility must meet to be in compliance. If

conditions of the facility permit are found to be inconsistent with the regulations, the permit may

serve as a shield for the facility. The content of a facility permit takes precedence over any

language contained in a facility's Part A or Part B permit application.
OSWER Dir. No. 9938.02(b)

3-4

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

The RCRA permit is generally composed of a series of modules containing each of the following:

• A general facility description

• Standard conditions

• General facility conditions

• Unit-specific conditions and requirements

• Detection monitoring requirements

• Compliance monitoring requirements

• Corrective action for regulated units

• HSWA corrective action for solid waste management units

• Post-closure requirements.

In general, these modules closely track the regulations, but a variety of styles may be

encountered. For example, some permits may have all inspection requirements, or all reporting

requirements, cited in one place. A different format may also result when state requirements

extend beyond the federal RCRA requirements. Inspectors are encouraged to discuss the contents

of a permit with the permit writer prior to file review.

In reviewing the body of a permit, inspectors will find that numerous references are made to the

permittee's RCRA Part B permit application, and that specific portions of the application are

incorporated by reference. Inspectors should be aware that the descriptions, procedures, and

protocols that are referenced in this manner are enforceable permit conditions. This means

that an inspector cannot rely solely on the main body of the permit, but must also consult the

referenced attachments. Inspectors should note that the public hearing process, prior to permit

issuance, may result in changes being made to the submitted information. These changes are

documented as part of the permit's administrative record.

In some cases, inspectors will find that facilities have been issued more than one RCRA

permit. These permits may have been written at different times and may regulate different units

at the facility. It is also possible that one permit was issued by a state authority and another by

EPA. These situations arise if states lack the authority to impose certain requirements, such as

HSWA corrective action requirements. In such cases, the EPA-issued permit will cover only the

HSWA requirements. Nonetheless, the facility will have to meet both state and federal

requirements. Federal inspectors may coordinate with state inspectors in conducting a complete

review of the facility. Alternatively, federal inspectors can focus their attention on the federal

requirements, leaving state inspectors to assess facility compliance with state requirements.

(2) Orders and Consent Decrees — Any orders or consent decrees issued to a facility will

be important to inspectors since they contain specific provisions with which the facility must

comply. Where inconsistencies arise between a permit and an order/consent decree, the

order/consent decree will take precedence.

(3) RCRA Regulations — Although, in some instances, permits will not reflect new

regulations promulgated since the permit's original issuance, the facility still needs to comply

with these requirements. Indeed, EPA has determined that many regulations are selfimplementing and do not require specific permit language to be enforceable. Specific examples

include the land disposal bans, double liner requirements for surface impoundments, and the

prohibition of liquids in landfills. In addition, as new wastes are listed as hazardous, or new
OSWER Dir. No. 9938.02(b)

3-5

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

characteristics are promulgated, additional wastes at a facility may be deemed hazardous. By

knowing a facility's production processes, inspectors may be able to identify additional

requirements with which the facility will need to comply.
OSWER Dir. No. 9938.02(b)

3-6

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

3.2 Developing An Inspection

Protocol

This section presents guidelines for developing an inspection protocol. In addition, it provides a

series of examples of how an inspector may consider permit conditions in developing a protocol. This

section is divided into four separate subsections addressing: 1) general guidelines, 2) overall site

orientation, 3) releases, and 4) "other" permit conditions.

General Guidelines

Inspectors must follow a consistent and logical strategy for developing inspection procedures to

be followed at a particular facility. The strategy should focus on the specific purpose of the inspection at

hand, and be sensitive to the fact that inspectors have a limited amount of time to prepare for and actually

conduct inspections. Depending on time constraints, inspectors may not be able to verify a facility's

compliance with every applicable regulatory provision (e.g., measurement of aisle space). As a result,

inspection priorities may need to be set. In other instances, inspectors may have time to conduct a

detailed review of all applicable requirements.

A checklist is one tool for conducting an inspection; complete reliance on a checklist

as a means of preparing/conducting inspections is not recommended. Inspectors

have to make individual judgments about the value of checklists.

Information protocols should be developed in accordance with the following basic principles:

• Where possible, questions should be phrased to allow for a "yes" or "no" answer, with

affirmative answers being indicative of good/compliant conditions. This allows

reviewers to easily focus on problem areas.

• Questions should be as specific as possible. Ambiguity in checklist language may cause

problems in making final compliance determinations. Questions with multiple

components should be avoided so that "no" answers refer to a single specific provision

or requirement.

While developing an inspection protocol, inspectors should review the final RCRA permit and

any pertinent attachments to that permit. A draft permit may exclude pertinent changes to the permit

conditions.

Overall Site Orientation

This subsection discusses the development of a general site orientation based on information

contained in a permit. Inspectors should not visit a site without first understanding the general site

settings. Inspectors must understand a facility's layout and general operation to:

• Establish credibility in the opening conference

• Conduct an organized walk-through of the facility
OSWER Dir. No. 9938.02(b)

3-7

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• Ensure that appropriate safety precautions are taken

• Sharpen the focus of the compliance review.

Inspectors should review all relevant documents to develop a fact sheet on general operational

characteristics of a facility. The fact sheet should contain the following:

Suggested Fact Sheet Contents

 • A description of the facility's physical boundaries

 • The types and locations of waste management units that are covered by the

permit

 • The status of each permitted unit (e.g., under construction, under corrective

action, operational, being closed, closed)

 • Ground-water monitoring well locations

 • A description of the processes that generate wastes

 • A description of the types and characteristics of wastes being stored,

treated, or disposed in the waste management units.

Obtaining a facility map may be the most important action inspectors can take prior to a

site visit. A correctly-prepared map should detail a site, inclusive of labels identifying

regulated units, non-regulated units, and ground-water monitoring well locations.

Exhibit 3-1 contains an example of a correctly-prepared map. The information that

inspectors can obtain from a map when developing a checklist or information sheet

include:

• The facility's physical boundaries

• Location and number of each type of waste management unit

• Location of ground-water monitoring wells.

Often, a permit may reflect waste management units that are proposed or still under construction,

as illustrated in Exhibit 3-1. Using a map as a guide, inspectors can determine unit operational status

during site visits.
OSWER Dir. No. 9938.02(b)

3-8

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 3-1

Map of ABC Manufacturing Facility

[This map is not available electronically.]
OSWER Dir. No. 9938.02(b)

3-9

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

The map of a facility may not distinguish permitted units from unpermitted ones. Inspectors

should be able to make this distinction by using information found in the initial pages of a permit.

EXAMPLE

The container section of ABC Manufacturing’s permit reads as follows:

Conditions Related Solely to Storage in Containers

1. The permittee is authorized to store the following maximum quantities of

hazardous waste at the specified locations:

• B-10 Storage Area — 11,000 gallons

• T-559 Storage Building — 5,280 gallons

• B-96 Road Storage Area — 6,380 gallons.

If a map of the ABC Manufacturing facility, with corresponding location codes (e.g., B-10

Storage Area), is available, inspectors should be able to develop questions directed at verifying

certain permit conditions that focus on the general site orientation. For example:

Are any wastes being stored in containers in locations other than the three specified

in the permit? ____ Yes ____ No

For purposes of developing a general site orientation, inspectors need not produce a detailed

protocol that lists all of the requirements of a permit. The following are examples of the requirements that

can be disregarded for these purposes:

• Cracks larger than one-inch deep and one quarter-inch wide must be repaired within 24

hours of discovery

• Four feet of aisle space is required between rows of containers.

If experienced inspectors performing an inspection would detect such a crack, measure the crack's length

and depth and, after the inspection, consult the facility's permit to learn if the condition requires

maintenance.
OSWER Dir. No. 9938.02(b)

3-10

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

In developing a general site orientation, inspectors should review a facility's permit(s) to

gain insight into process operations and wastes generated at the facility.

EXAMPLE

ABC Manufacturing’s permit contains the following information:

GENERAL DESCRIPTION OF HAZARDOUS WASTE

Wastewater Treatment Sludge

 This waste is a sludge which results from the treatment of process rinse waters (including some 

electroplating wastewater) and spent process solutions. This waste is stored in surface impoundments. 

ABC Manufacturing has submitted a delisting petition to the Bureau of Pollution Control for this waste. 

This petition was submitted April 7, 1986. 

WastewaterTreatment Sludge

 EPA Waste Number: F006 (Wastewater Treatment Sludges from Electroplating Operations) 

 General Description: This material is a black sludge as collected in the surface impoundments. It 

dries to a light to medium brown color. 

 Composition of the material: Chromium 

Chromium (VI) 

Nickel 

Zinc 

Iron 

Aluminum

0.1-1.0% 

ND 

0.2-1.7% 

1-2% 

509% 

1-1.5%

DESCRIPTION OF HAZARDOUS WASTE

 The remainder of the sludge consists of excess lime, neutralization byproducts such as gypsum, dirt, 

grit, and other insolubles from the manufacturing process.

This permit information should trigger questions such as:

• Does the waste match the general description?

• Is the electroplating sludge the only waste being discharged to the surface

impoundment? ____ Yes ____ No

In this instance, an inspector using an information sheet may only need to note the type of

waste stored in the surface impoundment and the visual characteristics. He or she can then call the

Bureau of Pollution Control to determine the status of the waste and maybe verify additional ABC

Manufacturing facility information not covered in the RCRA permit. During the site visit, the

inspector can identify the process generating the waste, other wastes that may be entering the

impoundment, waste transportation handling procedures, and other visual signs that signify a

problem.
OSWER Dir. No. 9938.02(b)

3-11

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

For some industries, inspectors must carefully examine the process flow diagrams due to the

unit-specific nature of the waste listing.

EXAMPLE

In reviewing the information from a petroleum refinery, inspectors may notice that the

facility does not report generating any K051 waste, although most refineries do generate K051.

Examination of the process flow diagrams may reveal that this facility is using a coalescing plate

separator instead of the more widely used American Petroleum Institute (API) separator. Although

the sludges from both types of separators are similar in composition, only the API separator sludge

is considered a listed waste.

In sum, preparation of the site orientation portion of an inspection plan allows inspectors to learn

the basics about a facility so that when they perform the inspection, any obvious or serious violations can

be noted. Inspectors should be alert for unpermitted units and transporter and generation activities at a

mostly-permitted facility.

Releases

The inspection of potential release points must be considered when developing an

inspection protocol. If an inspection does not have a specific enforcement focus, and only limited

time is available for the inspection, detection of actual or potential releases is an obvious priority. In

addition, discovery of releases or potential releases may lead to the inspection of additional requirements,

via either permit modifications or orders, that may be imposed on the facility. RCRA Facility

Assessments (RFAs) are an ideal reference tool for reviewing actual and potential release points.

Many RCRA permits contain specific provisions for identifying and mitigating releases to

the environment. Many of these permit provisions reference potential releases associated with

deterioration of management units.
OSWER Dir. No. 9938.02(b)

3-12

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

EXAMPLE

The following language is found in ABC Manufacturing's permit:

Condition of Containers. If a container holding hazardous waste is not in good condition

(e.g., severe rusting, apparent structural defects) or if it begins to leak, the Permittee shall

transfer the hazardous waste from such container to a container that is in good condition.

Any leakage shall be cleaned up immediately upon detection. The Permittee shall visually

inspect the containers for degradation at least weekly and shall record the results of such

inspections in the operating record.

Inspectors cannot easily inspect the first permit condition. They cannot tell whether ABC

Manufacturing has had problems with containers in the past. However, the second permit

condition, the weekly inspections, may aid in this determination.

Among questions that an inspector should ask related to ABC Manufacturing's permit and

that are appropriate for inclusion on a checklist are the following:

Is ABC Manufacturing's container storage area presently free of spills? cracks?

____ Yes ____ No

Do records indicate containers are inspected at least weekly?

____ Yes ____ No

According to records, has ABC Manufacturing's facility been free of spills? cracks?

____ Yes ____ No

Note: Questions have been purposely worded so that any problems would be indicated with a

negative response.

Warning signals of a release or potential release from various units include:

• Rusty or deformed containers

• Poorly stacked drums

• Puddles around units

• Leaking valves on tank

• Strong odors from encapsulated units

• Dead vegetation
OSWER Dir. No. 9938.02(b)

3-13

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• Erosion

• Dusty conditions around piles

• Any other indication that the unit is not containing the waste or is poorly

managed.

Often, a determination of compliance with permit conditions cannot be made through a

simple visual inspection. The following example relating to the ABC Manufacturing facility permit

illustrates how inspectors may develop questions from permit conditions that are designed to address the

above mentioned problem.

EXAMPLE

PERMIT CONDITIONS INSPECTION QUESTIONS

"Pump all liquids out of the leachate collection and 

removal systems immediately after the Permittee 

determines liquids are present. "All liquids" means 

pumping out liquid so that only one inch remains in 

the collection sytem. 

Any leachate collection and removal system which 

generates more than 20 gallons of liquid in any 

calendar day shall immediately cease accepting 

wastes into the regulated unit. The Permittee 

must notify the Director in writing any time this 

criteria is exceeded. 

The Permittee is required to cease discharge of 

hazardous wastes into any surface impoundment 

and immediately implement emergency 

procedures whenever the level of liquids in the 

surface impoundment suddenly drops, and the 

drop is not known to be caused by changes in the 

flow into or out of the surface impoundment from 

normal operation."

Does the facility maintain daily records of daily 

leachate quantities collected? ____ Yes ____ No 

Do records indicate the facility has not exceeded 

releases of 20 gallons per day, every day? 

____ Yes ____ No 

If not, did the Director receive notification of this 

event? ____ Yes ____ No 

Does the facility keep records of the liquid level in 

the surface impoundment? ____ Yes ____ No 

Does the facility maintain records of "normal" flows 

in and out of the unit? ____ Yes ____ No 

Do records indicate a sudden drop in liquid level? 

____ Yes ____ No
OSWER Dir. No. 9938.02(b)

3-14

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

In certain circumstances, inspectors cannot evaluate whether a release has occurred unless

some type of background levels or other criteria are provided.

EXAMPLE

ABC Manufacturing's permit provides as follows:

Corrective Action Requirements

As required in 40 CFR 264.100(a) and 264.101, the Permittee shall conduct corrective

action whenever the concentrations of the following hazardous constituents in ground-water are

in excess of the concentration limits listed below along the points of compliance (the

[downgradient] boundary of each solid waste management unit).

Constituent

Creosote 

Cresols (total of o,m, 

 & p-cresol) 

Naphthalene 

Pentachlorophenol 

Phenol 

Fluoranthene 

Chrysene 

2,4-Dimethylphenol 

2,3,4,6-Tetrachlorophenol

Concentration Limit

Presence or absence 

1750 μg/l 

MDL 

0.20 mg/l 

3.5 mg/l 

0.21 mg/l 

MDL 

MDL 

350 μg/l

Constituent

Background 

ACL 

Background 

ACL 

ACL 

ACL 

Background 

Background 

AC1

The ground-water concentration limits can be perfect inspection criteria, provided ABC

Manufacturing is regularly analyzing the ground-water, as required. Inspectors should bring a

summary of these concentration limits or similar permit conditions to inspections so that they can

readily determine whether the facility is operating within ground-water limitations. Inspectors can

use the summary in conjunction with questions they have derived from the permit conditions, such

as:

Do analytical procedures conform to permit conditions?

____ Yes ____ No

Is the sample being collected at the location specified in the permit?

____ Yes ____ No
OSWER Dir. No. 9938.02(b)

3-15

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Inspectors should be careful to note the units of measure (e.g., mg/l) in permit conditions

and verify that a permittee is using comparable units in its analysis/reporting.

EXAMPLE

The results of the ground-water analysis mentioned in the previous example have been

reported by ABC Manufacturing as follows:

Constituent

Creosote 

Cresols (total of o,m, 

 & fp-cresol) 

Naphthalene 

Pentachlorophenol 

Phenol 

Fluoranthene 

Chrysene 

2,4-Dimethylphenol 

2,3,4,6-Tetrachlorophenol

Concentration Limit

Not Detected 

3.5 mg/l 

Not Detected 

0.02 mg/l 

2.1 mg/l 

Not Detected 

Not Detected 

Not Detected 

29 mg/l

At first glance, it could appear to an inspector that ABC Manufacturing's facility is in

compliance with permit requirements, but a careful examination of the units of measure

may reveal that 2,3,4,6-tetrachlorophenol is significantly above the permitted limit. This

could happen because units specified in the permit are different from the units specified in

the analytical results. The inspector may discover a lack of specified units for groundwater pollutant limitations. Inspectors must pay close attention to this level of detail.

Other Permit Conditions

As discussed previously, an inspection checklist can cover any or all permit conditions. This

subsection provides examples of how to construct checklist questions that inspectors may find valuable

through reference to permit conditions, and explains how each question may be useful to a compliance

determination. While the intention of an inspection is to assist in a noncompliance determination, it is

not expected that the inspection will necessarily result in such a determination without further

investigation.
OSWER Dir. No. 9938.02(b)

3-16

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Three examples are provided, covering permit conditions in the following areas: waste analysis

plan, unit-specific conditions for storage tanks, surface impoundments, and corrective action.

EXAMPLE

Waste Analysis Plan

All TSD facilities are required to submit a waste analysis plan as part of a Part B permit

application that, when approved, becomes part of a facility's permit conditions. The plan

characterizes hazardous wastes generated or handled by the facility, and outlines sampling

procedures, analytical methods, constituents of concern, and reporting requirements.

Inspectors may learn from discussions with a permit writer/enforcement official that

sampling and analysis problems consistently arose during ABC Manufacturing facility’s interim

status. The permit writer/enforcement official also found that the personnel conducting the tests, as

well as the equipment used to conduct the tests, created persistent problems. As a result, the permit

writer inserted permit conditions into ABC Manufacturing’s waste analysis plan. These are noted

below in Exhibit 3-2, along with sample checklist questions that could be derived from the permit

conditions.

With reference to Exhibit 3-2, if Bill Jones and Julia Smith remain as ABC Manufacturing’s

chemists, their degrees have been previously verified and the correct response to questions 1 and 2

is "yes". Otherwise, inspectors should review the degrees of current personnel.

While affirmative responses suggest compliance with this condition, the fact that employees

hold chemistry degrees does not necessarily indicate that they follow good sampling/analytical

practices. As suggested in Exhibit 3-2, inspectors can fashion additional questions from the permit

conditions to check on these issues.

However, the "as necessary" clause regarding AAS and the Graphite furnace cannot be

verified easily. Similarly, whereas the laboratory's annual participation in the NPDES Quality

Assurance Program may be verified, the fact that ABC Manufacturing uses QA/QC procedures

"very similar" to those which appear in SW-846 does not allow for easy inspection.

The answers to the indicated questions may serve as rough indications of the adequacy of the

facility's waste analysis plan. However, despite compliance with all of these conditions, that plan

may still be inadequate. For example, the balances may have needed servicing earlier than the

routine 6-month period.
OSWER Dir. No. 9938.02(b)

3-17

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 3-2

Waste Analysis Plan

Permit Conditions and Inspection Questions

PERMIT CONDITIONS INSPECTION QUESTIONS

The samples are taken under the direction of the Plant 

Environmental Chemist, who will keep a log of the sample and field 

notes (if any) in a bound notebook. Samples are labeled and 

numbered, then submitted to the laboratory with a sample request 

form. (The Environmental Chemist will have a Bachelor of Science 

Degree in Chemistry. Present Environmental Chemist is Bill 

Jones, III, who has a B.S. degree in chemistry from the State 

University, plus 7 years experience.) 

All samples are submitted to ABC Manufacturing's Smalltown 

Plant Analytical Laboratory. All analyses are performed 

under the direction of the Plant Chemist whose 

requirements include a Bachelor of Science Degree in 

Chemistry. (This position is currently held by Julia 

Smith, who has a Bachelor of Science degree in 

Chemistry from State College, plus 7 years 

experience.) 

The equipment used for the analyses performed for the 

Waste Analysis Plan is as follows: 

Atomic Absorption Spectrophotometer - Perkin Elmer Zeeman 

303 Model with HGA600 Perkin Elmer Graphite Furnace. 

Printer - Perkin Elmer PR-100. 

pH Meter - Fisher Accumet Model 325 or equivalent. 

Balances - Various to cover weights from 0.0001 g up. 

(1) Rite Weight, Inc. - To service balances every 6 

 months. Includes test of scale deflection, pre- 

 cision, and accuracy of weight set. 

(2) Perkin Elmer - To service AAS and Graphite 

 furnace as necessary. 

Note: Should ABC Manufacturing's laboratory, for any reason, not 

be able to analyze the samples, they will be preserved and sent to 

a contract laboratory (currently Jones Laboratory, Inc.). ABC 

Manufacturing's laboratory, or any laboratory at which samples are 

to be analyzed, will conform to a Quality Assurance Program as 

follows. 

For every analytical procedure, blanks, mid-point standards, 

calibration curves, and duplicate analyses are included. Quarterly 

reference standards are analyzed for all parameters in the Waste 

Analysis Plan and Ground-water Monitoring Plan. The Laboratory 

follows quality control and quality assurance procedures very 

similar to those given in SW 846, July, 1982, 2nd Edition, Section 

10.4. In addition, the Laboratory must participate in EPA's annual 

Quality Assurance Program under the National Pollutant Discharge 

Elimination System (NPDES).

SAMPLING PERSONNEL 

LABORATORY PERSONNEL 

ANALYTICAL EQUIPMENT 

SERVICE AND QUALITY ASSURANCE

Does the Plant Environmental Chemist 

have a BS or advanced degree in 

chemistry? 

____ Yes ____ No 

Does the Plant Chemist have a BS degree 

in Chemistry? ____ Yes ____ No 

Does the facility have all the equipment 

required to run the analyses performed for 

the waste analysis plan: 

• Perkin Elmer Zeeman 3030 Model 

 Atomic Absorption Spectrophotometer 

 with HGA600 Perkin Elmer Graphite 

 Furnace? ____ Yes ____ No 

• Perkin Elmer PR-100 printer? 

 ____ Yes ____ No 

• Fisher Accumet pH meter Model 325 or 

 equivalent? ____ Yes ____ No 

• Balances to cover weights from 0.0001 g 

 and up? ____ Yes ____ No 

Are balances serviced every 6 months? 

____ Yes ____ No

1. 

2. 

3. 

4. 
OSWER Dir. No. 9938.02(b)

3-18

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

EXAMPLE

TSDF Unit-Specific Conditions

Unit-specific permit conditions were established for each regulated unit at the ABC

Manufacturing facility. In developing these conditions, the permit writer considered: the minimum

requirements in 40 CFR 264, site specific environmental factors, the wastes handled in the unit,

and any potential problems identified at the ABC Manufacturing facility. This example shows how

a checklist can be developed to evaluate: 1) unit design, operation, and maintenance and 2)

compliance with procedures and recordkeeping conditions. Examples of unit-specific conditions

(relating to storage tanks and surface impoundments) and possible checklist questions derived from

those conditions are set forth in Exhibit 3-3 below.

Visual inspection of the ABC Manufacturing storage tank should enable inspectors to answer

Question 2. However, it is more subjective to determine whether the Permittee has maintained the

system by replacing the filtration system "...when analytical results indicate that the system has

become saturated or otherwise ineffective." In this case, inspectors will want to examine records

regarding routine maintenance of the system, as well as analytical data.

ABC Manufacturing’s permit mandates that surface impoundments P-12 and P-16 cannot

accept wastes after November 8, 1992. If an inspection is conducted after that date, inspectors may

include Question 4 in the protocol. Visual inspections may serve to determine whether waste

continues to be placed in the impoundments. However, inspectors will need to review records to

determine whether wastes were placed in the unit in the interim period between the inspection and

November 8, 1992. In addition, inspectors should fashion questions from Section II.J and

Attachment 8 of the permit to determine whether closure is proceeding on schedule.

Inspectors may also want to review whether the ABC Manufacturing facility is recording

data on a daily basis; including Question 5 in the protocol will ensure that this issue is addressed.

In addition, inspectors should review the data for trends and fluctuations to evaluate the need for

further investigation and to assist with preparations for future inspections. Inspectors may question

appropriate plan personnel about any inexplicable data points and note responses.

By examining the daily records for leachate generation, inspectors can determine weekly

average leakage rates. In addition, while conducting inspection planning activities in the office,

inspectors should note whether the Director had been informed of any occurrences of excess leakage

and, if so, when. If inspectors discover that such an event occurred, they should include Question 7

to determine compliance.
OSWER Dir. No. 9938.02(b)

3-19

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 3-3

Unit-Specific Permit Conditions and Inspection Questions

PERMIT CONDITIONS INSPECTION QUESTIONS

STORAGE TANKS

The permittee shall install an activated carbon filtration system on the

vents of the 3010 tanks. A manifold system may be used to connect

the vents from each of the tanks to treat vapors from all of the tanks

with a single filter. The activated carbon filtration system shall be

either a Calgon VentSorb or Calgon High Flow VentSorb Canister

system. The Permittee shall replace the activuated carbon filtration

system in accordance withh manufacturer’s recommendations or when

analytical results indicate that the system has become saturated or

otherwise ineffective.

1. Has the facility installed either a Calgon

Vensorb High Flow Ventsorb Canister

System on the vents of the 3010 tanks?

The Permittee shall maintain at least 6 inches of freeboard

(headspace) in the Laboratory Holding Tank at all times. This distance

(6 inches) shall be measured downward from the bottom of the

overflow drain pipe, which is indicated as Item 2 in Attachment __.

The Permittee shall set the liquid level switch alarm system to be

activated so that the specific freeboard (headspace) limit is not

exceeded.

2. Does the Permittee maintain at least 6

inches of freeboard in the laboatory

holding tank at all times?

_____ Yes _____ No

3. Is the switch and alarm system set and

activated to ensure that this limit is not

exceeded?

_____ Yes _____ No

SURFACE IMPOUNDMENTS

This permit condition defines the five evaporation impoundment units

at the facility and specifies that units P-12 and P-16 will be removed

from service by November 8, 1992. The liner systems of units P-12

and P-16 do not meet the requirements of the minimum technology

standards (Section 3004(o) of HSWA). The Permittee did not apply

for a waiver of the requirement to retrofit these impoundments to meet

the minmum technology standards. Consequently, these units cannot

receive waste after November 8, 1992 and closure of these units must

proceed on the scheduled specified in Section II.J. and Attachment 8

of this permit.

4. Are units P-12 and P-16 continuing to

receive wastes?

_____ Yes _____No

“The Permittee shall monitor for and record on a daily basis the

presence and volume of liquids in the leachate detection, collection,

and removal system sumps during the active life of the units

(including the closure period), and at least weekly during the postclosure period.”

5. Has the Permittee monitored and

recorded on a daily basis the presence

and volume of liquids in the leachate

detection, collection, and removal system

sumps?

_____ Yes _____ No

“The Permittee shall, within 45 calendar days of detecting an

increase of treater than 50 percent aboce the preceding weekly

average leakage rate, submit to the Director and the Administrator a

report on the leakage.”

6. Has the average leakage rate for any

week ever exceeded the previous week’s

average by more than 50 percent?

_____ Yes _____ No

7. Did the Permittee submit the required

report of this event to the Director within

45 calendar days?

_____ Yes _____ No
OSWER Dir. No. 9938.02(b)

3-20

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

EXAMPLE

Corrective Action Conditions

Corrective action conditions may be verified on the basis of results and/or reports, such as

progress reports. Certain corrective action conditions for the ABC Manufacturing facility’s land

disposal unit are listed in Exhibit 3-4. The permit condition identifies those constituents and

associated maximum concentration limits for which the permittee must monitor to determine

whether corrective action is required. Prior to an inspection, inspectors should review all available

reports regarding corrective action progress and related permit modifications (or applications) to

determine the current status of operations. Inspectors should inquire as to whether all constituents

are measured at the listed concentration limits. Inspectors may also design questions directed at

whether the appropriate statistical test was used. For example:

Does ABC Manufacturing make use of the Behrens-Fisher Student's t-test?

____ Yes ____ No

If not, did the Regional Administrator approve the use of an equivalent

test?

____ Yes ____ No

In addition, inspectors may want to independently determine whether the ground-water

protection standards were exceeded by applying the approved statistical technique. If this

inspection is the first one after commencement of the action, the checklist questions may focus on

the proper establishment and placement of pumping wells. For example:

Was a pumping well established at grid coordinates (X15, Y12)?

____ Yes ____ No

Other questions may involve compliance with reporting requirements. A more

comprehensive inspection would involve sampling and analysis to independently verify the

accuracy of ABC Manufacturing’s reports.

By examining the daily records for leachate generation, inspectors can determine weekly

average leakage rates. In addition, while conducting inspection planning activities in the office,

inspectors should note whether the Director had been informed of any occurrences of excess leakage

and, if so, when. If inspectors discover that such an event occurred, they should include Question 7

to determine compliance.
OSWER Dir. No. 9938.02(b)

3-21

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 3-4

ABC Manufacturing Facility’s Corrective Action Conditions

Ground-water shall be removed [at all locations] where hazardous wastes, hazardous constituents, or breakdown products 

have entered the ground-water from a solid waste management unit, as required under 40 CFR §264.101. 

The Permittee must use the Behrens-Fisher Student's t-test or an equivalent statistical test approved by the Regional 

Administrator to determine if concentrations exceed ground-water protection standards of this permit. 

The analytical method and the minimum detection limit (MDL) for each constituent must be designated in all reports of 

analyses. 

If the Permittee identifies additional Appendix VIII constituents, he shall: 

Corrective Action Pumping

The well at grid coordinates (X15, Y12) shown on Figure 1 shall be installed initially to extract the plume of contamination 

migration from the sludge pits, as required under 40 CFR §264.100(b) and §264.101. Additional extraction wells shall be 

installed within 180 days of determination by the Permittee or EPA that the initial extrication well system is not extracting the 

entire plume. The Permittee shall comply with all other state and federal laws regarding treatment and discharge of the 

extracted water. The well shall be pumped at a maximum well yield until Condition II.C.1 is met. 

Time Period for Implementation

Under 40 CFR §264.100(c) and §264.101, the Permittee shall commence corrective action no later than twenty-four (24) 

months after the effective date of the permit. 

The Permittee shall submit a compliance schedule progress report to the Regional Administrator describing progress on 

implementation of corrective action no later than fourteen (14) days from the first anniversary of the effective date of the 

permit. 

Corrective Action Monitoring

The Permittee shall monitor the effectiveness of corrective action on ground-water quality and ground-water flow across the 

entire extent of the contamination plume emanating from the sludge pits, as required under 40 CFR §264.100(d) and 

§264.101. 

The corrective action monitoring shall commence on the effective date of the permit with quarterly monitoring in wells WC-7 

and WC-14 for the hazardous constituents listed in II.C.1.

a) Re-sample the affected well(s) within thirty (30) days; 

b) Notify the Regional Administrator in writing within seven (7) days if the presence of additional constituents is confirmed; 

c) Within sixty (60) days submit to the Regional Administrator, a determination whether there is a statistically significant 

 increase above the background. The Behrens-Fisher Student's t-test or an equivalent statistical test approved by the 

 Regional Administrator shall be used to determine a statistically significant increase; and 

d) If a significant statistical increase is determined, the Permittee must submit to the Regional Administrator an application 

 for a permit modification to make any appropriate changes to the program. 

Constituent

Creosote 

Cresols (total of o, m & p-cresol) 

Naphthalene 

Pentachlorophenol 

Phenol 

Fluoranthene 

Chrysene 

2,4-Dimethylphenol 

2,3,4,6-Tetrachlorophenol 

P-chloro-m-cresol 

2,4-Dichlorophenol 

2,4,6-Trichlorophenol 

Benzo (k) fluoranthene 

Benzo (b) fluoranthene 

2,4-Dinitrophenol

Concentration Limit

Presence or absence* 

1750 μg/l 

MDL 

0.20 mg/l 

3.5 mg/l 

0.21 mg/l 

MDL 

MDL 

350 μg/l 

MDL 

105 μg/l 

MDL 

MDL 

MDL 

70 μg/l

Basis

Background 

ACL 

Background 

ACL 

ACL 

ACL 

Background 

Background 

ACL 

Background 

ACL 

Background 

Background 

Background 

ACL
OSWER Dir. No. 9938.02(b)

3-22

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

3.3 Summary

• Although generic checklists may be appropriate and efficient for conducting

inspections at interim status facilities, permitted facilities are subject to site-specific

conditions that must be identified and inspected.

• Two models are recommended for developing permit-specific inspection plans:

- Checklists

- Permit summary sheets.

Inspectors and their supervisors may choose either, or a combination of the two.

• Inspectors must assemble the materials needed for a thorough inspection of a

permitted facility:

- RCRA permit and permit application

- Orders and consent decrees

- RCRA regulations.

• In reviewing permits, inspectors must review all pertinent information, including

other documents or the permit application when referenced in the final permit.

• Reference should be made to the procedures outlined for developing an inspection

protocol. Using the permit, an inspector can focus on:

- Overall site orientation

- Releases

- Other relevant conditions.

Having developed an effective protocol, inspectors will be ready to conduct an inspection.
OSWER Dir. No. 9938.02(b)

4-1

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.0 Conducting An Inspection

SECTION PAGE

4.1 Introduction.............................................................................................. 4-3

4.2 Facility Entry ............................................................................................ 4-4

Arrival ........................................................................................................ 4-4

Consent ...................................................................................................... 4-5

Denial of Access......................................................................................... 4-5

Use of Warrant to Gain Access................................................................... 4-8

Conducting an Inspection Under Warrant.................................................... 4-8

Dealing with Threats................................................................................... 4-8

4.3 Opening Discussion................................................................................... 4-10

4.4 Operations, Waste Handling, and Record Review.................................. 4-12

Discussion of Operations and Waste Handling............................................. 4-12

Record Review ........................................................................................... 4-12

4.5 Visual Inspection Procedures................................................................... 4-17

Use of Inspection Checklists ....................................................................... 4-19

Determining the Need for Sampling and Identifying

Sampling Points.......................................................................................... 4-20

Observations for Follow-Up Case Development.......................................... 4-21

4.6 Documentation.......................................................................................... 4-22

Field Notebook........................................................................................... 4-22

Checklists................................................................................................... 4-23

Photographs................................................................................................ 4-23

Maps and Drawings.................................................................................... 4-24
OSWER Dir. No. 9938.02(b)

4-2

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

SECTION PAGE

4.7 Closing Discussion .................................................................................... 4-25

4.8 Summary................................................................................................... 4-28

INSPECTION 

FOLLOW-UP

CONDUCTING 

INSPECTIONS

PREPARING 

FOR 

INSPECTIONS
OSWER Dir. No. 9938.02(b)

4-3

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.1 Introduction

The authority to conduct inspections is set forth in Section 3007(a) of RCRA and is reproduced

verbatim in Exhibit 1-4 of this Manual. Section 3007(a) grants authority to inspectors to enter the

premises of anyone who "generates, stores, treats, transports, disposes of, or otherwise handles or has

handled hazardous wastes" and to access all records pertaining to such wastes.

The responsibilities of inspectors in conducting inspections are outlined in

the statutory authority. Inspectors must:

• Enter premises at reasonable times and complete inspections as promptly as

possible

• Issue receipts for samples collected

• Provide duplicate samples

• Furnish owners, operators, or agents copies of any sample analyses conducted.

In this chapter, inspectors will be provided with detailed information that will assist them in

performing the following steps:

• Facility entry

• Conducting an opening discussion

• Reviewing and understanding facility operations, waste handling procedures, and

records

• Visual inspections

• Documentation of observations

• Conducting a closing discussion.
OSWER Dir. No. 9938.02(b)

4-4

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.2 Facility Entry

The first stage of an inspection requires advance consideration and will set the tone for the

remainder of the site visit. Therefore, inspectors must make certain decisions about how they will act

once on-site and how to respond to obstacles encountered.

Arrival

3

6

9

12

Inspections can be announced or unannounced, as discussed in Section 2.6 above.

Regardless, inspectors should determine an appropriate time of entry. Inspections must

be conducted at a reasonable time or during normal working hours. Inspections that

cannot be completed before the normal close of business will continue on the next

business day, unless management does not object to completing the inspection after

closing time (if the time needed to complete the inspection is short). If a facility is open

continuously, or if management leaves before operations stop, inspectors may continue an

inspection using their own discretion. In any event, an inspection should be completed in

a timely manner.

Upon arrival, inspectors should:

• Locate the proper official (owner, operator, or agent) as soon as possible and determine

whether this official is authorized to offer assistance

• Present identification to the proper officials, even if it is not requested, and keep

identification in sight at all times

• Document arrival in a logbook or field notebook, noting date, time, and the names and

titles of facility personnel encountered.

Generally, proper identification consists of an inspector's EPA or state agency identification card

and any additional identification required by EPA Regional or state policy. Inspectors should familiarize

themselves with applicable Regional or state policy on identification requirements.

Inspectors may be asked on arrival to sign a log, passbook, waiver, or other form prior to entering

the facility. In general, inspectors may sign logs or passbooks; they are used by facilities to keep a record

of visitors to the facility and are useful in the event of a fire or other emergency.

Important:

Inspectors should not sign waivers or other legal documents if they limit

the facility's liability in the event of an accident. Additionally, inspectors

should not sign other legal documents limiting their rights or the owner’s

responsibilities while the facility visit is occurring.
OSWER Dir. No. 9938.02(b)

4-5

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Consent

The owner or agent in charge of a facility at the time of an inspection must give consent

to the inspector to inspect the premises.

Inspectors should note that a consent to inspect may be withdrawn at any time. However, any

segment of an inspection that is completed before such withdrawal remains valid. Withdrawal of consent

is equivalent to a refused entry. In such an event, inspectors must secure a warrant to complete the

inspection. Refusal of entry and use of a warrant to obtain entry are discussed in the following sections.

Inspectors may observe and report on things in plain view (i.e., anything that a member of the

public could be in a position to observe) even without consent to site entry. This includes observations

made while on private property in areas not closed to the public (e.g., matters observed while the inspector

presents identification).

During an inspection, an owner/operator may try to limit an inspector's access to portions of the

facility. Limiting access to portions of the facility is similar to denying access to the facility. The

appropriate response to being denied access is discussed in the following sections.

Denial of Access

Inspectors may be denied access for several reasons, some of which may be valid. Inspectors can

reasonably be denied access if they do not have the safety equipment required by a facility (per OSHA or

NIOSH requirements). In such a case, it will generally be possible to obtain access by satisfying the

owner/operator’s objection (e.g., by returning on another day with the required safety equipment).

Inspectors do not usually need a warrant to obtain access in such cases.

Legally indefensible actions resulting in denial of access include:

• An owner/operator refusing to allow an inspector to bring in necessary equipment

(e.g., camera)

• An owner/operator refusing an inspector access to documents

• An owner/operator refusing entry due to a strike and/or plant shutdown

• An owner/operator refusing entry due to an inspector's refusal to sign a waiver or

other legal document restricting the owner/operator’s liabilities or obligations.
OSWER Dir. No. 9938.02(b)

4-6

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Response to Denial of Access

• Ask the reason for denial

• If the problem is beyond the inspector's authority, suggest that

the official contact an attorney to obtain legal advice on his/her

responsibility under §3007 of RCRA

• Do not, under any circumstances, discuss potential penalties or

do anything that might be construed as threatening

• If access is still denied, fill out a “Denial of Access Report” (the

format is set forth in Exhibit 4.1) (obtain the signature of the

facility representative if possible)

• Leave the premises and document any observations made

pertaining to the denial, particularly any suspicion of violations

• Report all aspects of denial of access to the appropriate

Regional or state enforcement division to determine the

appropriate action to take and to get help in obtaining a search

warrant

• A federal or state enforcement division attorney should assist

the inspector in preparing the documentation necessary to

obtain a search warrant and in arranging for a meeting with the

inspector and a U.S. or State Attorney (the inspector or attorney

will bring a copy of the appropriate draft warrant and affidavits

to the meeting)

• For federal inspections, the enforcement division attorney will

inform the appropriate EPA Headquarters enforcement attorney

or equivalent of any entry refusals and will forward copies of all

papers filed

• The attorney will then secure a warrant and forward it to the

inspector and/or the U.S. Marshal or equivalent state law

enforcement authority.
OSWER Dir. No. 9938.02(b)

4-7

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 4-1

Format for Denial-of-Access Report

DENIAL-OF-ACCESS REPORT

On at I was denied access into

at

Location

by

Facility Representative's Name and Title

for the following reason(s):

List here:

1. 

2.

Signed/Inspector

Signed/Facility Representative

The facility representative, , has refused

to sign this Denial-Of-Access Report. ( , .)
OSWER Dir. No. 9938.02(b)

4-8

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Use of Warrant to Gain Access

Inspectors should keep the following points in mind when seeking access to a facility under a

search warrant:

• A U.S. Marshal or local law enforcement officer should accompany inspectors if the

probability is high that entry will still be refused, or if the owner/operator has made

threats of violence

• Inspectors should never attempt to make forceful entry into a facility

• If an owner/operator refuses entry to an inspector with a warrant and the inspector is not

accompanied by a U.S. Marshal or local law enforcement officers, the inspector should

leave the facility and inform an enforcement division attorney.

Conducting an Inspection Under Warrant

The procedures for conducting an inspection under a search warrant will differ from

those for conducting an inspection under normal circumstances.

Procedures for Inspection Under Warrant

 • The inspection must be conducted in strict accordance with the warrant. If

the warrant restricts the inspection to certain areas or to certain records,

inspectors must comply with these restrictions.

 • If sampling is authorized, all procedures must be carefully followed,

including presentation of receipts for all samples taken. The facility should

also be informed of its right to retain a portion of the samples obtained by

inspectors.

 • If records or property are authorized to be taken, inspectors must provide

receipts and maintain an inventory of all items removed from the premises.

Dealing With Threats

The receptiveness of facility officials to an inspection will vary from facility to facility. In

general, most inspections proceed without difficulty. However, in some cases, facility representatives may

threaten inspectors trying to obtain entry to the facility or during the course of an inspection (e.g., when

trying to obtain access to a particular portion of a facility or after an inspector suggests the existence of a

violation).
OSWER Dir. No. 9938.02(b)

4-9

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Inspectors should determine the appropriate course of action for managing a threat based

upon the nature of the threat and the actions of facility officials. If threatened with violence,

inspectors should terminate an inspection and follow procedures presented in the section entitled "Denial

of Access." In such cases, inspectors should not return to the facility unless accompanied by a U.S.

Marshal or local law enforcement officer. Inspectors will probably need to obtain a warrant in these cases.

If inspectors receive threats that do not involve a threat of physical harm (e.g., a threat to call the

inspector's supervisor), they will not generally need to terminate the inspection, unless the owner/operator

withdraws consent or denies access in addition to making a threat. In such a case, inspectors should

follow the relevant procedures discussed in previous sections. They should also be certain to note the

threats in their field log.

Inspectors must avoid making any statements to facility representatives that could be

construed as threatening or inflammatory.
OSWER Dir. No. 9938.02(b)

4-10

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.3 Opening Discussion

When inspectors locate proper facility authorities and present their identification, it may be

appropriate to discuss their inspection plans with facility officials.

AGENDA FOR OPENING MEETING

• Outline inspection objectives—this will inform facility officials of the purpose and scope

of the inspection and may help to avoid misunderstandings.

• Provide management with information on RCRA—during an initial inspection,

inspectors may wish to discuss the provisions of RCRA and any new requirements that may

affect the facility, as well as furnishing a copy of the Act. Acting in this manner, inspectors

are regarded as sources of regulatory information and can help strengthen Agency-industry

relations.

• Establish the order of the inspection—discussing the sequence of the inspection will

eliminate wasted time by allowing officials time to make records available and to start

intermittent operations.

• Establish meeting schedules—scheduling meetings with key personnel will avoid time

wasted in waiting for people to become available. Inspectors should obtain business cards

from all persons interviewed during the inspection.

• Arrange for accompaniment by facility personnel—during compliance inspections, it is

helpful if a facility representative accompanies inspectors to explain operations and to

answer questions.

• Schedule a closing conference—a wrap-up meeting should be scheduled with appropriate

officials to provide a final opportunity to gather information, to answer questions, and to

complete administrative duties.

• Advise management of the availability of duplicate samples—the facility has a right to

request, and receive immediately, duplicates of any samples collected during the inspection

for laboratory analysis, as well as copies of subsequent analysis results (if an enforcement

case is not pending or being pursued).

• Gather general information—inspectors should obtain any necessary general information,

such as the name and address of the chief executive officer of the facility.

• Ascertain whether the owner/operator is going to claim any information as confidential

business information—an owner/operator should inform inspectors if and when

information is confidential. If an owner/operator does make a claim of confidentiality,

inspectors should provide the appropriate forms.
OSWER Dir. No. 9938.02(b)

4-11

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Inspectors should establish charge of an inspection during the opening discussion with the

owner/operator. However, inspectors should be sensitive to the need to avoid, as much as possible,

disrupting a facility's operations.

Throughout an inspection, inspectors should consider themselves to be investigative reporters

searching for information that shows non-compliance with regulations. If inspectors diligently question

facility personnel and observe operations, they will be able to discern inconsistencies in what they see,

hear, and have previously reviewed, leading to possible findings of violations.

Inspectors must pursue inconsistencies until they are resolved. For example, if a facility is using

a commercial solvent that generates a listed waste, but does not report that it is generating that waste,

inspectors should determine what happens to the solvent. Questions: “Where is the solvent used in the

plant?” “Is it all consumed during use?” Inspectors must then decide if the facility representative’s

explanation is plausible, and whether it is consistent with the inspector’s observations and knowledge.

Inspectors should pursue inconsistencies until they are satisfied that they either constitute a violation

or do not.

Holding an opening discussion immediately after receiving access to a facility may not be

appropriate in all cases. Depending upon the objective of an inspection, inspectors may want to see

particular operations or locations in a facility prior to an opening discussion. For example, in an

unannounced inspection of a facility with a suspected violation, an inspector may want to go directly to

the site of the suspected violation to observe the violation before the owner/operator can stop, conceal, or

otherwise obscure the non-complying operation or condition.
OSWER Dir. No. 9938.02(b)

4-12

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.4 Operations, Waste

Handling, and Record

Review

Discussion of Operations and Waste Handling

Following an opening discussion, inspectors should have facility representatives describe

facility operations and waste generation and management practices. In general, inspectors will have

become familiar with a facility through previous review of the facility’s file. Therefore, the purposes of

the discussion will be to:

• Obtain a more detailed understanding of operations

• Answer any questions inspectors may have regarding waste generation, waste flow, and

waste management activities

• Identify any changes in operating and/or waste management practices

• Identify and reconcile any discrepancies between the operations described by the facility

representative and those described in the facility file.

During this discussion, inspectors should prepare waste information sheets (included in Appendix IV) on

each waste managed at the facility.

Record Review

After discussing facility operations and waste handling practices, inspectors usually

proceed to the record review. The record review provides inspectors with the opportunity

to become thoroughly familiar with a facility and to formulate specific questions to be

investigated during the visual inspection of the facility. However, the record review does

not have to occur before the visual inspection. In some cases, inspection objectives may be

best served if the visual inspection occurs before the record review, or the visual inspection

may be performed first for other reasons (e.g., availability of facility personnel or weather

conditions).

RCRA inspectors are responsible for reviewing all recordkeeping, as required of the

owner/operator. Although no standard format is required, inspectors should check for: 1) the presence of

required records or plans, 2) dates of the documents to ensure the documents are kept up-to-date and/or

maintained for the required period, and 3) any suspected falsification of data.

The regulatory requirements under Parts 262, 263, 265, 266, 268, 270, and 279 mandate that the

following records be maintained by regulated parties:
OSWER Dir. No. 9938.02(b)

4-13

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Records To Be Maintained By

Regulated Parties

1. Generators:

• 262.34 - Job titles and personnel records, agreements with local authorities, and contingency

plan.

• 262.40 - Manifests, biennial reports, exception reports, and waste analyses and test results (or

other bases for determining the hazardous nature of a waste and its classification).

• 268.7 - Land disposal notification and certification.

2. Transporters:

• 263.22 - Manifests, shipping papers for bulk shipments by rail or water, and manifests for

foreign shipments

• 279.46 - Tracking records for shipments of used oil.

3. Treatment, Storage, and Disposal Facilities:

• General facility standards, including the following:

265.13 - Waste analysis plan

265.15 - Inspection schedule

265.16 - Job titles and personnel records

265.51,53 - Contingency plan

265.71-77 - Manifest system (records of manifests)

265.73 - Operating record

265.93 - Outline of ground-water monitoring plan

265.94 - Ground-water monitoring record

265.112 - Closure plan

265.118 - Post-closure plan

268.7 - Land disposal notification and certification

268.19(d) - Special notification for characteristic wastes.

• Facility-specific standards, including the following:

265.193(i) - Annual assessment for tanks

265.196(f) - Certification of major repairs

265.197(2) - Contingent post-closure plan

265.279 - Land treatment, requirements for operating record and closure plan

265.309 - Landfills, requirements for operating record, contents and organizations of

cells, and closure plan

265.440(c) - Drip pad contingency plan

265.441(a) - Drip pad evaluation

265.441(b) - Drip pad upgrade plan

265.443(a) - Drip pad assessment

265.443(b) - Drip pad waste collection system cleaning

266.42 - Used oil analysis

266.44 - Used oil fuel analysis
OSWER Dir. No. 9938.02(b)

4-14

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Records To Be Maintained By

Regulated Parties (Continued)

3. Treatment, Storage, and Disposal Facilities: (continued)

266.100(c) - Boiler and industrial furnace exemption for metals recovery units

266.103(k) - Boiler and industrial furnace operating record

266.108 - Small quantity boiler and industrial furnace burner exemption waste quantity

records

266.111 - Direct transfer equipment inspection records for boilers and industrial furnaces

266.112 - Boiler and industrial furnace waste residue data

270.30 - Permits, requirements for monitoring information

(Subparts F & G).

• Required submittals to the Regional Administrator (see Exhibit 4-2).

4. Part A Permit Applicants (interim status TSDFs):

• 270.10 - Data used to complete permit applications.

• 270.30 - Records of all monitoring information.

5. Used Oil Processors and Re-Refiners

• 279.55 - Used oil analysis plan.

• 279.56 - Tracking records.

• 279.57 - Operating record.

• Required submittals to the Regional Administrator (see Exhibit 4-2).

6. Off-Specification Used Oil Burners

• 279.65 - Tracking records.

• 279.66 - Off-specification used oil certification.

• Required submittals to the Regional Administrator (see Exhibit 4-2).

7. Used Oil Fuel Marketers

• 279.72 - Analysis of used oil fuel.

• 279.74 - Tracking records.

• 279.75 - Off-specification used oil certification.

• Required submittals to the Regional Administrator (see Exhibit 4-2).
OSWER Dir. No. 9938.02(b)

4-15

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 4-2

Required Submittals to the Regional Administrator

Section 265.11 

Section 265.12 

Section 265.56 

Section 265.72 

Section 265.74 

Section 265.75 

Section 265.93 

Section 265.94 

Section 265.115 

Section 266.103 

Section 270.110 

Section 279.51 

Section 279.57 

Section 279.62 

Section 279.73

EPA identification number. 

Notice of date of arrival of hazardous waste from a foreign source. 

In cases of releases, fires, or explosions, notification by emergency 

coordinator that an affected area is adequately cleaned before 

operations are resumed. 

Written report by emergency coordinator on emergency incident, within 

15 days of incident. 

Manifest discrepancy report within 15 days of receipt of waste. 

Upon closure, copy of records of waste disposal locations and quantities. 

Biennial report. 

In cases of confirmation of analyses indicating significant increase (or pH 

decrease), a written notice that the facility may be affecting ground-water 

quality within 7 days of date of such confirmation. 

Within 15 days after above notification, specific plan for a ground-water 

quality assessment program at the facility. 

After determination of the above ground-water quality assessment, 

written report containing an assessment of ground-water quality and/or 

indicating a reinstatement of the indicator evaluation program. 

Recordkeeping and reporting: ground-water monitoring information as 

specified. 

Annual reports of Section 265.75 contain results of ground-water quality 

assessment program. 

Certification of closure. 

Certifications of pre-compliance and compliance. 

Permit application and amendments. 

EPA identification number. 

Biennial report. 

EPA identification number. 

EPA identification number.
OSWER Dir. No. 9938.02(b)

4-16

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

While performing a record review in accordance with the applicable regulations, inspectors may

encounter problems in accurately interpreting the regulations. Therefore, the Agency has made available

a number of guidance documents and lists of background documents that will aid both inspectors and the

regulated community to comply with the recordkeeping requirements of Subtitle C. These are presented

in Appendix V of this Manual. A complete catalog of background documents can be obtained from the

RCRA Superfund Industrial Assistance Hotline at 1-800-424-9346 (in the Washington, D.C. area, 703-

412-9810).
OSWER Dir. No. 9938.02(b)

4-17

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.5 Visual Inspection

Procedures

in sp ect In general, the visual inspection of a facility should proceed in accordance with an

inspection plan or strategy that inspectors develop during inspection planning. As

previously discussed in Section 2.6 above, this plan should outline, in the level of detail

considered appropriate by inspectors, the operations they intend to inspect and the

tentative order in which they will conduct the inspection. Inspectors may, however,

determine that it is appropriate to modify a plan based upon information obtained

during the record review or other factors, such as the availability of specific personnel

for interviewing or the scheduled operations of waste management units to be

inspected.

Inspectors should change their planned approach, as needed, to accommodate conditions

they encounter at a facility.

Step-by-step procedures for visually inspecting a facility will vary according to the type of facility

and the objectives of the inspection. Specific procedures for inspecting facilities for compliance with

particular RCRA standards are organized by regulation in Appendix III to this document. That appendix

provides a summary of RCRA standards and describes detailed suggested inspection procedures for

determining compliance with Parts 262, 263, 268, and the general facility standards of Parts 264, 265,

and 266.

Generic checklists, which may serve to guide inspectors in performing inspections and in

recording results of inspections, are provided in Appendix IV of the Manual. Regional offices

and state agencies may have developed their own checklists that should be used in lieu of

those provided in Appendix IV.

Inspectors should conduct inspections in a way that allows them to evaluate and understand the

waste flow within a facility and to determine the compliance status of each segment of the facility's waste

management system.
OSWER Dir. No. 9938.02(b)

4-18

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

EXAMPLE

In ABC Manufacturing’s plant, which generates hazardous waste, stores waste for off-site disposal,

and treats some waste on-site, an inspection COULD proceed as follows:

Inspect Points of 

Generation and 

Accumulation

Evaluate In-Plant 

Waste Transport

Evaluate Storage and 

Treatment Units for 

Compliance

Determine if ABC Manufacturing has identified all 

hazardous waste by following the manufacturing 

process and identifying each point at which 

hazardous wastes are generated and where they 

are stored. Determine if accumulation points meet 

satellite storage area requirements, if applicable. 

Identify waste minimization opportunities.

Determine if there is potential for mislabeling, 

misplacing, or mishandling wastes, and if wastes 

are adequately tracked to enable proper 

identification at storage and treatment units.

Determine if wastes in units correspond to those 

whose points of generation have been inspected, 

and identify the source of any other wastes in the 

units. Determine if any hazardous wastes are 

generated in the unit (e.g., treatment sludge) and 

evaluate the management of such waste for 

compliance.

The progression of steps described above enables inspectors to understand the movement and

control of wastes within a facility. Inspectors will then be able to identify:

• Hazardous wastes that may not currently be considered hazardous by the owner/operator

• Non-complying procedures or management practices that are part of the facility's routine

operations

• Steps in the management process during which wastes may be mishandled or

misidentified, and in which there are opportunities for spills or releases

• Unusual situations which may be encountered during an inspection that vary from the

facility's stated normal operating procedures and that may indicate potential violations.
OSWER Dir. No. 9938.02(b)

4-19

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Such a progression also allows inspectors to complete a checklist and to evaluate the facility in an

organized manner, helping to ensure that all aspects of hazardous waste management activities at the

facility are thoroughly inspected.

Inspections may be conducted completely on foot or, at larger facilities, partially by vehicle. In

any case, inspectors should note all that is happening at the facility. Although inspectors should generally

follow an inspection plan to better understand waste generation and management within a facility, they

should not feel compelled to adhere to their original inspection plan or route. Rather, they should feel free

to diverge from their original plan to further investigate any observations that may uncover potential

violations or environmental hazards.

As stated earlier, inspectors should maintain control of the pace and direction of an inspection.

They should ask relevant questions of both the facility representative guiding them through the facility

and of other personnel. By questioning diverse personnel, inspectors may identify inconsistencies in

explanations of procedures or operations that could indicate possible non-compliance that they should

further investigate, and get an indication of the adequacy of the personnel training program. Inspectors

should record answers to questions and observations in a field log or notebook, which is discussed in

Section 4.6.

N

S

W E

Inspectors should be careful to remain oriented during the tour of a facility so that they

can accurately note locations of waste management areas, possible release points,

potential sampling locations, etc. At larger facilities, inspectors should carry a map or

plot plan in order to note locations and maintain their orientation.

Use of Inspection Checklists

As previously discussed, inspectors should complete as much of applicable checklist(s) as

possible in the facility office, generally during the record review, prior to visually

inspecting the facility (unless the objectives of the inspection or other circumstances

dictate that the visual inspection occur before the record review). Inspectors should leave

blank those sections of checklist(s) that require visual inspection to complete.

During the visual inspection, inspectors should complete those sections of checklist(s) requiring

visual inspection. However, completing these sections is not the sole purpose of a visual inspection, and

the inspector must not limit the visual inspection to only completing the checklist. Inspectors should be

aware of, and investigate, all relevant waste generation and management activities throughout the facility,

and note what is happening around them as they tour the facility. If inspectors conduct visual inspections

in ways which allow them to understand how wastes are generated, transported, and managed at the

facility (as previously discussed), they should be able to complete the applicable checklists easily during

the inspection and obtain other important information.
OSWER Dir. No. 9938.02(b)

4-20

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Determining the Need for Sampling and Identifying Sampling Points

Inspectors do not routinely conduct sampling as part of CEIs at interim status and

permitted facilities. Rather, they generally perform sampling during inspections in support

of case development, which normally occur after potentially non-complying conditions or

criminal activities have been identified during a CEI or through some other means.

Sampling procedures to be followed during case development inspections/evaluations are

provided in detail in the Technical Case Development Guidance Document, OSWER Dir.

9938.3 (1988), available from the Office of Waste Programs Enforcement. Additional

information on sampling is provided in several EPA publications, including:

• Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, EPA Office of

Solid Waste, Pub. No. SW-846, July 1982, as amended (Update I - April 1984; Update II

- April 1985)

• Characterization of Hazardous Waste Sites - A Methods Manual, Volume II. Available

Sampling Methods, EPA, Pub. No. 600/4-84/075, April 1985.

If inspectors are to conduct sampling during a CEI, they will determine this, or be so informed,

during inspection planning. Inspectors should refer to the above mentioned manuals during inspection

planning to obtain information on preparing sampling plans, taking samples, preserving samples, splitting

samples with an owner/operator, and completing chain-of-custody requirements.

Although inspectors will not usually perform sampling during CEIs, they should be aware

of, and identify, potential sampling requirements that may need to be fulfilled in future

inspections, particularly in cases where an inspector has identified potentially noncomplying conditions or criminal activity. In these cases, it is possible that case

development inspections/evaluations will need to be performed at the facility in the future.

Some conditions indicating a possible need for future testing include:

• The owner/operator is handling a potentially hazardous waste as a non-hazardous

waste—sampling may be required to verify that the waste is hazardous or nonhazardous.

• In-plant waste handling practices indicate that mislabeling/ misidentification of waste is

likely to occur, or that wastes may vary significantly in characteristic over time and be

mismanaged as a result—sampling may be required to demonstrate that the facility is

mislabeling or misidentifying wastes.

• There is visible or other observable evidence of possible releases of hazardous wastes

from waste management units, satellite storage areas, waste generating areas, etc.—

sampling media and wastes may be required to demonstrate that a release has occurred

or is occurring.

• Wastes may be managed improperly, i.e., in an inappropriate treatment or disposal

unit—sampling may be required to verify that the correct wastes are being managed in

the facility's various waste management units.
OSWER Dir. No. 9938.02(b)

4-21

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

To facilitate any future sampling, inspectors may identify the media or wastes to be sampled, the physical

locations at which sampling should occur (e.g., the location of a possible release), the steps within a

treatment process to sample, the physical characteristics of the medium to be sampled (e.g., sludge,

granular solid), and other relevant information.

Observations for Follow-Up Case Development

Observations of potentially non-complying conditions or criminal activity made by

inspectors during CEIs may result in the initiation of enforcement actions.

In all cases, inspectors should accurately and validly document all observations that may lead to

or support further case development activities. They should record in their notebooks any and all

observations made during an inspection and, where appropriate, use other forms of documentation (e.g.,

photographs) to further record potentially non-complying conditions. Documentation is discussed further

in Section 4.6 following.
OSWER Dir. No. 9938.02(b)

4-22

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.6 Documentation

Documentation refers to all printed and mechanical media produced that inspectors copy or

take to provide evidence of suspected violations. It is strongly recommended that

inspectors record information collected during an inspection in the following types of

records only: field notebooks, checklists, photographs, maps, and drawings.

Recording information on other loose papers is discouraged; loose papers may be

easily misplaced and the information on them discredited during hearings. Proper

documentation and document control are crucial to the enforcement system, as the

Government's case in a formal hearing or criminal prosecution often hinges on evidence

that inspectors gather. Therefore, it is imperative that inspectors keep detailed records of

inspections, investigations, photocopies, photographs taken etc., and thoroughly review all

notes before leaving a site.

Document control ensures accountability for all documents when an inspection is completed.

Accountable documents include items such as: logbooks, field data records, correspondence, sample tags,

graphs, chain-of-custody records, bench cards, analytical records, and photos. To ensure proper document

control, each document should bear a serialized number and should be listed, with the number, in a

project document inventory assembled upon completion of an inspection. Water-proof ink should be used

to record all data on serialized, accountable documents.

Field Notebook

In keeping field notes, inspectors should maintain a legible daily diary or field

notebook containing accurate and inclusive documentation of all inspection activity,

conversations, and observations. This field notebook should also include any

comments, as well as a record of actual or potential future sampling points,

photograph points, and areas of potential violation. The diary or field notebook

should contain only facts and observations because it will form the basis for later

written reports and may be used as documentary evidence in civil or criminal

hearings. Notebooks used for recording field notes should be bound and have

consecutively numbered pages. A separate notebook should be used for each facility

inspected, in case the notebook has to be made available to the owner/operator and/or

his or her attorney as part of a legal action (e.g., through discovery). Because field

notebooks may be made available to owner/operators and their attorneys,

inspectors should be careful to avoid recording potentially embarrassing notes or

notes which may weaken any future enforcement action.

For federal inspectors, field notebooks are part of EPA's Regional files, not inspectors’

personal records. State policy on field notebooks may vary; thus, state inspectors are advised to

become familiar with applicable state policy.
OSWER Dir. No. 9938.02(b)

4-23

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Checklists

In general, inspectors should use checklists in conjunction with field notebooks to record

inspection observations. However, Regions or states may have different policies on the use

of checklists, and inspectors should follow their applicable Regional or state policy. Also,

some inspectors may not be comfortable with checklists and should find a mechanism for

recording information consistent with his/her style.

Appendix IV of this document provides checklists for use by inspectors. In some cases, Regions

or states may have preferred checklists that should be used instead of the checklists provided here.

Inspectors should use the checklists preferred by their Region or state. Inspectors should not rely on

checklists as a substitute for knowledge and understanding of the regulations.

As discussed in Section 4.5, inspectors should remember that checklists are only a tool for

organizing, conducting, and recording the results of an inspection; they should not limit the scope of an

inspection in any way since completion of a checklist is not a valid goal. Inspectors should be observant

of the general operation of a facility, waste management practices, and potentially regulated activities not

covered by checklists (e.g., new activities of which they were not aware in planning the inspection) as they

perform the record review and visual inspection.

Inspectors should generally limit the scope of comments on a checklist to checking the relevant

answers, although more extensive comments may be made if no alternative record is available for noting

observations. It is recommended that comments or observations on checklist answers be recorded in the

field notebook, where there is adequate room for explanations, sketches, etc., to expand upon checklist

answers.

Photographs

Photographs provide the most accurate documentation of inspectors’ observations, and

inspectors can use this significant and informative source for review prior to future

inspections, at informal meetings, and at hearings. Documentation of a photograph’s

origin is crucial to its validity as a representation of an existing situation. Inspectors

should note, in a field notebook or on a facility map, the following information about each

photograph they take:

• Date

• Time

• Number of the photo on the roll

• Type of film, lens, and camera used

• Signature of photographer

• Name and ID number of site

• General direction faced by inspector when taking photograph

• Location of checkpoint on site

• Other comments (e.g., weather conditions).

Inspectors should limit their comments to these pertinent facts because any discussion of the photograph

in terms of its content could jeopardize its value as evidence.
OSWER Dir. No. 9938.02(b)

4-24

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Inspectors may select the type of camera they will use, although 35mm single lens reflex cameras

are most common. Inspectors should also note that photographs taken with a telephoto lens may not be

admissible evidence as these lenses may distort the scale of the photo or image. When taking photos,

inspectors should include in the photograph a ruler or other item, as appropriate, for showing the scale of

an object photographed.

If inspectors have video cameras available to them, they are well-advised to employ them as an

excellent means of documentation. EPA anticipates that video cameras may gradually become standard

equipment to be used on inspections. Video cameras have the unique ability to capture verbal and visual

inputs simultaneously, thereby providing a more comprehensive picture of a facility. Inspectors should be

sure to display the date and time of their recording in the video itself.

EPA has not developed a specific policy pertaining to the use of video cameras on inspections.

Certainly, some facility owner/operators may object to their use by inspectors. Inspectors, therefore,

should be well-versed in their own offices' policies.

Maps and Drawings

Schematic maps, drawings, charts, and other graphic records can be useful in

documenting violations. They can provide graphic clarification of a particular site

relative to the overall facility; demonstrate spill or contamination parameters (e.g., the

size of a contaminated area) relative to the height or size of objects; and other information

that, in combination with other documentation, can produce an accurate and complete

evidence package.

Maps and drawings should be simple and free of extraneous details. Basic measurements should

be included to provide a scale for interpretation, and compass points should be included. Generally, maps

should also be used to show where photographs were taken, and in what direction; photo locations can be

shown on the map using the roll number, exposure (photo) number, and a direction arrow.
OSWER Dir. No. 9938.02(b)

4-25

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.7 Closing Discussion

Facility officials are usually anxious to discuss the findings of an inspection before inspectors

leave. Inspectors should hold a closing meeting or conference for the presentation and discussion of

preliminary inspection findings. During this meeting or conference, inspectors can answer final

questions, prepare necessary receipts, provide information about RCRA, and request the compilation of

data that were not available at the time of the inspection. Inspectors should also be prepared to discuss

general follow-up procedures, such as how results of the inspection will be used and what further

communications the Region or state may have with the facility. Inspectors should conduct closing

conferences in accordance with any applicable guidelines established by the EPA Regional Administrator

or state director.

APPROACH TO CLOSING DISCUSSION

When conducting a closing discussion, inspectors should:

• Review inspection notes and checklists in private prior to the closing discussion.

Inspectors may need to take time to refer back to applicable federal or state

standards, call their supervisor, talk with Regional or Headquarters counsel, or call

the RCRA Superfund Industry Assistance Hotline (1-800-424-9346 or, in the

Washington, D.C. area, 703-412-9810), to obtain a clear interpretation of the

regulations as they apply to the specific conditions at the facility. In general, at

this point, inspectors should:

1) Identify any questions that remain to be asked of facility officials. These

may include questions raised during the visual inspection that need

clarification and questions concerning potential violations uncovered during

the inspection of which the facility representative is unaware.

2) Determine which inspection results to discuss with the facility

representatives and how to approach the discussion, i.e., how definitively to

present results. Of course, all inspection findings are preliminary until

reviewed by an inspector’s supervisor. However, inspectors should be

prepared to discuss all obvious violations of rules observed during the

inspection forthrightly; they should not suggest that an owner/operator of a

facility is in criminal violation of RCRA or that civil or criminal action will

be taken. Inspectors may not want to discuss tentative findings when there

is doubt that a violation has occurred and where they will need to further

review facility conditions, regulations, and guidance to determine

compliance.
OSWER Dir. No. 9938.02(b)

4-26

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

APPROACH TO CLOSING DISCUSSION (Continued)

3) Anticipate questions that may be asked by the facility representatives and

determine how to respond. Obviously, questions that may be asked will

largely depend on inspection results. Inspectors can anticipate that a facility

representative may challenge specific results, ask for clarifications of rules

or results, and request help in understanding how to respond to or correct

non-complying conditions. Inspectors should be prepared to answer all

questions within their ability, authority, and knowledge, and to defer

answering questions that they cannot answer with certainty. Inspectors

should tell the facility representative how they will follow-up on deferred

questions, and may refer the representative to appropriate EPA or state

officials for answers to questions beyond their authority.

• After completion of the first step, meet with the facility representatives to ask

questions, review results, and answer their questions. When presenting results,

inspectors should inform the facility representative that all inspection results are

preliminary and that the overall compliance status of the facility will be

determined after review of inspection results with supervisory personnel and the

issuance of an inspection report.

In conducting a closing meeting, it is essential that inspectors maintain a professional, courteous

demeanor, even though the attitude of facility representatives may not be cordial. Because inspectors are

often the only contact point between EPA or a state agency and the regulated industries, they should be

keenly aware of opportunities to maintain and improve agency-industry relations. The closing conference

provides a good opportunity for inspectors to offer various kinds of help to facility officials, within

appropriate limits. Having just completed an inspection, inspectors will have first-hand knowledge of

existing problems and solutions.

Improving Relations with the Regulated Community

• Discuss problems with facility officials and tactfully offer help and suggestions,

as appropriate. Inspectors should limit their comments to relatively

straightforward interpretations of rules and resolutions of problems. They

should avoid providing any advice or assistance that would prejudice the

government's case in a subsequent enforcement action (e.g., making

guarantees that the facility would come into compliance by performing

certain actions, other than those specified verbatim in regulations).

Additionally, inspectors should be careful to avoid making suggestions that

might imply that a "consultant" type of relationship exists with the

owner/operator.

• Offer or suggest available resources to facility officials to help overcome

specific problems or assist in their waste minimization efforts (e.g., Agency

outreach materials, technical publications, special services available to industry,

etc.).
OSWER Dir. No. 9938.02(b)

4-27

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Contact with a facility after an inspection can lead to gathering of additional information and

demonstrate interest in the facility, but inspectors should exercise discretion in making such contacts.

Contacts should serve enforcement or compliance objectives. It is important for inspectors, as industry

relations representatives, to follow-up on deferred questions, referrals, and offers of help made during an

inspection. These activities, within appropriate limits (which may be set by Regional or state policy),

contribute towards achievement of a major enforcement objective: making regulated facilities come into,

or maintain, compliance. Communicating through letter, phone call, or repeat visit indicates to facility

officials that the regulatory agency is genuinely interested in assisting them achieve compliance (within

appropriate limits), and that the agency is paying attention to their efforts, or inaction, in achieving or

maintaining compliance.

Inspectors should never recommend a particular consultant or consulting firm to a facility,

even if asked to do so. However, inspectors may recommend that a facility contact a

professional society to obtain professional assistance.
OSWER Dir. No. 9938.02(b)

4-28

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

4.8 Summary

Although inspectors may exercise a certain amount of discretion in conducting an inspection,

certain rules and procedures should be followed to ensure the required level of consistency and quality.

Inspectors must at all times maintain a professional approach to their work, even in the face of difficult

circumstances, and must concern themselves with detail.

Thorough information-gathering is central to any inspection effort and should

occur during all phases of the inspection discussed in this chapter:

• Opening discussion

• Discussion of operations and waste handling

• Record review

• Visual inspection

• Documentation

• Closing discussion.

As the key link between EPA and state agencies and the regulated community, inspectors must also serve

as an information source for facilities.

Upon completion of an inspection, and appropriate documentation of findings, an inspector

is ready to prepare the inspection report, discussed in Chapter 5.
OSWER Dir. No. 9938.02(b)

5-1

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.0 Inspection Follow-Up

SECTION PAGE

5.1 Introduction.............................................................................................. 5-2

5.2 Report Preparation................................................................................... 5-3

Objective .................................................................................................... 5-3

Report Preparation Procedures ................................................................... 5-4

5.3 Report Elements ....................................................................................... 5-5

Narrative Information ................................................................................. 5-5

Checklists................................................................................................... 5-6

Documentary Support................................................................................. 5-6

5.4 Follow-up Discussions and File Preparation............................................ 5-9

Preparing Inspection Files........................................................................... 5-10

5.5 Disclosure of Official Information............................................................ 5-11

Requests for Information............................................................................. 5-11

Confidential Business Information............................................................... 5-11

5.6 Summary................................................................................................... 5-13

CONDUCTING 

INSPECTIONS

INSPECTION 

FOLLOW-UP

PREPARING FOR 

INSPECTIONS
OSWER Dir. No. 9938.02(b)

5-2

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.1 Introduction

In this chapter, inspectors will be informed of critical steps in the final phase of inspection

work—inspection follow-up. This includes preparation of the inspection report and related activities. As

the culmination of inspectors’ efforts, this phase must be undertaken in a consistent, thorough, and

comprehensive manner.

To successfully complete inspection follow-up, inspectors must:

• Understand their objective(s)

• Be familiar with procedures that can help reach the objective(s)

• Include all relevant information in their reports and files

• Ensure that inspection files are as current as possible

• Perform in a manner consistent with applicable law.

All of these aspects of inspection follow-up will be thoroughly discussed below.
OSWER Dir. No. 9938.02(b)

5-3

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.2 Report Preparation

The report package that inspectors prepare following an inspection greatly impacts on the

adequacy of follow-up to correct problems or deficiencies noted during an inspection. Inspectors must

organize their reports in a manner that allows them and their supervisors to make maximum use of all

information. It is also essential that inspectors complete their reports expeditiously so that results are

available to support further enforcement actions, especially in situations where a facility has significant

violations or where other offices plan activities related to an inspected facility. Specifically, inspection

reports will support the following types of enforcement actions:

• Administrative actions (warning letters, administrative orders, etc.)

• Civil court actions

• Criminal court actions.

This Manual presents a general method for reporting inspection findings and conclusions. A

recommended report format is included. Many Regions and states have preferred formats tailored to their

own specific procedures and requirements, but in cases where inspectors may not have a specific model to

follow, they will need to develop their own approach that meets all of the requirements outlined below.

Inspection reports must be well-written and should document

all key facts because they may become the focal point for an

enforcement action.

Objective

An inspection report should organize and coordinate all relevant information and evidence

gathered during an inspection in a comprehensive and usable manner. To meet this objective, the

information presented in an inspection report must be:

• Accurate — All information must be factual and based on sound inspection practices;

observations should be the verifiable results of first-hand knowledge and must be

objective and factual.

• Relevant — Information in an inspection report should be pertinent to the subject of the

report; irrelevant data clutter a report and can reduce its clarity and usefulness.

• Comprehensive — The subject of a report (e.g., suspected violations) should be

substantiated by as much factual, relevant information as possible. The more

comprehensive the evidence is, the better and easier the case development process

becomes.
OSWER Dir. No. 9938.02(b)

5-4

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

• Coordinated — All information pertinent to the subject should be organized into a

complete, well-organized, lucid package. Documentary support (photographs,

photocopies, statements, sample analyses, etc.) accompanying the report should be

clearly referenced so that any interested party reading the report gets a complete and

clear overview of the subject. Additionally, the report should be neat and legible.

Report Preparation Procedures

Inspectors should follow four basic steps when preparing inspection reports, regardless of the

specific nature of the elements/contents. Each of these steps is briefly described here:

Step 1: Review Information: When preparing a report, inspectors should gather all

information developed during the inspection. More specifically, inspectors should

assemble checklists, field notebooks, photos, maps, photocopies, and drawings and

review the material for relevance and completeness. When gaps in information are

discovered, inspectors should obtain necessary data by calling the facility

representative or, in unusual circumstances, conducting a follow-up visit.

Step 2: Organize Material: Inspectors may organize their information in one of several

ways, depending on the requirements of the agency the inspector represents.

However, the report should always include each of the items mentioned in Step 1

above and should present the information in a logical, comprehensive manner. The

narrative should be easily understandable (a cross-referencing system with the

checklist can be useful).

Step 3: Reference Accompanying Material: Inspectors should clearly reference all

documentary support that accompanies an inspection report so that any reader can

easily locate relevant documents. Inspectors should check all documentary support

for clarity prior to writing an inspection report.

Step 4: Write the Narrative Report: After gathering all appropriate information,

inspectors can write the narrative section of the inspection report. The narrative

report presents a factual record of the procedures used in the inspection and of the

resulting findings. Using the field notebook as a guide for preparing the narrative

report, inspectors should refer to the routine procedures and practices used during

the inspection, but should describe in detail facts relating to potential violations and

discrepancies.

Inspectors should reference any confidential business information included in the inspection

report in a nonconfidential manner (i.e., by Document Control Number and a general description of the

information contained in the document). Inspectors may also include the confidential information and

treat the entire inspection report as a confidential document. If they select the latter alternative, inspectors

must log the report with the Document Control Officer to ensure that only persons cleared for access are

permitted to review it.
OSWER Dir. No. 9938.02(b)

5-5

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.3 Report Elements

Although the specific information about a facility that must be included in an inspection report

will vary, each report will usually be composed of three elements: narrative information, checklists,

and documentary support. Suspected violations must be documented through employment of these

elements, each of which is described below.

Narrative Information

A narrative discussion of the facility inspected, its operations, and the findings of the inspection

is a key element of an inspection report. The narrative should, at a minimum:

• Explain the overall nature of a facility’s activities

• Discuss manufacturing and waste management operations at the facility

• Describe the generation and handling of wastes

• Describe apparent violations, and discuss the documentary evidence supporting a

determination that a facility has a violation.

The narrative explains and supports findings presented in any inspection checklists included in the

inspection report (discussed below). The narrative also may include recommendations for follow-up

actions. A recommended outline for a narrative discussion is presented in Exhibit 5-1.

Inspectors should present narrative information in a simple manner.

Tips for Effective Narrative Discussion

 • Use a simple writing style; avoid stilted language

 • Use active rather than passive voice (e.g., "I observed ..." rather

than "It was observed ...")

 • Keep paragraphs brief and direct

 • Avoid repetition

 • Proofread the narrative carefully upon completion.
OSWER Dir. No. 9938.02(b)

5-6

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Checklists

Checklists are designed to lead to the collection of standard reviewable information.

They function as guides to ensure that inspectors collect all basic data. As discussed in

Chapter 4 of this Manual, inspectors generally complete checklists as they progress

through an inspection. In instances where checklist(s) require further clarification and

elaboration, inspectors should use the information they recorded in their field notebooks

and other information (e.g., from the inspection file) to expand upon checklist results in

the narrative body of the inspection report. Inspection checklists are only one

component of a complete report; they are not sufficient in and of themselves. The

checklists that inspectors use and include in reports will vary according to individual state

and Regional procedural requirements.

Documentary Support

Inspectors should include, as part of their inspection reports, all documentation that is intended

to provide evidence of suspected violations. Such documentation may include: statements, photographs,

photocopies, drawings and maps, printed matter, mechanical recordings, and copies of permits and

records. The information that inspectors should record in field notebooks and on facility maps to

document photographs is discussed in Chapter 4 of the Manual.
OSWER Dir. No. 9938.02(b)

5-7

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 5-1

Recommended Narrative Outline for Inspection Report

GENERAL INFORMATION

Facility Information (Name, Address, Telephone Number)

Facility Representative (Name, Title)

Inspection Participants (Name, Agency or Company)

Date of Inspection

Applicable Regulations 40 CFR Parts 260-272

Purpose of Inspection (Requested by ...; inspection of ...; sampling of ...; etc.)

State Coordination (Assisted by ...; Copy of report to ...; Additional information

obtained from ...)

Facility Description (RCRA related activities, including operations, wastes generated,

waste handling operations, etc.)

Violations Observed or

Alleged

(Regulatory citation; nature of violation; evidence)

FOR GENERATORS

General Standards for

Generators

Parts 262.10 - 262.12 (Describe compliance with these

standards)

The Manifest Parts 262.20 - 262.23 (Establish existence of manifest records;

assess adequacy with respect to regulatory requirements)

Pre-Transport

Requirements

Parts 262.30 - 262.34 (Review packaging, labeling, marking, and

placarding procedures for compliance with the regulations;

establish compliance with accumulation time restrictions)

Recordkeeping and

Reporting

Parts 262.40 - 262.43 (Establish existence of annual reports and

additional reports)

Special Conditions Parts 262.50 - 262.51 (Inspect for reports of international

shipments of waste, and proper notification to the Administrator)
OSWER Dir. No. 9938.02(b)

5-8

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Exhibit 5-1 (Continued)

Recommended Narrative Outline for Inspection Report

FOR TRANSPORTERS

General Parts 263.10 - 263.12 (Ensure that the transporter has obtained

an EPA I.D. number and only stores waste at transfer facilities

for fewer than 10 days)

Manifest System and

Recordkeeping

Parts 263.20 - 263.22 (Establish existence of manifest records

and compliance with manifest procedures)

Hazardous Waste

Discharges

Parts 263.30 - 263.31 (Ensure that transporter is aware of

responsibilities under these sections; check to see if any

discharge reports have been made to the Department of

Transportation as required by these regulations)

FOR TSDFs

General Facility Standards Parts 264/5.10 - 264/5.18 (Describe compliance with standards)

Preparedness and

Prevention

Parts 264/5.30 - 264/5.37 (Check for required equipment and

arrangements with local authorities)

Contingency Plan and

Emergency Procedures

Parts 264/5.50 - 264/5.56 (Check records and procedures for

adequacy with respect to the requirements of these sections)

Manifest System,

Recordkeeping, and

Reporting

Parts 264/5.70 - 264/5.77 (Establish existence of manifest

records, operating record, annual report, and unmanifested waste

report; assess adequacy with respect to regulatory requirements)

Groundwater Monitoring Parts 264/5.90 - 264.99 or 265.94 (Examine ground-water

monitoring plan and review results of sampling analysis)

Corrective Action Program Parts 264.100 - 101 (Review status of corrective action program)

Closure and Post Closure Parts 264/5.110 - 264/5.120 (Review closure and post-closure

plans for adequacy with respect to regulatory requirements)

Facility Specific Standards Parts 264/5.170 - 264.603 or 265.445 and Parts 264/5.1100 -

1102 (Depending upon the type of facility being inspected,

establish compliance with the appropriate regulatory standard)

Permit Conditions (For permitted facilities, review violations of specific permit

conditions or schedules of compliance)
OSWER Dir. No. 9938.02(b)

5-9

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.4 Follow-Up Discussions

And File Preparation

In many cases, inspectors will brief their supervisors on inspection results (particularly

observed violations). Inspectors may also brief the Regional Case Development Officer (RCDO),

equivalent state case development officer, or enforcement decision group on an inspection. These

briefings may be given to:

• Assist in determining the need for possible enforcement action

• Answer questions about performance of the inspection

• Clarify inspection results to develop additional evidence in support of enforcement case

development.

In addition to these briefings or discussions, inspectors may need to discuss results with other

Regional or state personnel as appropriate.

Briefing Required?

• Where inspectors have referred a facility representative to other

Regional or state personnel for information or assistance. These

personnel should be contacted by the inspector and briefed about

conditions at the facility and the types of questions that they should expect

to receive.

• Where a facility is subject to both federal and state enforce-ment, and

inspectors observe potential violations at units not within their

jurisdiction. Inspectors should contact the Regional or state agency with

enforcement authority over the unit(s) with violations. Regions and states

may have policies concerning the need to consult with other agencies with

which they share joint authority over hazardous waste management

facilities; inspectors should become familiar with and follow policies

applicable to their respective jurisdictions.

• Where a facility has applied for a permit, or is operating under a

permit, and where inspectors identify conditions that conflict with

those presented in the permit application or required in the permit. If

a facility has applied for a permit, and conditions at the facility are not

consistent with the application, inspectors should inform the permit writer

of the conflicting conditions. If the facility has been permitted, and

conditions are not consistent with the permit, the conditions may

constitute violations unless a modification has been granted. In such

cases, inspectors should confer with the permit writer on the observed

conditions and any modifications which the facility may have applied for

or discussed with the permit writer, prior to determining how to present

these conditions in an inspection report.
OSWER Dir. No. 9938.02(b)

5-10

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Preparing Inspection Files

Upon completion of an inspection report, inspectors should organize the report,

supporting notes, and other documentary information into an inspection file. If

inspection documentation includes confidential business information (CBI), inspectors

should separate the information into two files, one non-confidential and the other

confidential.

Properly organizing the inspection information into files so that material can be easily reviewed

by inspectors or other interested Agency officials helps expedite review of inspection results to determine

possible enforcement actions. For EPA inspections, inspection files are normally sent to RCDOs for

review. The RCDO reviews the file in depth to determine the information's adequacy for purposes of

supporting any necessary enforcement actions and substantiating elements of a violation. The result of the

review will generally be a recommendation to proceed with an enforcement action or to dismiss violations

as unworthy of prosecution. For state inspections, state inspection files may go through a similar review

by comparable state enforcement personnel.

The non-confidential inspection file should contain the inspector’s report and all forms of nonconfidential documentation, which may include:

• Field notebooks

• Documents relating to sampling, as appropriate (e.g., custody records, analytical results)

• Photographs

• Drawings and maps.

Where necessary, inspectors may need to prepare a CBI inspection file. This file should

include all CBI inspectors gather during an inspection, and the results of analyses for samples considered

to be CBI. Inspectors should follow relevant procedures for logging CBI with Document Control Officers,

or the state equivalent. The CBI inspection file can only be reviewed in accordance with RCRA CBI

control and security procedures. For more information on CBI procedures, inspectors should review the

RCRA Confidential Business Information Security Manual, available from the Office of Solid Waste,

Office of Program Management and Support.
OSWER Dir. No. 9938.02(b)

5-11

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.5 Disclosure of Official

Information

In addition to their inspection duties, inspectors are responsible for making information

available to the public. This section describes how to handle requests for general information and the

procedures for managing confidential business information.

Requests for Information

EPA's "open-door" policy on releasing information to the public strives to make information

about EPA and its work freely and equally available to all interested individuals, groups, and

organizations. In fact, EPA employees have both a legal and traditional responsibility for making useful

educational and safety information available to the public.

This policy, however, does not extend to all information. When information related to

suspicion of a violation, evidence of possible misconduct, or confidential business information is

requested, personnel should immediately notify their supervisor and/or legal counsel.

Representatives of state agencies may use EPA's policies on information disclosure as a

guide in the absence of formal procedures of their own.

Inspectors should clear any contacts with the press, other communications media, and

interested groups with their supervisor, Regional public affairs office, or state public affairs

office, as appropriate. Inspectors should be familiar with and follow Regional or state policy

regarding press relations.

In situations where inspectors or an inspection team are authorized to discuss activities with the

press or interested groups, one person should be designated as the spokesperson to provide information

concerning inspection responsibilities and investigative activities. Inspection teams should refer questions

concerning investigation of alleged violations and enforcement policy to the EPA Regional Counsel or

appropriate state enforcement staff attorney for response. In all contacts with the media, inspectors should

be careful not to make careless or accusatory statements.

Confidential Business Information

All confidential information obtained will be identified as such and placed in a locked filing

cabinet or safe. Only authorized personnel will be allowed access to the file. No copies of CBI will be

made unless authorized in writing by the document control officer. Inspectors and other enforcement

personnel have a responsibility to the submitters of RCRA CBI to maintain the confidentiality of such

information. Personnel handling CBI are prohibited from disclosing, in any manner or to any extent not

authorized by law, any RCRA CBI they have access to in the course of their employment or official duties.

Requests for access to confidential information by any member of the public or by a state, local, or federal

agency will be handled according to the procedure described in the Freedom of Information Act

regulations (40 CFR 2). All requests will be referred to the responsible Regional organizational unit.
OSWER Dir. No. 9938.02(b)

5-12

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Section 3001(b) of RCRA and 40 CFR 2.305(h) authorize EPA to furnish CBI to state agencies

acting as authorized representatives of the United States in support of RCRA, provided the state agency

has its own CBI procedures approved by EPA. State and Regional RCRA CBI procedures vary.

Inspectors must become familiar with their specific procedures prior to obtaining CBI authorization

access.

Confidential claims for RCRA should not be confused with confidential claims under other

environmental laws (e.g., Toxic Substances Control Act).

Unauthorized disclosure of RCRA CBI may subject an employee to criminal

penalties under 18 United States Code (USC) Section 1905. Violations of RCRA CBI

procedures by employees may result in the revocation of CBI authorization access

and/or further disciplinary action.

For more detailed information, inspectors should consult the RCRA Confidential Business

Information Security Manual, Office of Solid Waste, U.S. EPA, Draft, March 1984.

Contract inspectors must provide the same degree of protection to RCRA CBI that EPA or an

authorized state agency provides. Although the contractor protection of CBI must be equivalent to EPA,

the nature of contracts is such that the specific procedures are somewhat different. Contract inspectors

should first consult Contractor Requirements for the Control and Security of RCRA Confidential Business

Information, Office of Solid Waste, U.S. EPA, March 1984.
OSWER Dir. No. 9938.02(b)

5-13

FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

5.6 Summary

To ensure that all of their hard work preparing for and conducting an inspection has been

worthwhile, inspectors must focus on all of the necessary follow-up work. This includes:

 • Report preparation

 • Follow-up discussions with appropriate

personnel

 • Preparation of an inspection file

 • Appropriate handling of requests for information

and CBI.

It is critical that reports and files be prepared in such a manner that they will be useful in future case

development, inspections, and other activities.