UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

OFFICE OF ENFORCEMENT

EPA-330/9-89-003-R

MULTI-MEDIA INVESTIGATION MANUAL

Revised March 1992

NATIONAL ENFORCEMENT INVESTIGATIONS CENTER

Denver, Colorado

Prepared in cooperation with Environmental Services Divisions

Regions I through X
Mention of commercial names is for example purposes and does not constitute endorsement by EPA.

Additionally, this manual supplements, not supersedes, Standard Operating Procedures, Policy and

Procedures Manuals, and any other EPA guidance.
i

CONTENTS

INTRODUCTION ........................................................... 1

Purpose and Scope of this Manual ......................................... 5

PROJECT REQUEST/IDENTIFICATION ........................................ 8

PROJECT TEAM FORMATION ............................................... 9

REQUIRED SKILLS AND QUALIFICATIONS ............................. 9

INVESTIGATOR RESPONSIBILITY .................................... 11

BACKGROUND INFORMATION REVIEW ..................................... 12

FEDERAL/STATE/LOCAL FILE REVIEW ............................... 12

RECONNAISSANCE ................................................. 13

EPA DATABASE REVIEWS ........................................... 13

PROJECT PLAN DEVELOPMENT ............................................ 15

PROJECT PLAN .................................................... 15

NOTIFICATIONS/SCHEDULING ...................................... 17

FIELD INSPECTION ....................................................... 19

DEVELOPING AN INSPECTION STRATEGY ............................ 19

CONDUCTING THE ON-SITE INSPECTION ............................. 23

Entry ....................................................... 23

Opening Conference ............................................ 25

General Facility Tour ........................................... 28

Questioning Facility Personnel .................................... 29

Document Reviews ............................................. 31

Sampling .................................................... 32

Closing Conference ............................................. 33

MEDIA SPECIFIC INVESTIGATION PROCEDURES ............................. 35

RESOURCE CONSERVATION AND RECOVERY ACT (RCRA) .............. 35

Basic Program ................................................ 35

Generators ................................................... 37

Transporters .................................................. 39

Treatment, Storage, and Disposal Facilities ........................... 40

Land Disposal Restrictions ....................................... 46

Subtitle I - Underground Storage Tanks (USTs) ....................... 48
ii

Subtitle J - Medical Wastes ....................................... 50

Pollution Prevention ............................................ 53

CLEAN WATER ACT (CWA) .......................................... 55

Basic Program ................................................ 55

Evaluating Compliance .......................................... 56

CLEAN AIR ACT (CAA) .............................................. 59

Basic Program ................................................ 59

Evaluating Compliance .......................................... 61

SAFE DRINKING WATER ACT (SDWA) ................................ 63

Basic Program ................................................ 63

Evaluating Compliance .......................................... 64

TOXIC SUBSTANCES CONTROL ACT (TSCA) ........................... 65

Basic Program ................................................ 66

Evaluating Compliance .......................................... 67

FEDERAL INSECTICIDE, FUNGICIDE, AND RODENTICIDE ACT (FIFRA) ... 74

Basic Program ................................................ 74

Evaluating Compliance .......................................... 74

EMERGENCY PLANNING AND COMMUNITY 

 RIGHT-TO-KNOW ACT (EPCRA) ................................... 76

Basic Program ................................................ 76

Evaluating Compliance .......................................... 77

COMPREHENSIVE EMERGENCY RESPONSE, COMPENSATION, AND LIABILITY

ACT (CERCLA) .............................................. 79

LABORATORY AND DATA QUALITY AUDITS .......................... 80

FIELD CITATIONS AND DOCUMENTATION ............................ 83

Field Citations ................................................ 84

Other Facility Material .......................................... 84

Project Logbook ............................................... 84

Chain-of-Custody .............................................. 85

Photographs .................................................. 85

INVESTIGATION REPORT ........................................... 85
iii

OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION .............. 87

REFERENCES ............................................................ 88

APPENDICES

A Summary of Pollution Control Legislation

B Multi-Media Inspections - Definitions and Training

C Team Leader REsponsibilities and Authorities

D Types of Information

E Sources of Information

F Project Plan and Safety Plan Examples

G Multi-Media Investigation Equipment Checklist

H Suggested Records/Document Request

I Multi-Media Checklists

J Investigation Authority/Summary of Environmental Acts

K Evidentiary Procedures for Photographs/Microfilm

L Key Principles and Techniques for Interviewing

M Sampling Guidelines

N Land Disposal Restrictions Program

O Sources Subpart (40 CFR Part 60) Effective Date of 

 Standard Air Pollutants Subject to NSPS

P TSCA Forms

Q TSCA Sections 5 and 8 Glossary of Terms and Acronyms
INTRODUCTION

1

INTRODUCTION

This manual is intended as a guide for investigators who conduct multi-media

environmental compliance investigations of facilities that discharge, emit, prepare, manage,

store, or dispose of pollutants controlled by Federal, State, or local environmental laws and

regulations. Investigative methods are presented that integrate the enforcement programs for

air, water, solid waste, pesticides, and toxic substances. This manual describes general

activities and functions of multi-media investigations, and provides information on special

features of specific media and associated statutes. This manual is intended to supplement the

various media-specific investigation guides listed in the reference section.

Multi-media compliance investigations are intended to determine a facility's status of

compliance with applicable laws, regulations, and permits.

The environmental laws which EPA administers and enforces are summarized in

Appendix A. Emphasis is given to identifying violations of regulations, permits, approvals,

orders and consent decrees, and the underlying causes of such violations. Investigators

should thoroughly identify and document violations and problems that have an existing or

potential effect on human health and the environment.

All inspections can be grouped into four categories of increasing complexity, moving

from Category A (a program-specific compliance inspection) to Category D, (a complex

multi-media investigation) depending upon the complexity of the facility and the objectives

of the investigation. Factors in categorizing the investigation include the complexity of

pollution sources, facility size, process operations, pollution controls, and the personnel and

time resources which are required to conduct the compliance investigation. The four

categories of investigations are described below [Appendix B]:

Category A: Program-specific compliance inspections, conducted by one or more

inspectors. The objective is to determine facility compliance status for

program-specific regulations.

Category B: Program-specific compliance inspections (e.g., compliance with hazardous

waste regulations), which are conducted by one or more inspectors; however,
INTRODUCTION

2

the inspector(s) screen for and report on obvious, key indicators of possible

noncompliance in other environmental program areas.

Category B multi-media inspections have limited, focused objectives and are

most appropriate for smaller, less complex facilities that are subject to only a

few environmental laws. The objective is to determine compliance for

program specific regulations and to refer information to other programs based

on screening inspections.

Category C: Several concurrent and coordinated program-specific compliance

investigations conducted by a team of investigators representing two or more

program offices. The team, which is headed by a team leader, conducts a

detailed compliance evaluation for each of the target programs.

Category C multi-media investigations have more compliance issues to

address than the Category B inspection and are more appropriate for

intermediate to large facilities that are subject to a variety of environmental

laws. The objective is to determine compliance for several targeted programspecific areas. Reports on obvious, key indicators of possible noncompliance

in other environmental program areas are also made.

Category D: These comprehensive facility evaluations address not only compliance in

targeted program specific regulations, but also try to identify environmental

problems that might otherwise be overlooked. The initial focus is normally

on facility processes to identify activities (e.g., new chemical manufacturing)

and byproducts/waste streams potentially subject to regulation. The

byproducts/waste streams are traced to final disposition (on-site or off-site

treatment, storage, and/or disposal). When regulated activities or waste

streams are identified, a compliance evaluation is made with respect to

applicable requirements.

The investigation team, headed by a team leader, is comprised of staff

thoroughly trained in different program areas. For example, a large industrial
INTRODUCTION

3

facility with multiple process operations may be regulated under numerous

environmental statutes, such as the Clean Water Act (CWA), Clean Air Act

(CAA), Resource Conservation and Recovery Act (RCRA), Toxic Substances

Control Act (TSCA), Comprehensive Environmental Response,

Compensation and Liability Act (CERCLA), and the Federal Insecticide and

Rodenticide Act (FIFRA). The on-site investigation is conducted during one

or more time periods, during which intense concurrent program-specific

compliance evaluations are conducted, often by the same cross-trained

personnel.

Category D multi-media investigations are thorough and, consequently,

resource intensive. They are appropriate for intermediate to large, complex

facilities that are subject to a variety of environmental laws. Compliance

determinations are made for several targeted program-specific areas. Reports

on possible noncompliance are made for other program areas.

Generally, all investigations will use essentially the same protocols, including preinspection planning, use of a project plan, sampling, inspection procedures, and final report.

The major difference will be in the number of different regulations Categories C and D

investigations address.

The multi-media approach to investigations (which is described in Categories C and

D) has several advantages over a program-specific inspection, including:

A more comprehensive and reliable assessment of a facility's compliance with

fewer missed violations

Improved enforcement support and better potential for enforcement

Ahigher probability to uncover/prevent problems before they occur or before

they manifest an environmental or public health risk
INTRODUCTION

4

Ability to respond more effectively to non-program specific complaints,

issues, or needs and develop a better understanding of cross-media problems

and issues, such as waste minimization

The success of a multi-media investigation program is contingent upon a good

managerial system and the support of upper management. Since these investigations wil

often be conducted at larger facilities, adequate resources (time and personnel) must be

provided. Good communications during the planning phase are essential to define the scope

of work and each team member's role in the inspection. Communications could also include

state officials since state inspectors might also participate as team members. Often, because

of the extent of the state's knowledge of the facility and its problems, state involvement is

critical to the success of the investigation. Similarly, coordination with other Federal or local

agencies needs to be addressed, as necessary.

Branch Chiefs and Section Chiefs are important in implementing the multi-media

inspection program and identifying areas of responsibility and accountability. Some of their

duties include:

Identify team leaders

Form investigation teams

Provide access to training and other means necessary to develop multi-media

investigation expertise

Participate in targeting investigations

Ensure that team activities both internal and external to their Divisions are

coordinated

Market multi-media investigations to programs

Oversee the preparation of a site-specific project plan and safety plan prior to

the investigation

Provide managerial support while teams are in the field

Ensure quality of final reports

The roles and areas of responsibility and accountability of other managers, technical

staff, and team leaders must be defined. Participants need to identify and agree on what
INTRODUCTION

5

evidence is needed and the scope of work to be conducted. Next, a project plan and safety

plan that outlines the desired objectives and safety considerations must next be prepared by

the team leader. Other responsibilities for the technical staff, which often mirror or

complement those of managers, are as follows:

Contact state counterparts

Assist in investigation preparation, including logistical considerations

Coordinate activities internal and external to their Division

Provide legal support for obtaining warrants when necessary

Provide training for investigators

Prepare reports

Distribute reports and followup for multi-media enforcement

Purpose and Scope of this Manual

Multi-media investigations are carried out in response to specific requests from the

EPA program offices, legal staff, or state environmental offices. All investigations will result

in a written report that documents non-compliance or other areas of concern identified during

the investigation. Report guidelines for documenting a multi-media investigation are

discussed later in this document.

This manual provides guidelines for conducting Categories C and D multi-media

investigations, as well as, suggests principles and procedures which will also apply to

Categories A and B or single media investigations. Moreover, this manual identifies multimedia objectives and also focuses on specific environmental laws and associated statutes.

The manual's organization follows the steps involved in a multi-media investigation

beginning with the project request and leading ultimately to enforcement case support.

Multi-media investigations are conducted as a series of tasks or phases, which usually

include:

Project request/identification of objectives

Project team formation
INTRODUCTION

6

Background information review

Project Plan preparation

On-site field inspection

Report preparation

Enforcement case support

These phases are depicted in Figure 1 and discussed in detail in the following sections. Each

phase is not necessarily a discrete step to be completed, in order, before initiating the next

phase. The background information review, for example, usually continues through

enforcement case support.

Where established policies and procedures do not exist, common sense, professional

judgment, and experience should be applied. Investigators need to collect valid, factual

information and supporting data to document violations adequately. The documentation must

be admissible as evidence in any subsequent enforcement action.

Figure 1 - Project Phases (Missing)

Each investigation should be conducted as though it will be contested in court. The

investigation and all supporting evidence and documentation may be contested by highly

skilled defense counsel as unprofessional, inaccurate, misinterpreted, etc. Because the

Agency's case will depend heavily on the investigative findings, the investigation must be

complete and accurate.

Since a multi-media investigation by its very nature probes into a facility's processes

under multiple environmental regulations, it provides a highly effective way of looking at a

non-complying facility. Overall objectives of a multi-media investigation include:

Determine compliance status with applicable laws, regulations, permits, and

consent decrees
INTRODUCTION

7

Determine ability of a facility to achieve compliance across all environmental

areas

Identify need for remedial measures and enforcement action(s) to correct the

causes of violations

Evaluate a facility's waste producing, treatment, management, and pollution

control practices and equipment

Evaluate facility self-monitoring capability

Evaluate facility recordkeeping practices

Evaluate facility waste minimization/pollution prevention programs

Obtain appropriate samples
PROJECT REQUEST/IDENTIFICATION

8

PROJECT REQUEST/IDENTIFICATION

The success of a multi-media investigation depends on thorough, up-front planning.

Coordination with all interested and knowledgeable parties [i.e., Region, State, National

Enforcement Investigations Center (NEIC), investigation team members, supervisory staff]

is essential to ensure an efficient and thorough investigation. Each program office should be

contacted to assure that all interested parties are aware of the planned multi-media

investigation. Furthermore, depending upon State/EPA agreements, the State should (may)

be notified of the pending investigation. All concerned parties should be involved as soon as

possible to facilitate coordination. Coordination with other Federal agencies, such as

Occupational Safety and Health Administration (OSHA) or Corps of Engineers, may be

needed in joint Federal investigations.

There must be agreement on the part of program and support offices and Regional

Counsel, and perhaps the State as well, on the overall scope of work for a particular

investigation. The scope must be clearly communicated to managers and the investigators and

stated in the project plan. Clearly defined objectives are critical to the success of any

investigation; the objectives should be well defined at the time of the initial request. At the

time the project plan is developed, the objectives will be further refined (see section titled

Project Plan Formation). Communication among the involved parties should be the initial

step of pre-investigation planning but should also continue throughout the investigation,

because of unanticipated events often associated with field work.
PROJECT TEAM FORMATION

9

PROJECT TEAM FORMATION

 REQUIRED SKILLS AND QUALIFICATIONS

Each multi-media investigation team should be composed of qualified field inspectors.

Each team member should bring special program expertise and experience and must be well

trained in most facets of conducting a field investigation, including sampling. 

Most of the investigators on the team, including the team leader, should be current

field investigators who already possess most of the necessary skills and qualifications.

However, flexibility in team selection must exist in order to use skills in the organization and

ensure that the expertise is represented for a given situation. There may be circumstances

where a permit writer, hydrogeologist, toxicologist, or some other special discipline will be

needed on the team.

The team leader has overall responsibility for the successful completion of the multimedia investigation. (Team leader responsibilities and authorities are presented in Appendix

C.) In addition, other investigators may be designated as leads for each of the specific

media/programs that will be addressed. These individuals may work alone or have one or

more inspectors/samplers as assistants, depending on workloads and training objectives.

However, all investigation team members should report directly to, and be accountable to, the

team leader. 

Some of the more important skills and qualifications that are necessary for team

members, are as follows:

Knowledge of the Agency's policies and procedures regarding

inspection authority, entry procedures/problems, enforcement actions,

legal issues, and safety

Thorough familiarity with sampling equipment, quality assurance (QA)

requirements for sample collection, identification and preservation,

and chain-of-custody procedures

Knowledge of manufacturing/waste producing processes, pollution

control technology, principles of waste management, flow
PROJECT TEAM FORMATION

10

measurement theory and procedures, and waste monitoring

techniques/equipment

Investigatory skills including ability to gather evidence through good

interviewing techniques and astute observations

Up-to-date experience in conducting compliance inspections

Communication skills

Basic understanding of the procedures for obtaining administrative

warrants, including preparation of affidavits, technical content of the

warrant application, and warrant and procedures for serving a warrant

For each of the areas addressed in the multi-media investigations,

there should be at least one team member trained in that area.

Furthermore, at least one team member should have considerable

knowledge of laboratory (analytical) methods and quality assurance

(QA) requirements, if a laboratory evaluation is to be conducted.

EPA Order 3500.1 sets forth specific training requirements for any EPA investigator

who is leading a single media investigation. These training requirements include both general

inspection procedures and media specific procedures. While an individual leading a multimedia investigation may not have had the media-specific training for each media covered

during that multi-media investigation, the team leader should have the media specific training

for at least two of the media. In addition, the team leader should have experience and skills

in the following areas.

Leadership

Project management

Lead for inspections in more than one program/media

Multi-media investigations
PROJECT TEAM FORMATION

Field conditions may dictate plan modifications. Reasons for modifications should b e

*

thoroughly documented.

11

INVESTIGATOR RESPONSIBILITY

Investigators must conduct themselves in a professional manner and maintain

credibility. A cooperative spirit should be cultivated with facility representatives, when

possible. All investigators should maintain a sensitivity to multi-media issues and implications

and freely discuss, with other members of the team, observations/findings relating to one or

more programs (or cross-program lines). Moreover, investigators must remember to adhere

to the project plan, as well as both the Agency's and the facility's safety plans or

1

requirements.

Investigators should restrict their on-site activities to the normal working hours of the

facility, as much as possible. Investigators will need to keep abreast of specific program

regulations and should also coordinate, as necessary, with other EPA and State inspectors and

laboratory staff (if samples will be collected). The investigation team should implement

appropriate field note taking methods and proper document control procedures, particularly

when the company asserts a "confidential" claim. Investigators must assume that important

documents (e.g., project plan, safety plan, and logbooks) are not left unattended at the

facility. Sensitive discussions do not take place in front of facility personnel or on company

telephones.
BACKGROUND INFORMATION REVIEW

12

BACKGROUND INFORMATION REVIEW

 FEDERAL/STATE/LOCAL FILE REVIEW

The investigation team must collect and analyze available background information in

order to better plan and perform the multi-media investigation. The objective of the review

is to allow EPA staff to (1) become familiar with the facility, (2) clarify technical and legal

issues prior to the inspection, (3) use resources wisely, and (4) provide information to allow

each inspector to develop a list of questions to be answered and documents to be obtained

during the on-site inspection. For example, the investigators should understand the facility's

process(es) to the extent possible and know where past problems have occurred, based on

file/data reviews. Much of the total time spent on an investigation should be spent on

planning and preparing for the investigation. This will prevent classic oversights such as being

on the road and not knowing where the facility is, or walking past the operation that received

a Notice of Violation in five previous inspections. Investigators should check with the

program staff (Federal/State/local, etc.) to gain as much knowledge as possible about the site.

Federal/State/local file reviewers should pay particular attention to the following:

Permits and permit applications

Process and wastewater flow charts

Prior inspection reports

Enforcement documents including Administrative Orders, Complaints,

Consent Decrees/Agreements, Notices of Noncompliance (NONs), Deficiency

Notices, Compliance Schedules, Cease and Desist Orders, Closeout

Documents, Notices of Violations, etc.

Facility responses to all of the above

Facility records, reports, and self-monitoring data

QA documentation

Exemptions and waivers

Maps showing facility layout and waste management/ discharge sites

Records of citizen complaints

Consultant's reports

Potential cross-program issues

Annual reports

Hazardous waste manifests

Spill reports
BACKGROUND INFORMATION REVIEW

13

A more detailed list of types of information which may be acquired and reviewed is

presented in Appendix D.

RECONNAISSANCE

A reconnaissance inspection of the facility may be conducted in conjunction with

gathering background information from State and local files. Administrative details and

logistics are usually discussed during a reconnaissance that will help the on-site inspection

proceed more efficiently. A reconnaissance inspection is particularly important if a complex

facility is being investigated or if the facility has never been inspected by the team leaders.

At least the team leader should participate in the reconnaissance. No reconnaissance is

conducted if the investigation will be unannounced, or if the team has extensive knowledge

of the facility (see Project Plan Formation Section).

EPA DATABASE REVIEWS

Additional facility background material should be obtained from EPA databases.

(Acronyms are defined in Appendix E.) At a minimum, the inspectors should use the

following:

TRIS (provides facility data on past releases of toxic/hazardous substances to

the environment, as required by Section 311 of SARA)

DUNS Market Identifiers: Commercial systems that tracks the owners and

financial information for publicly- and privately-owned companies in the U.S.

PCS (provides CWA/NPDES permit related information, DMR data,

receiving stream data, some enforcement related material, and inspection

history for "major" wastewater discharges)

RCRIS/HWDMS (provides RCRA-related information on a facility such as

location, hazardous waste handled, inspection history, nature of past

violations, and results of enforcement actions)
BACKGROUND INFORMATION REVIEW

14

FTTS (provides TSCA-related information on a facility such as inspection

history, and case development information, including violations, and

types/results of enforcement actions)

FINDS (EPA database that identifies regulations applicable to the target

facility, including some related to compliance/ enforcement issues)

CERCLIS (Superfund's national database system provides information on

CERCLA sites)

AFS/AIRS(the Air Compliance Program's national database system provides

air compliance information for major sources)

A more extensive list of sources of information, including both computer databases

and other sources, is presented in Appendix E. Following file/data reviews, the investigation

team may prepare a fact sheet for the facility along with a list of questions that need to be

answered either before or during the on-site actual investigation.
PROJECT PLAN DEVELOPMENT

15

PROJECT PLAN DEVELOPMENT

PROJECT PLAN

A site-specific project plan should be developed for all multi-media inspections. Each

project plan should reflect the requirements/scope of work associated with each individual

facility. The plan describes the project objectives and tasks required to fulfill these objectives.

In addition to methods, procedures, resources required, and schedules, a safety plan is

included as an appendix and identifies potential site safety issues, procedures, and safety

equipment [Appendix E]. 

Generally, a draft project plan is prepared to give all involved parties/regional

management an opportunity to review the planned project activities and schedule. The team

leader, with the assistance of other investigators, is responsible for preparing the site-specific

project plan. After agreement on the draft is reached, the plan should be finalized as soon as

possible. It must be available before the on-site inspection starts. A comprehensive project

plan provides a means for informing all involved parties of the proposed activities and helps

ensure an effective multi-media investigation; team members must be familiar with the project

plan.

The following generally form the outline for the project plan:

Objectives - This is probably the most important part of the project plan and should

be well defined, complete, and clear. The objectives should also have been discussed

and agreed upon by all appropriate management personnel. The objectives define

what the investigation is to accomplish (e.g., to assess environmental compliance with

the regulations that apply to the source--water, air, et al.).

Background - Discusses, in general, facility processes and, based on available

information, identifies laws, regulations, permits, and consent decrees applicable to

the facility.

Tasks - The plan defines tasks for accomplishing the objectives and spells out

procedures for obtaining the necessary information and evaluating facility compliance.

The tasks usually involve an evaluation of process operations, pollution

control/treatment and disposal practices, operation and maintenance practices, self-
PROJECT PLAN DEVELOPMENT

16

monitoring, recordkeeping and reporting practices, and pollution abatement/control

needs. Tasks will probably be sequenced, based on: facility factors, investigation

objectives, logistical factors, constraints imposed by the company, and complexity and

overlap of regulatory programs (see section on Field Inspections).

Methods/Procedures - The plan provides or references policies and procedures for

document control, chain-of-custody, quality assurance, and handling and processing

of confidential information. Specific instructions for the particular investigation may

be provided.

Safety - A safety plan attached to the project plan identifies safety equipment and

procedures which the investigation team must follow [Appendix F]. The safety

procedures and equipment are typically the more stringent of EPA or company

procedures. EPA procedures are documented in EPA Transmittal 1440 -

Occupational Health and Safety Manual dated March 18, 1986. Additional safety

issues for extensive or prolonged investigations, if necessary, should also be addressed

in the plan.

Resources - The plan describes special personnel needs and equipment requirements.

As noted earlier, experienced and knowledgeable personnel shall compose the

investigation team. An example of an equipment list is presented in Appendix G.

Schedules - The plan usually provides general schedules for investigation activities.

This information is important to the team members as well as Headquarters, Regional,

and/or State officials who requested the project. The dates for (a) starting and

finishing the field activities, (b) analytical work, and (c) draft and final reports should

be established and agreed upon by the participants.

The project plan will serve as the basis for explaining inspection activities and

scheduling to facility personnel during the opening conference. The company may be

provided general details but should not be provided with a copy of the project plan; it is an

internal document and usually considered an enforcement confidential document. (The

company may get a copy of the plan by court order.) Because conditions in the field may not

be as anticipated, the project plan is always subject to modification and so marked. Any

deviations from the plan should be well thought out, approved by the team leader, and if
PROJECT PLAN DEVELOPMENT

17

appropriate, discussed with senior management or the laboratory (if monitoring/sampling

requirements change) and well documented.

NOTIFICATIONS/SCHEDULING

Notification of the inspection, normally by telephone, should be given to the facility

unless the inspection is to be unannounced. There are advantages to both announced and

unannounced inspections. Some of the advantages to announced inspections include assuring

that the right people are available, the processes of interest are operating, and the necessary

documents are available. A major consideration of announced inspections is that the company

may be able to alter operations to conceal violations. Following the telephone notification,

it may be necessary to prepare a more formal notification letter or notification form that is

served when entering the facility.

If a letter is prepared, it should cite the appropriate inspection authorities, the general

areas to be covered, and special informational needs/requests. By citing broad EPA

authorities, the investigation will not be restricted if investigators need to pursue additional

areas based on field observations. The notification should specify records to be reviewed/

collected/copied, address safety/security issues, and include any questions that need answering

to help facilitate the investigation. These issues and questions can also be addressed during

a reconnaissance inspection, if desired, or through telephone conversations with appropriate

facility personnel.

Typical information requested in a notification letter may include the following:

Raw materials, imports, intermediates, products, byproducts,

production levels

Facility maps identifying process areas, discharge and emission points,

waste management and disposal sites

Flow diagrams or descriptions of processes and waste control,

treatment and disposal systems, showing where wastewater, air

emission, and solid waste sources are located
PROJECT PLAN DEVELOPMENT

18

Description and design of pollution control and treatment systems and

normal operating parameters

Operations and maintenance procedures and problems

Self-monitoring reports and inventories of discharges and emissions

Self-monitoring equipment in use, normal operating levels, and

available data

Required plans, records, and reports

Appendix H identifies specific documents/records by statute which might be

requested. Each regional office should decide if and when state regulatory officials will be

notified of the investigation and who will make the contact. By reviewing State files, EPA

will have, in effect, notified the State of its intention to inspect this facility. The State should

be requested to allow only EPA to notify the facility regarding the multi-media inspection.

If sampling is anticipated, the laboratory should be notified as soon as possible, and informed

as to when samples will arrive and the approximate analytical work load. The project plan,

which is reviewed by laboratory personnel, should also identify analytical support required.

The investigation should be scheduled at a time mutually agreed upon by al

participants. Sufficient time should be allotted to conduct a thorough investigation.

Appropriate travel arrangements should be made as soon as possible.
FIELD INSPECTION

19

FIELD INSPECTION

Once the project plan is completed, the team's focus shifts to the on-site portion of the

investigation. This section first addresses developing a site-specific inspection strategy for

evaluating processes and regulated waste management activities, then discusses on-site

activities from entry through the closing conference.

The primary objectives of the field inspection are to determine whether the facility is

complying with environmental regulations, permits, etc., and to determine if facility activities

are creating environmental problems. The investigation team should also determine if the

facility has environmental management controls in place to maintain regulatory compliance

(i.e., a system for becoming aware of regulatory requirements, then implementing appropriate

compliance actions) and whether the controls are working. By satisfying these objectives,

areas of non-compliance, environmental problems, and insight into root causes can be

identified during the investigation. The information will be useful later in followup actions.

DEVELOPING AN INSPECTION STRATEGY

Inspection planning includes formulating a strategy to ensure that information is

obtained from the company in a logical, understandable manner. This applies to both the

process and compliance evaluations, and the environmental management control evaluation.

To formulate an effective strategy, knowledge of general facility operations, waste

management procedures, and applicable regulations is critical. Much of this information

should have been obtained during the background information review and inspection

reconnaissance. This section first discusses strategy development, then presents an example.

The process evaluation strategy to sequence inspections for major facility operations

and waste management activities may be based on:

Facility factors such as size, complexity, waste producing potential, and waste

characteristics

Administrativefactors such as the priority of inspection objectives (i.e., which

compliance evaluations are the most important)
FIELD INSPECTION

20

Logistical factors such as personnel availability, operating schedules, and

assignment schedules

Constraints imposed by the company such as limitations on the number of

inspection teams that can operate on-site concurrently

The final strategy usually involves prioritizing the processes and waste management

activities, in consideration of all these factors, then systematically moving from the beginning

to the end of a process with emphasis on regulated waste stream generation and final

disposition. The strategy should be somewhat flexible so that "mid-course corrections" can

be made.

The compliance evaluations also need to be "sequenced" in a similar manner to

progress, generally, from the most to least time-consuming regulatory program. Personnel

training and availability, and other logistical factors may result in a combining of compliance

evaluations. Figure 2 (Investigative Approach) illustrates a sequence of compliance

evaluations where the initial focus was on RCRA, then CWA, etc. RCRA is often chosen as

the initial law to focus on because of the close relationship between process evaluations and

generator requirements. A quick visual inspection of hazardous waste storage areas and PCB

transformers is often conducted early in the inspection. Compliance with regulatory programs

that principally involve records reviews, such as TSCA (Sections 5 and 8) and EPCRA are

usually scheduled later in the inspection or elsewhere, as time permits.

Figure 2 (Missing)

The strategy for process and compliance evaluations should be developed by the

project coordinator and discussed with inspection team members. This will serve as the basis

for explaining inspection activities and scheduling to the company during the opening

conference, as described below.

The strategy may also include checklists. Some may address potential process

wastestreams to be looked for, while others may address media-specific compliance issues.

Checklists can be a vital component of a compliance investigation to help ensure that an

investigator does not overlook anything important. Checklists serve as a reminder of what

needs to be asked or examined and to help an investigator remember the basic regulatory
FIELD INSPECTION

21

requirements. They can provide another means of documenting violations or supplying

background material to judge potential violations, however:

An inspector must never fill out a checklist blindly or too

mechanically. The answers to the questions should not be based

solely on what the facility representatives say, but also on what the

investigator observes.

Media-specificchecklists may be used and they may be completed by

the lead investigator for each given program, both during and after the

facility tours and the document review phases.

A list of media-specific checklists is presented in Appendix I. Copies of multi-media

checklists are kept in a three-ring binder at NEIC.

One of the unique benefits of the Category D approach with a cross-trained team is

that information obtained on processes, material and waste movements, and scale of

operations can later aid in focusing other program-specific compliance evaluations, such as

TSCA (Sections 5 and 8) and EPCRA. Like the project phases, the sequence of process and

compliance evaluations should not be considered as discrete steps to be completed, in order.

Information obtained during subsequent program-specific evaluations may also provide new

information regarding compliance in a program area already addressed or indicate a need to

inspect a process/support operation not previously identified [Figure 3] THIS ITERATIVE

PROCESS IS PURSUED UNTIL THE INSPECTION OBJECTIVES HAVE BEEN

ACCOMPLISHED.

At larger facilities, multiple site visits coordinated by the team leader may be necessary

and desirable for completing the inspection. This approach can lead to a better inspection

because of the opportunity to review information obtained in the office, then refine the

inspection/strategy to "fill in the gaps" during a subsequent site visit.

An inspection strategy example for a typical facility is presented below:

INSPECTION STRATEGY EXAMPLE
FIELD INSPECTION

The CWA regulates outfalls from wastewater treatment plants and other point discharges. If *

the sumps, separators, and trap tanks are used to manage hazardous waste, they may be exempt from

RCRA if they discharge to an on-site treatment plant that has a CWA permit. Part of the CW A

inspection, therefore, is identifying all treatment units related to the permitted (or unpermitted )

outfall.

22

1. SITE OVERVIEW/PROCESS OVERVIEW

2. WINDSHIELD TOUR

3. SPLIT INTO TEAMS FOR DETAILED PROCESSREVIEW

AND PROCESS AND LABORATORY INSPECTIONS

4. RECORD REVIEW PERIOD

5. FOLLOW-UP INTERVIEWS

After the opening conference to explain inspection activities, the company would be

requested to provide an overview of facility operations to the entire team. A general

"windshield" site tour usually follows the overview presentation. Next, process operations

would usually be described in some detail; the order typically parallels the flow of raw

materials and intermediate products toward subsequent processes and the final product(s).

During these discussions, waste streams and respective management procedures and related

control equipment should be identified.

Process inspections to verify the information presented and discover "missing" details

are then conducted. These may be done after each process or group of processes is

described. The RCRA inspection begins while touring the processes by identifying any waste

generation and accumulation areas. The presence of wastewater sumps, separators, or trap

tanks in or near the process building may also result in initiating the CWA inspection. The 2

example plan indicates that the inspection team subdivided before proceeding with the

detailed process descriptions. This is because the people gathering process information were

beginning some of the compliance evaluations; other team members could begin concurrent

evaluations such as the laboratory inspection.

Inspection of waste management units may be interspersed with process inspections

depending on their location and facility complexity; a primary consideration is the logical flow

of information. Logic or the physical situation may dictate that a waste stream be followed

to final disposition for a particular process. Time must also be scheduled to review and copy

relevant records, then for additional interviews to answer questions about the records.
FIELD INSPECTION

23

The evaluation of environmental management controls is blended into the process and

compliance evaluations discussed above. Investigation team members should allow facility

personnel to explain their operations until the management system is understood. Document

the management system with narrative notes, gather copies of all documents used in the

processes, and formulate flowcharts to illustrate decision responsibilities, accountabilities, and

process matrices. Environmental regulations, permits, etc., are the standards, and the internal

management systems and procedures are the controls established to direct compliance or

conformance to the standards.

The system should be tested by tracking information from the internal management

systems through the regulated activity locations (i.e., follow known events through entire

processes). For example, if a facility's environmental coordinator states that a particular

waste analysis plan (a RCRA requirement) is being used at the facility, the investigation team

would "test" the system by verifying that personnel at the waste receiving station and

laboratory (1) had a copy of the plan, (2) were familiar with it, and (3) were following it.

Finally, continuing communication between team members is a key to successful

strategy implementation. The team leader should encourage daily team meetings (usually in

the evenings) to discuss findings and observations made during the day. Ensuing discussions

may help to clarify any troublesome issues or open up new avenues for investigation.

CONDUCTING THE ON-SITE INSPECTION

The field portion of a multi-media investigation involves entering the facility and

conducting an on-site inspection. The following discusses several key inspection activities

including: entering the facility, conducting an opening conference, systematically gathering

pertinent information while on-site, and discussing findings in a closing conference.

Entry

Entry into a facility to conduct a multi-media inspection is usually a straightforward

process where the team leader notifies a guard and/or receptionist that he/she wants to meet

with the designated facility environmental contact. The environmental contact is notified and
FIELD INSPECTION

In an unannounced inspection, it may be beneficial to immediately go to the regulated areas of concern 3

(drum storage, etc.) to conduct an inspection before the facility has time to make changes.

An attempt by the company to unreasonably limit legitimate team activities during the inspection is 4

tantamount to denial of entry and should be treated as such.

A warrant is only one of several legal vehicles that should be considered. A TSCA subpoena, issued to a 5

high-ranking corporate official, was used successfully in one instance as a vehicle to gain consensual entry; the

limitations imposed by a warrant were avoided.

24

the team is then escorted into the facility to begin the inspection, usually with an opening

conference, where credentials are officially presented.3

Many facilities request inspection team members sign a visitor's log or some other

document that will provide a written list of inspectors to the 

company. This is acceptable so long as there is no waiver of liability or restriction of

inspection statements contained on the document being signed (check both sides of the paper

for such statements, or the first page of a bound sign-in log). Liability waivers must not be

signed; signature documents containing any statements that appear to limit inspection

activities should be first discussed with Agency attorneys (if in doubt, consult), or sign in

only on blank sheets.

Occasionally, entry is denied, usually in situations where the inspection is

unannounced or enforcement action is pending (e.g., outstanding Notice of Violation,

ongoing Administrative Order negotiations, etc.). Consequently, the team leader needs to

know how to deal with denial of entry situations. Whenever entry consent is denied (or

4*

withdrawn during the course of the inspection), the team leader should explain the Agency

authority to conduct the investigation and verify that the authority is understood by the facility

representative. If the person persists in denying entry or withdrawing consent, the team

leader needs to fully document the circumstances and actions taken; this includes recording

the name, title, and telephone number of the person denying entry or withdrawing consent.

Inspection team members must never make threatening remarks to facility personnel. The

team leader should then contact his/her supervisor and Agency legal counsel.

If the team leader suspects that a warrant will be necessary before entry is attempted,

then actions to obtain a warrant (e.g., get attorney assigned to the project and prepare draft

affidavits) should be initiated well in advance to minimize the time between arrival at the

facility and entry. This would lessen the opportunity for the facility to take drastic, last5*
FIELD INSPECTION

25

minute corrective actions (e.g., improve "housekeeping") and thereby give the investigators

a false impression. If a warrant becomes necessary, it is obtained from a local magistrate or

judge; an EPA special agent, a Federal Marshal, or sheriff will be needed to serve the warrant.

The team leader must be familiar with the warrant provisions and be aware of both

opportunities and constraints imposed on the investigation.

Opening Conference

The opening conference is held to advise facility personnel of the investigation

objectives, and to discuss logistics and scheduling of inspection activities. An important

aspect of this meeting is to set the "proper tone" with facility personnel (i.e., encourage

cooperation). A typical conference agenda includes:

Introduction of investigators and presentation of credentials (be

prepared to cite investigation authorities - Appendix J)

Description of investigation objectives:

The investigation objectives have been generally identified in the project plan;

however, the project plan should not be shown to the company. As noted

earlier, this is an internal document and not to be released by the field

investigation team to the company. Additionally, during the discussion of

investigation objectives, the investigators should take care not to limit the

investigation if as a result of their findings, a new objective becomes apparent.

The purpose of identifying the investigation objectives to the company is to

enable the company to identify what people and what documents are

necessary to assist in the investigation.

Description of investigation procedures and personnel needed (develop

schedule of events)

Let the management know approximately how long the investigation will take

so they can assist with the least interruption of their regular schedules. This
FIELD INSPECTION

26

is often as long as it takes until we get the information requested from the

facility.

While the government has a right to inspect at any time during normal

working hours, it is appropriate to give some consideration to the needs of the

facility. For example, perhaps giving company personnel one half hour in the

morning to get their business in order would be beneficial and would win

"good will" for the investigators.

Presentation of inspection notices/forms

Discussionof prospective sampling and whether company splits will be made

available

Discussion of safety issues including the company's safety requirements

[Appendix F]

The government investigators may not have the same restraints as facility

personnel. However, it is prudent to determine what safety requirements the

facility personnel have to follow and to follow those if they are more stringent

than the government requirements. Of particular importance is to determine

emergency signals and escape routes if a plant emergency occurs. Commonly,

investigators may attend a short safety briefing and be asked to sign that they

attended that briefing. It is all right to sign an acknowledgement that a safety

briefing was attended; it is not all right to agree to anything else or to

relinquish any rights CHECK WITH THE GOVERNMENT ATTORNEYS

IF THERE ARE ANY QUESTIONS.

Discussion on how photographs will be taken

Photographs are used to prepare a thorough and accurate investigation report,

as evidence in enforcement proceedings and to explain conditions found at the

plant. The facility, however, may object to the use of cameras in their facility

and on their property. If a mutually acceptable solution cannot be reached
FIELD INSPECTION

27

and photographs are considered essential to the investigation, Agency

supervisory and legal staff should be contacted for advice.

Facility personnel may also request that photographs taken during the

visitation be considered confidential, and the Agency is obliged to comply,

pending further legal determination. Self-developing film, although often of

less satisfactory quality, is useful in these situations. A facility may refuse

permission to take photographs unless they can see the finished print.

Duplicate photographs (one for the investigator and the other for the facility)

should satisfy this need. When taking photographs considered TSCA

Confidential Business Information (CBI), self-developing film eliminates

processing problems; otherwise, the film processor must also have TSCA CBI

clearance. Note, however, that some self-developing film may contain

disposable negatives which must also be handled in accordance with the

TSCA CBI requirements. Giving the facility the option of developing the film

may resolve national defense security problems when self-developing film is

not satisfactory.

Photographs must be fully documented, following procedures for handling

evidentiary materials [Appendix K].

Arrangement for document availability and copying

The Federal statutes provide broad authorities for document review and

copying. If the investigators decide that documents need to be copied, then

the investigators should either attempt to use the facility's copier, paying a fee

if necessary, or come equipped with a portable copier (Note: renting a

portable copier from a local business store often requires advance

reservations). A company's refusal to provide documents or refusal to allow

copying can be considered similar to a denial of entry [note that the company

is NOT required to copy documents for the government without a court

order; refusal to copy even with payment is not the same as refusal to provide

the documents]. The investigators should note the refusal in log books

(including names, titles, and times) and continue with the on-site inspection.
FIELD INSPECTION

28

At the earliest possible time, supervisors and Federal attorneys should be consulted.

Company provides overview of facility operations

This provides an opportunity for investigators to learn process operations and

to initially identify waste sources.

At the conclusion of the opening conference, information gathering activities begin

in earnest. As discussed in preceding inspection strategy section, the next steps may include:

A general "windshield" tour of the facility

Split into teams, according to media and process/waste management

responsibilities

Process and laboratory inspections

Record/document review

Follow-up interviews

General Facility Tour

The purpose of the general facility tour is to provide investigation team members an

"on the ground" orientation and to identify/verify activities requiring further evaluation. The

team leader should compile a list of "must see" items, based on the background information

review and information obtained during the facility operations overview portion of the

opening conference. These could include key process/operations, waste management areas,

and areas where suspected violations are occurring. The facility tour (attended by all team

members) should include these items; whether facility personnel are provided the specific list

depends on whether the company could potentially hide or correct violations. It may be

prudent to present the list of specific items in terms of general plant areas to be toured.

The facility tour must be properly structured and knowledgeable facility personnel

must accompany the investigators. The route taken may be dictated by facility layout, but

material flow should be followed, to the extent possible. The tour should include, as a

minimum, raw material storage facilities, manufacturing areas, and waste management units.

Team members need to be constantly alert for operations, processes, materials, and waste

management activities not previously identified. If a potentially significant operation, unit,
FIELD INSPECTION

29

or activity (e.g., a waste spill) is observed, "stop the bus" and take a closer look. Any

regulatory violations should be properly documented at that time.

The general site tour is also a good time to document conditions with photographs.

Process/Waste Management Evaluation

Once the general site tour is completed, the investigation team may split into smaller

units (usually two, sometimes three) that focus on the detailed process evaluations, specific

media compliance, or other activities such as laboratory inspection and sample collection.

This allows one team to gather process information and begin the compliance evaluation while

another team begins concurrent evaluations; all investigators should be watching for potential

problems in all media and possible regulatory implications throughout the investigation.

Two key techniques are employed during this part of the investigation: interviews and

visual observations. Investigators should employ good interviewing techniques so that the

necessary information can be clearly and accurately obtained from facility personnel.

Appendix K gives interviewing techniques. Investigators should ask probing questions but

never leading questions. Often, the investigator is required to rephrase questions and ask

them many times until he/she gets a satisfactory and consistent answer. Body language

should also be observed for clues that the facility representative is hedging or that the

investigator is starting to key in on a particularly sensitive subject. The investigator should

always write down unexpected questions that occur to him/her, especially in situations where

these questions cannot be asked promptly. Special care should be taken so that one

investigator does not answer another investigator's questions. If the question is posed to a

company official, the official should answer even if another investigator knows the answer.

Questioning Facility Personnel

How you ask a question can be more important than the question itself. Try not to

give a possible answer when asking a question. For example, the following are poor ways to

phrase a question:

"You don't have any toxic materials around here, do you?"

"There aren't any buried drums on your property, are there?"
FIELD INSPECTION

30

"You have all the necessary records, don't you?"

"Your SPCC plan is up to date, isn't it?"

The following questions are better:

"What kinds of material do you handle?"

"Are there any materials buried on your property?"

"Where do you keep the ________ records?"

"May I see your SPCC plan?" (Then ask an employee about the

procedure mentioned in it to verify its application.)

A conclusive question and follow up is often overlooked and taken for granted;

however, it is the meat of the inquiry. Without the affirmation of a direct answer to the

question at issue, the previous questions were of little value.

Sometimes it is useful to convey the impression that you are there to learn about a

facility or its operations and are going to ask a lot of basic questions. This type of "help me

learn" attitude will often allow a better line of questioning and more persistence when things

become unclear or 

contradictory. Generally ask open-ended questions first and then clarifying questions as

necessary.

Knowledgeable process personnel are usually not used to being interviewed, so it is

necessary to operate, initially, in their "comfort zone." They should be asked to describe the

process in some detail; the order typically parallels the flow of raw materials and intermediate

products toward subsequent processes and the final product(s). During these discussions,

waste streams and respective management procedures and related control equipment should

be identified. Clarifying questions should focus on raw material/ intermediate movements and

waste streams produced.

Specifically, information should be obtained on where/how waste is produced,

production rates and cycles, spillage or other emissions, house-keeping, floor drains/outlets,

waste products, waste minimization, waste mixing/dilution, recent or anticipated

modifications, etc. Areas of waste management, treatment, and disposal should also be
FIELD INSPECTION

31

addressed. Major items of interest include waste spillage/leaks/discharges, how the facility

differentiates regulated waste from unregulated waste, physical condition of pollution control

equipment, units out of service, operation and maintenance issues, diversions, bypasses and

overflows, emergency response capabilities, safety, secondary containment, overloads, waste

residuals management, and self-monitoring procedures.

Questions should also be asked about the environmental management program at the

facility. Process personnel should explain how they become aware of environmental

regulatory requirements and what support they get in taking required compliance actions.

Probing follow-up questions may be asked to determine corporate policy toward regulatory

compliance. Documenting recalcitrant behavior may have major ramifications in Agency

follow-up actions.

Process inspections are then conducted to verify the information presented and

discover/discuss "missing" details. These may be done after each process or group of

processes is described. Inspection of waste management units may be interspersed with

process inspections, depending on their location and facility complexity; a primary

consideration is the logical flow of information. Time must also be scheduled to review and

copy relevant records, and then for additional interviews to answer questions about the

records.

Document Reviews

Before the field investigation begins, each team member should know which

reports/records he/she will be responsible for reviewing. These may include inspection logs,

annual documents, operating reports, self-monitoring procedures and data, spill clean-up

reports, manifests, notifications/ certifications, emergency response plans, training records,

etc. However, some on-the-spot decisions may have to be made in situations where

unexpected information becomes available. The investigator should not limit review to

documents specified during the notification or opening conference.

The document review should include determining whether (1) facility personnel have

prepared and maintained the required documents, (2) the documents contain all necessary

information, (3) the documents have been prepared on time, (4) the documents have been

distributed to all necessary parties, and (5) document information is consistent by cross-
FIELD INSPECTION

32

checking information recorded on more than one document.Document reviews should be

done systematically. The investigator should always plan to make copies of documents that

cannot be reviewed on-site, or are vitally important in documenting or describing a potential

violation. The use of a portable copier should be considered to expedite this procedure.

Sampling

Sampling and sample analysis may be necessary to document noncompliance.

Normally, grab samples that are representative and collected by acceptable methods wil

suffice unless a permit or other legally enforceable document specifies a composite sample

(Appendix M presents an example of a sampling guideline to be used in conjunction with

detailed SOPs). Samples taken to identify noncompliance with permit requirements must be

collected and analyzed consistent with facility permit requirements. Sampling should be

considered when the investigator feels that sampling would strengthen a potential

enforcement case or help document a potential violation or establish that a facility is subject

to regulation. Some situations that may require sampling are:

Sampling requested by program office (e.g., CWA/NPDES

Compliance Sampling Inspection, RCRA Compliance Monitoring

Evaluation)

Leaking drums, tanks, transformers, other containers holding

hazardous waste, other toxic materials, or other unexpected or

improper releases to the environment

Unknown waste is found

Facility's waste analysis data is questionable

Potential waste misclassification problem is suspected

Suspicious looking stains or discoloration in waste production/

management areas are unexplained

Unpermitted discharges are found
FIELD INSPECTION

33

Permitted discharges have a particularly bad appearance or need to be

characterized for toxicity/compliance

Stormwater runoff is suspected of being contaminated

Receiving waters/sediments are likely to contain toxic/ hazardous

pollutants

Contaminated sludges or other waste residuals are being improperly

disposed

Closing Conference

The primary purpose of the closing conference is to provide an opportunity for the

investigators to discuss preliminary findings with facility representatives, including any

potential violations or problems that are uncovered during the investigation. Judgment must

be exercised in deciding what findings are presented and how they are represented to facility

personnel. Nearly any finding can be discussed if it is presented in the right context.

However, the less certain the team leader is about a specific violation or issue, the more

reason not to discuss it at the closing conference. In any case, the investigators must clearly

state that information provided during the closing conference is preliminary and may change,

as a result of additional review. Pollution prevention strategies can also be discussed.

Another important purpose of the closing conference is to resolve any outstanding

questions or issues and verify information. Questions or outstanding information requests

that cannot be resolved in the closing conference should be compiled into a written, agreed

upon document, which is provided to facility representatives before the investigation team

leaves the facility, if possible. Each question or information request should be uniquely

numbered in this document. Subsequently provided responses should be referenced to the

specific request.

Some additional paperwork may need to be completed during the closing conference.

This would include signing appropriate inspection forms such as receipt for samples or
FIELD INSPECTION

34

documents received and declaration of TSCA CBI or the issuance of field citations. Multimedia investigators must be CBI-cleared before they accept any company TSCA CBI

information.

Finally, the team leader should be prepared to discuss with facility personnel how and

when a copy of the final inspection report can be obtained (e.g., a FOIA request, etc.).
MEDIA SPECIFIC INVESTIGATION PROCEDURES

35

MEDIA SPECIFIC INVESTIGATION PROCEDURES

Presented here, are many of the significant tasks that must be included in each of the

media specific inspections. Sample collection and inspection checklists are addressed

elsewhere in this manual (Appendix I lists media specific checklists). Media discussed include

hazardous waste, water, air, drinking water, toxic substances, pesticides, as well as emergency

planning/community right-to-know and Superfund issues. General information on each Act

is covered in Appendix A.

RESOURCE CONSERVATION AND RECOVERY ACT (RCRA)

Basic Program

The Resource Conservation and Recovery Act (RCRA) of 1976 is the primary statute

regulating the management and disposal of municipal and industrial solid and hazardous

wastes. In 1984, RCRA was amended by the Hazardous and Solid Waste Amendments

(HSWA) and in 1988 by the Medical Waste Tracking Act (Subpart J of RCRA). The

principal objectives of RCRA, as amended, are:

Promoting the protection of human health and the environment from potential

adverse effects of improper solid and hazardous waste management

Conserving material and energy resources through waste recycling and

recovery

Reducing or eliminating the generation of hazardous waste as expeditiously

as possible

The RCRA program consists of four waste management sub-programs designed to

meet the Congressional objectives: (1) Subtitle D - Solid Wastes, (2) Subtitle C - Hazardous

Wastes, (3) Subtitle I - Underground Storage Tanks 
MEDIA SPECIFIC INVESTIGATION PROCEDURES

The waste management programs are presented here out of alphabetical sequence because Subtitle D *

contains the definition of "solid waste" which is helpful in understanding hazardous wastes in Subtitle C. Hazardous

wastes are a subset of solid wastes. Subtitle C hazardous wastes are defined specifically in Title 40 of the Code of

Federal Regulations (CFR), Part 261.

36

(UST), and (4) Subtitle J - Medical Wastes. This section discusses evaluating compliance

under Subtitles C, I, and J.6

Subtitle C, Hazardous Wastes

Evaluating Compliance

Under Subtitle C, hazardous wastes are subject to extensive regulations on generation,

transportation, storage, treatment, and disposal. A manifest system tracks shipments of

hazardous wastes from the generator until ultimate disposal. This "cradle to grave"

management is implemented through regulations and permits.

The investigator must clearly identify investigation objectives, the RCRA regulatory

authority (or authorities) with jurisdiction, and establish the facility status under RCRA.

RCRA investigations may be performed for several reasons, including:

Assessing RCRA compliance with regulations and permits

Reviewing compliance status with respect to an administrative enforcement

action

Reviewing compliance with deadlines in a facility permit

Responding to alleged violations and/or complaints

Supporting case development

The regulatory agencies with RCRA authority may be EPA, a designated State agency

with full or partial authority, local agencies working with the State, or a combination of the

three.

In determining the facility status under RCRA, the investigator must decide whether

the facility is a generator, transporter, and/or treatment, storage, and disposal facility (TSDF),

and whether the facility is permitted or has interim status. Generally, EPA Regional and State

offices maintain files for the facility to be inspected. Information may include:
MEDIA SPECIFIC INVESTIGATION PROCEDURES

37

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

persons involved in the hazardous waste program

A list of wastes that are treated, stored, and disposed and how each is

managed (for TSDFs)

A list of wastes generated, their origins, and accumulation areas (for

generators)

Biennial, annual, or other reports required by RCRA and submitted to the

regulatory agencies; these include any required monitoring reports

A detailed map or plot plan showing the facility layout and location(s) of

waste management areas

The facility RCRA Notification Form (Form 8700-12)

The RCRA Part A Permit Application (for TSDFs)

The RCRA Part B Permit Application (for TSDFs, if applicable)

The RCRA permit (for TSDFs, if applicable)

Notifications and/or certifications for land disposal restrictions (for

generators)

Generators

Hazardous waste generators are regulated under 40 CFR Parts 262 and 268. These

regulations contain requirements for:

Obtaining an EPA Identification number

Determining whether a waste is hazardous

Managing wastes before shipment

Accumulating and storing hazardous wastes
MEDIA SPECIFIC INVESTIGATION PROCEDURES

38

Manifesting waste shipments

Recordkeeping and Reporting

Restricting wastes from land disposal (also regulated under Part 268)

The generator regulations vary, depending upon the volume of hazardous wastes generated.

The investigator must determine which regulations apply. Additionally, the investigator

should do the following:

Verify that the generator has an EPA Identification Number which is used on

all required documentation (e.g. reports, manifests, etc.)

Confirm that the volume of hazardous wastes generated is consistent with

reported volumes. Examine the processes generating the wastes to show that

all generated hazardous wastes have been identified. Look for improper

mixing or dilution.

Ascertain how the generator determines/documents that a waste is hazardous.

Check to see wastes are properly classified. Collect samples, if necessary.

Determine whether pre-transport requirements are satisfied, including those

for packaging, container condition, labeling and marking, and placarding.

Determine the length of time that hazardous wastes are being stored or

accumulated. Storage or accumulation for more than 90 days requires a

permit. Generators storing for less than 90 days must comply with

requirements outlined in 40 CFR 262.34.

VerifyRCRA reports and supporting documentation for accuracy, including

inspection logs, biennial reports, exception reports, and manifests (with land

disposal restriction notifications/ certifications). 

Watch for accumulation areas which are in use but have not been identified by

the generator. Note: Some authorized State regulations do not have

provisions for "satellite storage" accumulation areas.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

39

Determine whether a generator has the required contingency plan and

emergency procedures, whether the plan is complete, and if the generator

follows the plan/procedures.

Determine whether hazardous waste storage areas comply with applicable

requirements.

Transporters

Hazardous waste transporters (e.g., by truck, ship, or rail) are regulated under 40 CFR

Part 263, which contains requirements for:

Obtaining an EPA identification number

Manifesting hazardous waste shipments

Recordkeeping and reporting

Sending bulk shipments (by water, rail) 

Storage regulations apply if accumulation times at transfer stations are exceeded.

Transporters importing hazardous wastes, or mixing hazardous wastes of different

Department of Transportation (DOT) shipping descriptions in the same container, are

classified as generators and must comply with 40 CFR Parts 262 and 268. Investigators

evaluating transporter compliance should do the following:

Verify that the transporter has an EPA identification number which is used on

all required documentation (e.g., manifests)

Determine whether hazardous waste containers stored at a transfer facility

meet DOT pre-transport requirements

Determine how long containers have been stored at a transfer facility. Storage

over 10 days makes the transporter subject to storage requirements

Verify whether the transporter is maintaining recordkeeping and reporting

documents, including manifests, shipping papers (as required), and discharge

reports. All required documents should be both present and complete
MEDIA SPECIFIC INVESTIGATION PROCEDURES

40

Treatment, Storage, and Disposal Facilities

Permitted and interim status TSDFs are regulated under 40 CFR Parts 264 and 265,

respectively. [Part 264 applies only if the facility has a RCRA permit (i.e., a permitted

facility); Part 265 applies if the facility does not have a RCRA permit (i.e., an interim status

facility)]. These requirements include three categories of regulations consisting of

administrative requirements, general standards, and specific standards (see Table on

following page). The investigator should do the following items to determine compliance

with Subparts A through E:

Verify that the TSDF has an EPA identification number which is used on all

required documentation.

Determine what hazardous wastes are accepted at the facility, how they are

verified and how they are managed.

Compare wastes managed at the facility with those listed in the Hazardous

Waste Activity Notification (Form 8700-12); the Parts A and B permit

applications; and any revisions, and/or the permit.

Verify that the TSDF has and is following a waste analysis plan kept at the

facility; inspect the plan contents.

Identify and inspect security measures and equipment.

Review inspection logs to ensure they are present and complete. Note

problems and corrective measures.

Review training documentation to ascertain that required training has been

given to employees.

Inspect waste management areas to determine whether reactive, ignitable,

and incompatible wastes are handled pursuant to requirements.

Review preparedness and prevention practices and inspect related equipment.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

41

Review contingency plans; examine emergency equipment and documented

arrangements with local authorities.

Examine the waste tracking system and associated recordkeeping/reporting

requirements. Required documentation includes manifests and biennial

reports, and may include unmanifested waste reports, and spill/release

reports. Relevant documents may include on-site waste tracking forms.

Verify that the operating record is complete according to 40 CFR 264.73 or

265.73.

Table - Permitted vs. Interim Status (Missing)

The investigator can determine compliance with standards in Subparts F through H by doing

the following items:

For permitted facilities, verify compliance with permit standards with respect

to groundwater monitoring, releases from solid waste management units,

closure/post-closure, and financial requirements (Part 264).

For interim status facilities required to monitor groundwater, determine what

kind of monitoring program applies. 

Depending on the type of investigation, examine the following items to

determine compliance:

- Characterization of site hydrogeology

- Sampling and analytical records

- Statistical methods used to compare analytical data

- Analytical methods

- Compliance with reporting requirements and schedules

- Sampling and analysis plan (for content, completeness, and if it is

being followed)

- Condition, maintenance, and operation of monitoring equipment,

including wellheads, field instruments, and sampling materials
MEDIA SPECIFIC INVESTIGATION PROCEDURES

The regulations governing miscellaneous units are intended to address technologies that were difficult to fit into the 7

framework of prior regulations. Miscellaneous units, defined in 40 CFR 260.10, include but are not limited to:

open burning/detonation areas, thermal treatment units, deactivated missile silos, and geologic repositories.

42

- Construction/design of monitoring system

- Assessment monitoring outline and/or plan

- Corrective action plan (permitted facilities)

For waste management units that undergo closure, review the closure plan

(including amendments and modifications), plan approval, closure schedule,

and facility and regulatory certifications. Examine response actions to any

release of hazardous waste constituents from a closed or closing regulated

unit.

For waste management units in post closure care, inspect security measures,

groundwater monitoring and reporting, and the maintenance and monitoring

of waste containment systems.

Verify that the owner/operator has demonstrated financial assurance

regarding closure.

The technical standards in Part 264 (Subparts I through O and X) and Part 265

(Subparts I through R) govern specific hazardous waste management units used for storage,

disposal, or treatment (e.g., tanks, landfills, incinerators). Standards for chemical, physical,

and biological treatment at permitted facilities under Part 264 have been incorporated under

Miscellaneous Units, Subpart X. The investigator should do the following: 7

Identify all hazardous waste management areas and the activity at each;

compare the areas identified in the field with those listed in the permit or

permit application, as appropriate. Investigate disparities between actual

practice and the information submitted to regulatory agencies.

Verify that the owner/operator is complying with applicable design,

installation, and integrity standards; field-check the design, condition, and

operation of waste management areas and equipment. 
MEDIA SPECIFIC INVESTIGATION PROCEDURES

43

Determine how incompatible wastes and ignitable or reactive wastes are

managed.

Verify that the owner/operator is conducting self-inspections where and

when required; determine what the inspections include.

Identify and inspect required containment facilities for condition and

capacity; identify leak detection facilities.

Determine whether hazardous waste releases have occurred and how the

owner/operator responds to leaks and spills. 

Verify that the owner/operator is complying with additional waste analysis

and trial test requirements, where applicable.

Check the closure/post-closure procedures for specific waste management

units (e.g., surface impoundments, waste piles, etc.) for regulatory

compliance.

For landfills, determine how the owner/operator manages bulk and contained

liquids.

Field-check security and access to waste management units.

Determine what are the facility monitoring requirements (for air emissions,

groundwater, leak detection, instrumentation, equipment, etc.) and inspect

monitoring facilities and records.

When inspecting land treatment facilities, the investigator should also review the

following items:

Soil monitoring methods and analytical data

Comparisons between soil monitoring data and background concentrations

of constituents in untreated soils to detect migration of hazardous wastes
MEDIA SPECIFIC INVESTIGATION PROCEDURES

44

Waste analyses done to determine toxicity, the concentrations of hazardous

waste constituents, and, if food-chain crops are grown on the land, the

concentrations of arsenic, cadmium, lead, and mercury. The concentrations

must be such that hazardous waste constituents can be degraded,

transformed, or immobilized by treatment

Run-on and run-off management systems

When evaluating compliance of interim status incinerator facilities, the investigator

also should review and/or inspect the following items:

Waste analyses done to enable the owner/operator to establish steady state

operating conditions and to determine the pollutant which might be emitted

General procedures for operating the incinerator during start-up and shutdown

Operation of equipment monitoring combustion and emissions control,

monitoring schedules, and data output

The incinerator and associated equipment

For permitted incinerators, the investigator must evaluate the incinerator operation

against specific permit requirements for waste analysis, performance standards, operating

requirements, monitoring, and inspections. The investigator also should do the following:

Verify that the incinerator burns only wastes specified in the permit

Verify methods to control fugitive emissions

Determine waste management practices for burn residue and ash

The investigator evaluating compliance of thermal treatment facilities in interim status

also should review the following items:
MEDIA SPECIFIC INVESTIGATION PROCEDURES

45

General operating requirements, to verify whether steady state operating

conditions are achieved, as required

Waste analysis records, to ensure that (a) the wastes are suitable for thermal

treatment, and (b) the required analyses in Part 265.375 have been performed

Thermal treatment facilities permitted under 40 CFR Part 264 Subpart X will have specific

permit requirements.

The investigator evaluating compliance of chemical, physical, and biological

treatment facilities in interim status also should do the following:

Determine the general operating procedures.

Review the waste analysis records and methods to determine if the

procedures are sufficient to comply with 40 CFR 265.13.

Review trial treatment test methods and records to determine if the selected

treatment method is appropriate for the particular waste.

Examine procedures for treating ignitable, reactive, and incompatible wastes

for compliance with Subpart Q requirements.

Chemical, physical, and biological treatment facilities permitted under Subpart X will have

specific permit requirements.

Owners/operators of TSDFs must also comply with air emission standards contained

in Subparts AA and BB of 40 CFR Parts 264 and 265. These subparts establish standards

for equipment containing or contacting hazardous wastes with organic concentrations of at

least 10%. This equipment includes:

Process vents

Pumps in light liquid service

Compressors

Sampling connecting systems
MEDIA SPECIFIC INVESTIGATION PROCEDURES

Land disposal includes, but is not limited to, placement in a landfill, surface impoundment, waste pile, 8

injection well, land treatment facility, salt dome formation, salt bed formation, underground mine or cave, or

placement in a concrete vault or bunker intended for disposal purposes.

Treatment standards are in 40 CFR 268.40 through 43. 9

46

Open-ended valves or lines

Valves in gas/vapor service or in light liquid service

Pumps and valves in heavy liquid service, pressure relief devices in light

liquid or heavy liquid service, and flanges and other connections

Total organic emissions from process vents must be reduced below 1.4 kg/hr and 2.8 Mg/yr.

The other equipment types above must be marked and monitored routinely to detect leaks.

Repairs must be initiated within 15 days of discovering the leak.

The facility operating record should contain information documenting compliance

with the air emission standards. A complete list of required information is in 40 CFR

264.1035, 264.1064, 265.1035, and 265.1064. Permitted facilities must submit semiannual

reports to the Regional Administrator outlining which valves and compressors were not fixed

during the preceding 6 months. The investigator can do the following things:

Visually inspect the equipment for marking.

Review documentation in the operating record and cross-check this

information with that submitted to the Regional Administrator in semiannual

reports.

Land Disposal Restrictions

Land disposal restrictions (LDR) in 40 CFR Part 268 are phased regulations

prohibiting land disposal of hazardous wastes unless the waste meets applicable treatment 8

standards [Appendix N]. The treatment standards are expressed as (1) contaminant

9

concentrations in the extract or total waste, or (2) specified technologies.

Notifications and certifications comprise the majority of required LDR

documentation. Notifications tell the treatment or storage facility the appropriate treatment
MEDIA SPECIFIC INVESTIGATION PROCEDURES

Prohibitions on land disposal are explained in 40 CFR 268, Subpart C. 10

47

standards and any prohibition levels (California List wastes) that apply to the waste.

Certifications are signed statements telling the treatment or storage facility that the waste

already meets the applicable treatment standards and prohibition levels.

The regulations divide hazardous wastes into restricted waste groups and apply a

compliance schedule of different effective dates for each group (40 CFR 268, Appendix VII).

Investigators evaluating hazardous waste generators for LDR compliance should do

the following:

Determine whether the generator produces restricted wastes; review how/if

the generator determines a waste is restricted.

Review documentation/data used to support the determination that a waste

is restricted, based solely on knowledge.

Learn how/if a generator determines the waste treatment standards and/or

disposal technologies.

Verify whether the generator satisfies documentation, recordkeeping,

notification, certification, packaging, and manifesting requirements.

Ascertain whether the generator is or might become a TSDF and subject to

additional requirements.

Determine who completes and signs LDR notifications and certifications and

where these documents are kept.

Review the waste analysis plan if the generator is treating a prohibited10

waste in tanks or containers.

Investigators evaluating TSDFs should do the following:
MEDIA SPECIFIC INVESTIGATION PROCEDURES

48

Ensure the TSDF is complying with generator recordkeeping requirements

when residues generated from treating restricted wastes are manifested offsite.

Verify whether the treatment standards have been achieved for particular

wastes prior to disposal.

Review documentation required for storage, treatment, and land disposal;

documentation may include waste analyses and results, waste analysis plans,

and generator and treatment facility notifications and certifications.

Subtitle I - Underground Storage Tanks (USTs)

Evaluating Compliance

Three basic methods are used to determine compliance in most inspections: (1)

Interviews of facility personnel, (2) visual/field observations, and (3) document review.

Because the tanks are located underground, visual/field observations have limited application

in determining compliance for USTs. The UST program relies heavily on the use of

documents to track the status and condition of any particular tank. 

Interviews with facility personnel are an important starting point when determining

compliance with any environmental regulation. Questions regarding how the facility is

handling its UST program will give the inspector insight into the types of violations that may

be found. Topics to be covered in the interview include:

Age, quantity, and type of product stored for each tank on-site

How and when tanks have been closed

Type of release detection used on each tank (if any); some facilities may have

release detection on tanks where it is not required

Type of corrosion protection and frequency of inspections

Which tanks have pressurized piping associated with them
MEDIA SPECIFIC INVESTIGATION PROCEDURES

49

Visual/field observations are used to determine if any spills or overfills have occurred

that have not been immediately cleaned up. The presence of product around the fill pipe

indicates a spill or overfill. Proper release detection methods can also be verified with field

observations. During the interviews, ask the facility if monthly inventory control along with

annual tightness testing is used. If monthly inventory control is used, check the measuring

stick for divisions of 1/8 inch. A field check of the entire facility can also be done to

determine if any tanks may have gone unreported. Fillports and vent lines can indicate the

existence of a UST.

Documents take up the largest portion of time during a UST inspection. Documents

that should be reviewed include:

Notifications for all UST systems

Reports of releases including suspected releases, spills and overfills, and

confirmed releases

Initial site characterization and corrective action plans

Notifications before permanent closure

Corrosion expert's analysis if corrosion protection is not used

Documentation of operation of corrosion protection equipment

Recent compliance with release detection requirements, including daily

inventory sheets with the monthly reconciliation

Results of site investigation conducted at permanent closure.

Document retention rules also apply, so be sure to get all of the documents a facility may be

required to keep. To determine if the implementing agency has been notified of all tanks,

compare the notifications to general UST lists from the facility. Usually, the facility will keep

a list of tanks separate from the notifications and tanks may appear on that list that do not
MEDIA SPECIFIC INVESTIGATION PROCEDURES

50

appear on a notification form. Also, compare the notifications to tank lists required in other

documents, like the Spill Prevention Control and Countermeasures Plan.

Subtitle J - Medical Wastes

Subtitle J was added to RCRA in November 1988 to address concerns about the

management of medical wastes. EPA enacted interim final regulations in March 1989. The

regulations, found in 40 CFR Part 259, establish a demonstration program with requirements

for medical waste generators, transporters, and treatment, destruction, and disposal facilities

(TDDs). The demonstration program is effective in "Covered States" during the period June

22, 1989 to June 22, 1991. The regulations apply to regulated medical waste generated in

Connecticut, New Jersey, New York, Rhode Island, and Puerto Rico.

Basic Program

Medical waste is defined in 40 CFR 259.10 as any solid waste generated in the

diagnosis, treatment, or immunization of human beings or animals, in related research,

biological production, or testing. The following are exempt from 40 CFR Part 259

requirements:

Any hazardous waste identified or listed under 40 CFR Part 261

Any household waste defined in 40 CFR 261.4(b)(1)

Residues from treatment and destruction processes or from the incineration

of regulated medical wastes

Human remains intended to be buried or cremated

Etiologic agents being shipped pursuant to other Federal regulations

Samples of regulated medical waste shipped for enforcement purposes

Regulated medical waste is a subset of all medical wastes and includes seven

categories:

1. Cultures and stocks of infectious agents

2. Human pathological wastes (e.g., tissues, body parts)

3. Human blood and blood products
MEDIA SPECIFIC INVESTIGATION PROCEDURES

51

4. Sharps (e.g., hypodermic needles and syringes used in animal or human

patient care)

5. Certain animal wastes

6. Certain isolation wastes (e.g., waste from patients with highly communicable

diseases)

7. Unused sharps (e.g., suture needles, scalpel blades, hypo-dermic needles)

Etiological agents being transported interstate and samples of regulated medical

waste transported off-site by EPA- or State-designated enforcement personnel for

enforcement purposes are exempt from the requirements during the enforcement

proceedings.

Mixtures of solid waste and regulated medical waste are also subject to the

requirements. Mixtures of hazardous and regulated medical waste are subject to the 40 CFR

Part 259 requirements only if shipment of such a mixture is not subject to hazardous waste

manifesting (e.g., the hazardous waste is shipped by a conditionally exempt generator).

Generators, transporters, and owners or operators of intermediate handling facilities

or destination facilities who transport, offer for transport, or otherwise manage regulated

medical waste generated in a Covered State must comply with the regulations even if such

transport or management occurs in a non-Covered State. Vessels at port in a Covered State

are subject to the requirements for those regulated medical wastes transported ashore in the

Covered State. The owner or operator of the vessel and the person(s) removing or accepting

waste from the vessel are considered co-generators of the waste.

A generator who either treats and destroys or disposes of regulated medical waste

onsite [e.g., incineration, burial, or sewer disposal covered by section 307(b) through (d),

of the Clean Water Act] is not subject to tracking requirements for that waste. However,

such on-site waste management may subject the generator to additional Federal, State, or

local laws and regulations.

Evaluating Compliance

The inspector should evaluate whether the generator has determined what regulated

medical waste streams are generated and/or managed. Generators of less than 50 pounds
MEDIA SPECIFIC INVESTIGATION PROCEDURES

52

per month are exempt from certain transportation, and tracking requirements. Compliance

should also be evaluated by observing the following:

Prior to shipping waste off-site: Are wastes segregated? Are wastes packed

in the appropriate containers? If containers are reused, are they

decontaminated? Are containers properly marked?

Does the generator use tracking forms? Are copies of the forms and any

exception reports kept for 3 years? Does the generator export medical waste

for treatment, destruction, or disposal? If so, the generator must request that

the destination facility provide written confirmation that the waste was

received; an exception report must be filed if such a confirmation is not

received within 45 days. If the generator incinerates medical 

waste on-site, are the recordkeeping and reporting regulations for on-site

incinerators followed?

The transportation requirements apply to transporters, including generators who

transport their own waste, and owners and operators of transfer facilities engaged in

transporting regulated medical waste generated in a Covered State.The inspector should

verify that:

The proper labeling and marking of regulated medical waste accepted for

transportation has taken place or has been done.

If the waste is handled by more than one transporter, did each transporter

attach a water resistant identification tag below the generator's marking? Is

the required information on the tag?

The transporter submitted the required notification(s) for each Covered

State.

The vehicles are fully enclosed, leakproof, maintained in sanitary condition,

secured when unattended, and marked with the proper identification.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

53

The applicable requirements for rail shipments are followed.

Tracking forms are used properly.

Recordkeeping and reporting requirements are followed.

The requirements for treatment, destruction, and disposal facilities apply to owners

and operators of facilities that receive regulated medical waste generated in a Covered State,

including facilities located in non-Covered States that receive regulated medical waste

generated in a Covered State. The facilities include destination facilities, intermediate

handlers, and generators who receive regulated medical waste required to be accompanied

by a tracking form. The inspector should verify the following:

Are tracking forms used and properly completed?

Are tracking form discrepancies resolved?

Are the recordkeeping requirements followed?

Is any additional information required by the Administrator reported?

For rail shipments of regulated medical waste, the inspector should determine

whether the tracking forms are used properly.

Pollution Prevention

EPA is developing an Agency-wide policy for pollution prevention. Present

authorities were established in the 1984 Hazardous and Solid Waste Amendments to RCRA

[Section 3002]. The October 1990 Pollution Prevention Act established pollution prevention

as a national priority.

Evaluating Compliance

EPA has developed a policy regarding the role of inspectors in promoting waste

minimization (OSWER directory number 9938.10). As stated in the policy, to evaluate

compliance, the inspector should:
MEDIA SPECIFIC INVESTIGATION PROCEDURES

54

Check hazardous waste manifests for a correctly worded and signed waste

minimization certification.

Determine whether this certification was manually signed by the generator or

authorized representative.

Confirm that a waste minimization program is in place by requesting to see

a written waste minimization plan, or requesting that the plan be described

orally, or requesting that evidence of a waste minimization program be

demonstrated. The inspector can, and should visually check for evidence of

a "program in place" on-site.

Check the Biennial Report and/or Operating Record of generators and TSDs,

as appropriate. These documents are to contain descriptions of waste

minimization progress and a certification statement. If known omissions,

falsifications, or misrepresentations on any report or certification are

suspected, criminal penalties may apply and the case should be referred for

criminal investigation.

Check any waste minimization language included in the facility's permits, any

enforcement order, and settlement agreements. Verify that any waste

minimization requirements are being satisfied.

The policy also states that the inspector should promote waste minimization by:

Being familiar with recommending, and distributing waste minimization

literature.

Referring the facility to the appropriate technical assistance program for more

specific or technical information.

Providing limited, basic advice to the facility of obvious ways they can

minimize their waste. This advice should be issued in an informal manner

with the caveat that it is not binding in any way and is not related to

regulatory compliance.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

55

The multi-media inspection team can also document cross-media transfers of waste streams,

which can result in false claims of waste minimization. For example, a facility could treat a

solvent wastewater stream in an air stripper that has no air pollution control devices. On

paper, the amount of solvent discharged to a land disposal unit or sewer system could show

a reduction, but the pollutants are going into the air, possibly without a permit. Another

example would be a facility claiming a reduction in hazardous waste generated because the

waste stream was delisted.

CLEAN WATER ACT (CWA)

EPA establishes national water quality goals under the CWA. Water pollution from

industrial and municipal facilities is controlled primarily through permits limiting discharges.

Permit limits are based on effluent guidelines for specific pollutants, performance

requirements for new sources, and/or water quality limits. Permits also set schedules and

timetables for construction and installation of needed equipment. Sources which discharge

indirectly to a municipal treatment plant are subject to pretreatment standards. Other key

provisions of the CWA require permits for discharge of dredged and fill materials into waters

(including wetlands) and requirements for reporting and cleaning up spills of oil or hazardous

material. Nonpoint sources of water pollution, such as runoff from agricultural fields, are

addressed through programs to implement Best Management Practices.

Although the investigator(s) responsible for determining facility compliance with

Clean Water Act requirements should focus on issues identified below, they should be aware

of the inter-relationship with other laws, regulations, etc. For example, sludge generated at

a wastewater treatment plant (WWTP) may be regulated under solid waste disposal laws

(Toxicity Characteristic) and substances used/generated at the WWTP may be subject to

reporting requirements (EPCRA reporting for chlorine).

Basic Program

Wastewater compliance components can be generally categorized into the following

groups:

Control and treatment systems

Self-monitoring systems (including both field and laboratory measurements)
MEDIA SPECIFIC INVESTIGATION PROCEDURES

56

Operation and maintenance (O&M)

Best Management Practices (BMP)

Spill Prevention Control and Countermeasure (SPCC) Plan

Before the inspection, the investigators should determine the "yardstick" by which facility

compliance will be measured. To do so, the investigator must obtain and review copies of

the discharge permit, permit application, discharge monitoring reports (DMRs), treatment

facility plot plans, and any additional required plans (SPCC, etc.).

Evaluating Compliance

Control and Treatment Systems

Wastewater control and treatment systems should be evaluated for adequacy and

compliance with permit or other requirements (consent decrees, etc.) through record review

and on-site inspection. This includes, but is not limited to, the following:

Determine if all wastewaters generated by the facility are adequately

controlled, recycled, directed to the wastewater treatment plant (on or

offsite), discharged through an outfall regulated by a National Pollutant

Discharge Elimination System (NPDES) permit, etc.

Identify any wastewater discharges directly to a receiving waterbody that are

not included in a facility NPDES Permit.

For off-site wastewater treatment, determine if the discharge is required to

meet pretreatment standards. Review any applicable standards and

appropriate wastewater characterization data, as necessary. Pretreatment

checklists are available in some Regional offices.

For on-site wastewater treatment, determine if the wastewater treatment

plant has the appropriate unit processes and is properly sized to effectively

treat the quality and quantity of wastewater generated by the facility.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

57

Review operations records and DMRs to determine if the facility has

exceeded its NPDES permit limits.

Self-monitoring Systems

Self-monitoring consists of flow and water quality measurements and sampling by the

facility in addition to laboratory analyses of water samples required by the NPDES permit

program. The NPDES/ pretreatment permits normally identify self-monitoring requirements.

There are usually two components to the self-monitoring system evaluation, as discussed

below:

Field - Confirm that acceptable sampling and flow measurements, as specified by the

NPDES/pretreatment permits, are conducted at the correct locations, with the proper

frequency, and by acceptable equipment and methods. Determine if all necessary

calibrations and O&M are performed. Approved procedures are to be used in the

collecting, preserving, and transporting of samples [40 CFR 136.3(e)].

Laboratory - Evaluate laboratory procedures affecting final reported results

including:

Sample preservation methods and holding times

Chain-of-custody

Use of approved procedures (40 CFR 136 or approved alternatives)

Adequacy of personnel, equipment, and other components of laboratory

operations

Adequacy of quality assurance/quality control program

Recordkeeping and calculations

Evaluate how the data are entered into laboratory notebooks or computers; sign-off

procedures used; analysis of spikes, blanks, and reference samples; how the lab data

are transposed onto the official, self-monitoring report forms (DMRs) sent to the

regulatory agency; and the extent and capability of outside contract laboratories, if

used.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

58

Operation and Maintenance

Most NPDES discharge permits have standard language that requires proper facility

operation and maintenance [40 CFR 122.41(e)]. The investigator should:

Determine if wastewater treatment processes are operated properly through

visual inspection and records review.

Observe the presence of solids, scum, grease, and floating oils or suspended

materials (pinpoint floc, etc.), odors, and weed growth in the treatment units.

Note appearance of wastewater in all units.

Identify all out-of-service processes and determine cause.

Determine level of maintenance by observing condition of equipment (pumps,

basins, etc.) and reviewing records (outstanding work orders, spare parts

inventories).

Identify handling, treatment, and disposal of sludges and other residues

generated from processes and wastewater treatment system.

Best Management Practices (BMP) Plan

Determine if the facility handles toxic materials and if a BMP plan is required (40

CFR 125, Subpart K or by NPDES permit). If applicable, review BMP Plan or BMP Permit

requirements. Determine if facility is following required provisions. Review any records

required by the plan for adequacy.

SPCC Plan

Determine if the facility is required to develop and implement an SPCC Plan (40 CFR

112) for storage/handling and spill control of specified substances. A facility is required to

have an SPCC plan if it stores oil and/or oil products and:

Underground capacity exceeds 42,000 gallons
MEDIA SPECIFIC INVESTIGATION PROCEDURES

59

Aboveground storage capacity exceeds 1,320 gallons

Any single aboveground container exceeds 660 gallons

A spill could conceivably reach a water of the United States

Obtain a copy of the plan and required records to assess compliance with the plan provisions.

The plan should be certified by a registered professional engineer with approval and

implementation certified by the proper facility official. Identify and visually inspect al

regulated tanks and equipment including containment and run-off control systems and

procedures. Investigate any evidence of spilled materials. Discuss training and associated

procedures with facility personnel. Review applicable records (spill reports, tank and piping

inspection reports, and loading/unloading equipment inspection reports).

CLEAN AIR ACT (CAA)

The Clean Air Act is the legislative basis for air pollution control regulations. It was

first enacted in 1955 and later amended in 1963, 1965, 1970, 1977, and 1990. The 1955 Act

and the 1963 Amendments called for the abatement of air pollution through voluntary

measures. The 1965 amendments gave Federal regulators the authority to establish

automobile emission standards.

Basic Program

The Clean Air Act Amendments of 1970 significantly broadened the scope of the Act,

forming the basis for Federal and State air pollution control regulations. Section 109 of the

1970 Amendments called for the attainment of national ambient air quality standards

(NAAQS, 40 CFR 50) to protect public health and welfare from the known or anticipated

adverse effects of six air pollutants (as of 1990 the standards were for small particulates,

sulfur dioxide, nitrogen dioxide, carbon monoxide, ozone, and lead). The states were

required to develop and submit to EPA implementation plans that were designed to achieve

the NAAQS. These state implementation plans (SIPs) contained regulations that limited air

emissions from stationary and mobile sources. They were developed and submitted to EPA

on a continuing basis and became federally enforceable when approved.

Section 111 of the 1970 Amendments directed EPA to develop standards of

performance for new stationary sources. These regulations, known as New Source
MEDIA SPECIFIC INVESTIGATION PROCEDURES

60

Performance Standards (NSPS, 40 CFR 60), limited air emissions from subject new sources.

The standards are pollutant and source specific. Appendix L contains a list of the NSPS

sources as of July 1, 1990 and also lists sources subject to NSPS continuous emission

monitoring (CEM) and continuous opacity monitoring (COM) requirements.

Section 112 of the 1970 Amendments directed EPA to develop standards for

hazardous air pollutants. These regulations, known as the National Emission Standards for

Hazardous Air Pollutants (NESHAPs, 40 CFR 61), limited hazardous air emissions from both

new and existing sources. (Appendix L) contains a list of sources subject to NESHAPs as

of July 1, 1990. These standards are incorporated into the SIPs, usually by reference to the

EPA standard.

The Clean Air Act Amendments of 1977 addressed the failure of the 1970

Amendments to achieve the NAAQS by requiring permits for major new sources. The permit

requirements were based on whether the source was located in an area that met the NAAQS

(attainment areas, 40 CFR 81) or in an area that did not meet the NAAQS (nonattainment

areas). The permit program for sources in attainment areas was referred to as the prevention

of significant deterioration (PSD) program.

The Clean Air Act Amendments of 1990 significantly expanded the scope of the Act.

Section 112 amendments essentially replaced the NESHAPs with a new program called "Title

III - Hazardous Air Pollutants." Title III listed 189 hazardous air pollutants [Appendix O]

and required EPA to start setting standards for categories of sources that emit these

pollutants within 2 years (1992) and finish setting all standards within 10 years (2000). It also

contains provisions for a prevention-of-accidental-releases program.

Title V of the 1990 Amendments requires EPA to promulgate a permitting program

that will be implemented by the states no later than November 15, 1994. The permits will

include enforceable emission standards, and reporting, inspection, and monitoring

requirements

Title VII of the 1990 Amendments gives EPA enhanced enforcement authority. The

Agency may initiate enforcement proceedings for SIP and permit violations if the state does

not take enforcement action. Title VII also provides for criminal penalties for Clean Air Act

violations.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

61

Evaluating Compliance

The following procedures are used to evaluate compliance with the Clean Air Act.

Before an on-site inspection the documents listed below should be obtained from state

or EPA files and reviewed to determine what regulations apply and what compliance

problems may exist.

The state air pollution control regulations contained in the SIP (State

regulations and permits form the basis for the air compliance inspection and

will vary from state to state.)

The state operating and construction permits 

The most current emissions inventory (check for sources subject to SIP,

NSPS, and NESHAPs requirements) 

The volatile organic compound (VOC) emissions inventory (The VOC

inventory may not be included in the emissions inventory but reported

separately under Title III Form R submittals. See Emergency Planning and

Community Right-to-Know section.)

The consent decrees/orders/agreements still in effect and related

correspondence

The most recent inspection reports

The most recent monthly or quarterly CEM/COM reports

AIRS Facility Subsystem (AFS) reports

Process descriptions, flow diagrams, and control equipment for air emission

sources
MEDIA SPECIFIC INVESTIGATION PROCEDURES

62

Facility plot plan that identifies and locates the air pollution emission points

The on-site inspection should include a review of the records and documents listed

below:

Process operating and monitoring records to determine if permit requirements

are being followed

Fuel analysis reports (including fuel sampling and analysis methods) to

determine if sulfur dioxide emission limits and/or other fuel requirements are

being met

Reports of process/control equipment malfunctions causing reportable excess

emissions (refer to SIP to determine reportable malfunctions and report

requirements)

Source test reports to determine if NSPS, NESHAPs, and/or major sources

have demonstrated compliance with emission standards

CEMreports to determine if NSPS and SIP reporting requirements are being

met (reported emissions should be checked against raw data for accuracy and

reported corrective actions should be checked for implementation)

CEMS/COMS certification tests (relative accuracy and calibration drift) to

verify that performance specifications at 40 CFR 60, Appendix B are met

Records and reports specified in SIP regulations, NSPS and NESHAP

subparts, and applicable permits

The on-site inspection should also include the following:

Visible emission observations (VEOs), by inspectors certified to read smoke

within the last 6 months, to determine compliance with SIP, NSPS, or

NESHAPs opacity limits (document noncompliance with EPA Method 9, 40

CFR 60, Appendix A) 
MEDIA SPECIFIC INVESTIGATION PROCEDURES

63

Acheck of real time CEM measurements to determine compliance SIP, NSPS

or NESHAPs limits (opacity CEM measurements can be compared against

VEOs)

Areview of CEM/COMS calibration procedures and frequency to determine

if the zero/span check requirements and analyzer adjustment requirements of

40 CFR 60 are being met

Observations of process and control equipment operating conditions to

determine compliance with permit conditions (if no permit conditions apply,

control equipment operating conditions can be compared to baseline

conditions from stack tests or manufacturers specifications for proper

operation)

A review of all sources to determine if existing, new, modified or

reconstructed sources have construction and operating permits required by

SIP (note other process changes that may not require a permit but could effect

emissions)

Observation of control equipment operating conditions and review of

equipment maintenance practices and records to determine proper operation

of control equipment

SAFE DRINKING WATER ACT (SDWA)

Basic Program

Public drinking water supply systems (i.e., serve at least 25 people) are regulated by

the Safe Drinking Water Act (SDWA), as amended. EPA sets standards for the quality of

water that can be served by public water systems, [known as Maximum Contaminant Levels

(MCLs)]. Public systems must sample their water periodically and report findings to the State

(or EPA, if the State has not been delegated the authority to enforce the SDWA). They must

notify consumers if they do not meet the standards or have failed to monitor or report. EPA

is on a statutory schedule for promulgating a large number of new MCLs.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

64

Evaluating Compliance

Water Supply Systems

The Underground Injection Control (UIC) program was developed pursuant to the

Safe Drinking Water Act (SDWA) (Public Law 93-523), Part C - Protection of Underground

Sources of Drinking Water (40 CFR Parts 124 and 144 through 148).

The UIC program regulates five classes of injection wells, summarized as follows:

Class I Industrial, municipal, or hazardous waste disposal beneath the lowermost

underground source of drinking water (USDW)

Class II Oil- and gas-related wells used for produced fluid disposal, enhanced

recovery, hydrocarbon storage, etc.

Class III Mineral extraction wells

Class IV Hazardous or radioactive waste disposal above or into a USDW

Class V Injection wells not included in Classes I through IV

Monitoring requirements for water supply systems and whether or not the system can

be reasonably expected to routinely provide safe potable water should be determined. Many

facilities purchase their potable water supply from a nearby municipality. If no further

treatment is provided (e.g., chlorination by the facility), the facility remains a "consumer"

rather than becoming a "supplier," and consequently does not have the monitoring or

reporting requirements that a supplier would have. Nevertheless, the facility does have a

responsibility to assure that their actions do not result in contamination of the municipal water

supply (e.g., through cross-connection). The audit team should be alert to these possibilities.

Inspectors should:

Verify public water system records of monitoring and reports of exceeding

MCLs.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

65

Interview water system personnel to identify potential operations and

maintenance problems.

Obtain water source, treatment, and service area information.

UIC inspector should determine the following:

Injection well construction 

Potential pathways of endangerment to underground sources of drinking

water (USDWs)

Protection of USDWs from endangerment

Frequency and type of mechanical integrity testing (MIT)

Annular pressure

Annular pressure monitoring

Radioactive tracer surveys

Installation methods for well plugging

Remedial operations

Applicability of Land Disposal Restrictions to injection well operations

Recordkeeping and evidence documentation

Outlets for floor drains

Connection to "dry" wells

Several states and industries have requested approval of various alternative mechanical

integrity testing methods or variances to accommodate special local hydrogeological

conditions, historical practices, or industry interests. Inspectors and field investigators should

be cautioned to keep current with special permit conditions and the status of any pending

approvals/denials of alternative mechanical integrity testing procedures and variances.

TOXIC SUBSTANCES CONTROL ACT (TSCA)

This section describes those specific aspects of toxic chemical control that are

addressed by the Toxic Substances Control Act (TSCA) and its associated rules and

regulations (40 CFR Parts 702 through 799).
MEDIA SPECIFIC INVESTIGATION PROCEDURES

All personnel handling material claimed as Confidential Business Information under TSC A

*

must be cleared for access to that material in accordance with Agency procedures. An annual update

is required.

66

Basic Program

The regulation of toxics under TSCA is subdivided into two components for Agency

enforcement program management purposes.

1. "Chemical control" covers enforcement aspects related to specific chemicals

regulated under Section 6 of TSCA, such as polychlorinated biphenyls

(PCBs), chlorofluorocarbons (CFCs), and asbestos.

2. "Hazard evaluation" refers to the various recordkeeping, reporting, and

marketing submittal requirements specified in Sections 5, 8, 12, and 13 of

TSCA; although, some elements of what might be termed "chemical control"

are also addressed in these sections. Sections 12 and 13 of TSCA, which

pertain to chemical exports and imports, respectively, will not be covered in

this manual due to their special nature and unique requirements.

Prior to discussing TSCA activities at a facility, the investigator must present

11*

appropriate facility personnel with copies of the following two TSCA audit forms [Appendix

P]:

1. Notice of Inspection - Shows purpose, nature, and extent of TSCA audit

2. TSCA Inspection Confidentiality Notice - Explains a facility's rights to claim

that some or all the information regarding toxic substance handling at the

facility is to be considered as TSCA Confidential Business Information (CBI)

Before leaving the site, the following two forms [Appendix P] must be completed, as

appropriate.

1. Receipt for Samples and Documents - Itemizes all documents, photos, and

samples received by the investigator during the audit
MEDIA SPECIFIC INVESTIGATION PROCEDURES

These forms are generally completed during the closing conference. During the openin g

*

conference, facility personnel should be made aware that the latter form is used to itemize TSCA CB I

material.

67

2. Declaration of CBI - Itemizes the information that the facility claims to be 12*

TSCA CBI

Evaluating Compliance

Chemical Control

Although the controlled substances most frequently encountered during multi-media

investigations are polychlorinated biphenyls (PCBs), the investigator should determine if other

regulated toxic substances are present at the facility. Currently these include metal working

fluids (Part 747), fully halogenated chlorofluoroalkanes (40 CFR 762), and asbestos (40 CFR

763); additional toxic substances may be regulated in the future. Because the probability of

finding PCBs and PCB items at a facility is greater than finding other TSCA-regulated

substances, the following discussion is directed toward an evaluation of compliance with

proper PCB and PCB item handling procedures. Should other TSCA-regulated substances

be present, the investigator should consult the regulations for appropriate requirements.

Management of PCBs/PCB items is regulated under 40 CFR 761. In general, these

regulations address recordkeeping, marking and labeling, inspections, storage, and disposal.

Facilities which store and/or dispose of PCBs and PCB items should have EPA-issued

Letters of Approval which contain facility operating and recordkeeping requirements in

addition to those specified in 40 CFR 761. The investigator must obtain a copy of these

approvals and any subsequent notifications to evaluate facility compliance. The inspector

should review Part 761.30 to identify uses of PCB transformers which are prohibited

beginning October 1, 1990, but with effective dates extending to October 1, 1993. The 

inspector should also review the requirements found in Part 761.30 which allow the

installation of PCB transformers for emergency use.

In general, the compliance evaluation includes obtaining and reviewing information

from Federal, State, and local regulatory agency files; interviewing facility personnel
MEDIA SPECIFIC INVESTIGATION PROCEDURES

68

regarding material handling activity; examining facility records and inspecting material

handling units. Specific investigation tasks include:

Inspect all in-service electrical equipment, known or suspected of containing

PCBs, for leaks or lack of proper marking. A similar inspection should also

be made of any equipment that the facility is storing for reuse. Make certain

that any remedial actions were quick and effective in the case of leaks, spills,

etc.

If the above equipment includes any PCB transformers make certain that all

relevant prohibitions are being met, such as those involving enhanced

electrical protection, as well as other requirements in the Use Authorization

section of the PCB Rule. Likewise with large PCB capacitors. Make certain

that any hydraulic or heat transfer systems suspected of containing PCB fluids

have been properly tested.

Determine whether the facility is involved with servicing PCB items or

using/collecting/producing PCBs in any manner. If so, make certain that the

appropriate requirements of the PCB Rule are being met.

Determinewhether the facility is involved with either the storage or disposal

of PCBs/PCB items. Inspect all storage for disposal facilities for proper

containment, leaking items, proper marking, dates/time limits, location,

protection from elements, and other necessary requirements. If the facility

disposes of PCBs, make certain that proper methods are being employed and

that design 

and operation of disposal units is in accordance with regulatory requirements.

Determine whether storage/disposal facilities are complying with the

notification and manifesting requirements contained in Subpart K of the PCB

Rule.

Thoroughlyreview, for purposes of adequacy and regulatory compliance, all

records and reports required by the PCB Rule including the following:
MEDIA SPECIFIC INVESTIGATION PROCEDURES

69

- Annual documents

- Inspection logs

- PCB transformer registration letters

- Manifests/certificates of destruction

- Test data

- Spill clean-up reports

- EPA issued permits or Letters of Approval

- SPCC plan, if one is necessary

- Operating records

- Notification of PCB activity

Hazard Evaluation

Establishing compliance with the various hazard evaluation aspects of TSCA is best

accomplished through review and evaluation of the recordkeeping, reporting, and submittal

data required by the various regulatory components of Sections 5 and 8. In general, Section

5 addresses new chemicals (i.e., those not on the TSCA Chemical Substances Inventory) and

Section 8 provides for control of existing chemicals (i.e., those chemicals that are on the

TSCA Chemical Substances Inventory).

Much of the information obtained and reviewed under these two sections of TSCA

will be declared "TSCA Confidential Business Information" (CBI) by 

company officials and, thus, special security procedures must be followed during review and

storage of the documents, as discussed elsewhere.

The glossary [Appendix Q] and 40 CFR Parts 703 through 723 should be consulted

for an explanation of TSCA terms and definitions. The following list summarizes the different

objectives for inspections of the key TSCA Sections 5 and 8 components.

1. Premanufacture Notification (PMN)

a. Verify that all commercially manufactured or imported chemicals are

either on the TSCA Chemical Substances Inventory, are covered by

an exemption, or are not subject to TSCA.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

70

b. Verify that commercial manufacture or import of new chemicals did

not begin prior to the end of 90-day review date [Appendix A, page

A-24], and not more than 30 days before the Notice of

Commencement (NOC) date. If commercial manufacture or import

has not begun, verify that no NOC has been submitted .

c. Verify the accuracy and documentation of the contents of the PMN

itself.

2. Research and Development (R&D) Exemption

a. Verify that the recordkeeping and notification requirements are being

met for all R&D chemicals.

b. Verify that "Prudent Laboratory Practices" and hazardous data

searches are adequately documented.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

71

3. Test Marketing Exemption (TME)

a. Verify that the conditions spelled out in the TME application are being

met, particularly with respect to dates of production, quantity

manufactured or imported, number of customers and use(s).

b. Verify that the TME recordkeeping requirements are being met.

4. Low Volume Exemption (LVE) and Polymer Exemption (PE)

a. Verify that specific conditions of the exemption application are being

met, and that all test data have been submitted.

b. For an LVE, verify that the 1,000-kg limit per 12-month period has

not been exceeded. For a PE, assure that the chemical structure and

monomer composition(s) are accurate.

c. Verify that recordkeeping requirements for both LVEs and PEs are

being met.

5. 5(e)/5(f) Order, Rule, or Injunction

a. Verify that all conditions of the order, rule, or injunction are being

followed, including use of protective equipment, glove testing,

training, and recordkeeping.

b. If a testing trigger is specified, verify production volume and status of

testing activity.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

72

6. Significant New Use Rule (SNUR)

a. Verify that no commercial production has occurred prior to the 90-

day review date.

b. Verify that SNUR notices have been submitted for all applicable

manufactured, imported, or processed chemicals.

c. Verify technical accuracy of SNUR submittal and completeness of

required recordkeeping.

7. Bona Fide Submittals

Determine the commercial production (or import) status and R&D history of

those bona fide chemicals not found on the confidential 8(b) inventory. Verify

findings against applicable PMN, TME, or other exemption.

8. Section 8(a) Level A PAIR and CAIR Report

a. Determine if Preliminary Assessment Information Rule (PAIR) and

Comprehensive Assessment Information Rule (CAIR) reports have

been submitted for all 8(a) Level A listed chemicals manufactured or

imported by the facility.

b. Verify the accuracy of submitted PAIR information, particularly the

reported figures for total production volume and worker exposure

levels.

c. Verify the accuracy of submitted CAIR information and if the report

meets the date specified in the regulation.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

73

9. Section 8(b) Inventory Update Rule (IUR)

a. Verify the accuracy of the information submitted in response to the

IUR.

b. Determine that required information was submitted by the prescribed

deadline for all chemicals subject to IUR.

10. Section 8(c) Recordkeeping

a. Determine if the facility has a Section 8(c) file and that allegations of

significant health and environmental harm on record are properly filed

and recorded.

b. Determine that all applicable allegations have been recorded and filed.

c. Determine if the facility has a written Section 8(c) policy and if the

policy includes outreach to the employees.

11. Section 8(d) Reporting

Determine if copies (or lists) of all unpublished health effects studies have

been submitted by manufacturers, importers, and processors for any Section

8(d) listed chemical.

12. Section 8(e) Reporting

a. Verify that all Section 8(e) substantial risk reports to the Agency were

accurate and submitted within the required time frames.

b. Verify that all substantial risk incidents and/or test results have been

reported to EPA.

c. Determine that the company has an adequate written policy addressing

Section 8(e), and that it relieves employees of individual liability.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

74

FEDERAL INSECTICIDE, FUNGICIDE, AND RODENTICIDE ACT (FIFRA)

Basic Program

Pesticides are regulated by FIFRA and regulations developed under delegated State

programs. Under FIFRA, pesticide products must be registered by EPA before they are sold

or distributed in commerce. EPA registers pesticides on the basis of data adequate to show

that, when used according to label directions, they will not cause unreasonable adverse effects

on human health or the environment.

To ensure that previously registered pesticides meet current scientific and regulatory

standards, in 1972 Congress amended FIFRA to require the "reregistration" of all existing

pesticides.

Evaluating Compliance

The following list is for use in conjunction with specific storage/ use/disposal

requirements found on pesticide labels. FIFRA requires a written notice of inspection and

written receipt for samples and documents collected.

Determine types and registration status of all pesticides produced, sold,

stored, and used at the facility, particularly if any are restricted or

experimental use pesticides.

Determine use(s) of each pesticide.

Determine certification status of facility/handlers.

- Verify who certifies facility/pesticide handlers [EPA, State,

Department of Defense (DOD)].

- Determine if commercial or private application.

- If restricted-use pesticides are used, check if pesticide applicators are

authorized to use these pesticides.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

75

- Check expiration dates on licenses/certificates.

Review applicable records.

- Check previous audit records and complaints.

- Check application records.

- Check restricted-use pesticides records (must be kept at least 2 years).

Document suspected violations accordingly.

- Check inventory records.

- Check training records.

- Check equipment repair records.

Inspect storage, mixing/loading, and container disposal areas.

- Check bulk storage areas for compliance with Federal/ State rules.

- Check location, ventilation, segregation, shelter, and housekeeping of

pesticide storage/handling areas. Check security, fire protection, and

warning signs, as may be required by State regulations.

- Check mixing equipment/procedures for reducing handlers' exposures

to pesticides.

- Check for safety equipment/procedures/use.

- Check container cleanup and disposal procedures.

Pesticide waste disposal
MEDIA SPECIFIC INVESTIGATION PROCEDURES

76

- Check to see that pesticides are disposed of in accordance with

applicable label and RCRA requirements.

Determine measures taken to ensure worker safety.

- Check pesticide use records for re-entry time limit notation.

- Check pesticide use records for record of informing farmer or warning

workers and/or posting fields.

- Provide farmer and/or applicator copy of current worker protection

standards.

Observe actual pesticide application.

- Observe mixing/loading and check calculations for proper use dilution.

- Observe when spray is turned on/off with respect to ends of field.

- Watch for drift or pesticide mist dispersal pattern.

- Note direction of spraying pattern and trimming techniques.

- Record wind speed and direction, air temperature, and relative

humidity.

- Observe application with respect to field workers, houses, cars, power

lines, and other obstacles.

- Determine if applicator and assisting personnel are wearing safety gear

required by the label.

EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT (EPCRA)

Basic Program
MEDIA SPECIFIC INVESTIGATION PROCEDURES

77

The Emergency Planning and Community Right-to-Know Act (EPCRA) of 1986 is

a free-standing law contained within the Superfund Amendments and Reauthorization Act

(SARA) of 1986. EPCRA is also commonly known as SARA Title III. EPCRA requires

dissemination of information to State and community groups and health professionals on

chemicals handled at regulated facilities.

An EPCRA audit verifies that the facility owner/operator has notified State and local

agencies of regulated activities; has submitted information to specific State and local agencies;

and has prepared and submitted all other required reports.

Evaluating Compliance

Emergency Planning (Sections 301 through 303)

EPA promulgated regulations which identify extremely hazardous substances and the

levels to be regulated under EPCRA. The inspector should determine whether the facility is

subject to EPCRA regulation. If the facility does meet the requirements, the inspector should

verify whether the facility owner/operator:

Notified the State emergency response agency and the local emergency

planning committee that the facility is regulated under EPCRA

Designated a facility emergency coordinator to assist the local emergency

planning committee in the planning process

Notified the local emergency planning committee of the emergency

coordinator's identity

Emergency Notification (Section 304)

The owner/operator of a facility subject to EPCRA must immediately report releases

of hazardous substances. Substances subject to this requirement are the extremely hazardous

substances listed in 40 CFR Part 355 and substances subject to the emergency notification
MEDIA SPECIFIC INVESTIGATION PROCEDURES

78

requirements under CERCLA Section 103(a) or (c). The inspector should verify whether an

immediate notification was made to the:

State emergency response commission

Local emergency planning committee

NationalResponse Center for spills involving CERCLA reportable quantities

Community Right-to-Know Requirements (Sections 311 through 312)

Manufacturing facilities subject to the Occupational Safety and Health Act (OSHA)

Hazardous Communication Regulation (29 CFR Part 1910) are required to prepare Material

Safety Data Sheets (MSDS) for each hazardous chemical handled at the facility.

Manufacturing facilities covered are contained within Standard Industrial Classification (SIC)

Codes 20 through 39. OSHA revised its Hazardous Communication Regulation, effective

September 23, 1987, to require that MSDSs be prepared by nonmanufacturing facilities. The

inspector should verify that the facility owner/operator has sent 

the following to the State emergency response commission, the local emergency planning

committee and the local fire department:

MSDS or a list of chemicals covered by MSDS found at the facility

An annual inventory of hazardous chemicals found at the facility

Toxic Chemical Release Reporting (Section 313)

Covered facilities (40 CFR Part 372.22) that manufacture, import, process, or use

certain chemicals must annually report releases to the environment. The inspector should

determine whether the facility owner/ operator is required to submit a report (Form R) by July

1 for the preceding calendar year(s). All the following conditions must apply at the facility

in order to meet the reporting requirements:

The facility has 10 or more full-time employees

An operation(s) identified in SIC Codes 20 through 39 is present
MEDIA SPECIFIC INVESTIGATION PROCEDURES

79

The amount of chemical(s) handled exceeds the applicable threshold quantity

COMPREHENSIVE EMERGENCY RESPONSE, COMPENSATION, AND LIABILITY

ACT (CERCLA)

The Superfund law of 1980 (CERCLA) including the SARA amendments of 1986

authorizes EPA to clean up hazardous substances at closed and abandoned waste sites and

to recover the cost of cleanup and associated damages from the responsible parties. EPA can

also take enforcement action against responsible parties to compel them to clean up sites.

Other provisions of CERCLA require releases of hazardous substances over a specified

amount ("reportable quantities") to be reported.

CERCLA is mostly an "after-the-fact" cleanup program, and there are no routine

compliance monitoring inspections as in other programs. Sites are visited and environmental

and other data are gathered for evaluation and assessment purposes, as well as to identify

potential responsible parties. This information may ultimately be used in enforcement actions

to recover the costs of cleanup or to compel cleanup by responsible parties.

Although CERCLA is not oriented to routine inspections of active industrial facilities,

inspectors should be alert to signs of potential abandoned dump sites, spills, potential release

of hazardous wastes, or other Superfund-type situations while they are out in the field, such

as:

Rusting drums and containers, evidence of spills, discolored vegetation,

discolored water, foul-smelling lagoons

Statements by facility personnel about how they handle wastes

Records of spills or other releases of hazardous substances, or potential

releases of hazardous substances

Records of non-RCRA sites where hazardous substances have been stored,

treated, or disposed
MEDIA SPECIFIC INVESTIGATION PROCEDURES

Definitions, identification, and listing of Federally regulated waste are given in 40 CFR 260 and 13

261 and CERCLA § 101.

Nonhazardous solid waste is usually regulated by the State and these regulations must be 14

obtained to evaluate applicable facility activity.

80

The investigator should determine, through records review, interviews, etc., whether

all RCRA and CERCLA sites have been reported to the proper authorities. The investigator

should also evaluate assessment and response programs at a facility, if this objective is within

the scope of the audit.

Additionally, the facility should be evaluated concerning State and local requirements

controlling past and current disposal of municipal waste, nonhazardous industrial waste, and

construction debris. The information concerning such past disposal activities may lead to

unreported RCRA and CERCLA sites.

The initial step in evaluating compliance with solid/hazardous waste requirements is

to identify all present and past waste streams generated at the facility and determine which

are regulated by Federal, State, or local regulations, licenses, and approvals. Preferably, 13 14

thi determination is initiated during background document review before the on-site facility

audit and supplemented/modified using information obtained while on-site. All waste streams

generated (even those that the generator claims are not regulated) must be evaluated for

regulatory inclusion. This will allow the investigator to determine whether the generator has

properly identified all regulated waste streams.

Once regulated waste is identified, the investigator can track the material from

generation to final on-site disposition (on-site treatment/ disposal) or storage and transport

for off-site disposal and determine compliance with applicable regulations. Throughout the

investigation, the investigator must keep in mind that both past and present activities need to

be evaluated for compliance with applicable regulations.

LABORATORY AND DATA QUALITY AUDITS

The purpose of laboratory evaluations and data quality assessment is to determine if

all analytical and monitoring requirements have been met and to characterize data usability.

The two approaches used are: (1) performance and (2) systems audits.This section discusses
MEDIA SPECIFIC INVESTIGATION PROCEDURES

81

the approach to laboratory auditing under the CWA, RCRA waste handling, and RCRA

groundwater regulations.

Performance audits are independent checks made to evaluate the quality of data

produced by the total measurement system. This type of audit assesses the results and usually

does not examine the intermediate steps to achieve these results. One example is the

performance evaluation check sample which is used to validate calibration accuracy but

usually not the overall effectiveness of the methodology. Another example is an audit of a

particular measurement device using a reference device with known operational

characteristics.

A systems audit typically involves an inspection of the components comprising the

total measurement system. The Agency has certain expectations of the process used to

sample, analyze, and report results. The systems audit is designed to objectively examine each

important part of that process to determine deviations from required or recommended

practice. The systems audit is more qualitative than the performance audit. A systems audit

assesses such items as equipment, personnel, physical aspects, analytical and quality control

procedures, quality assurance procedures, and other laboratory or measurement procedures.

From a regulatory perspective, this type of audit may find noncompliance with equipment or

procedural requirements, or even fraud.

Typically, a systems audit combined with performance audits will be conducted in

order to extract the maximum amount of information.

A detailed list of items should be requested from the company and contract laboratory.

This list should include:

Standard Operating Procedures (SOPs)

Quality Assurance Plan

Personnel resumes

Instrument maintenance and calibration records

Monitoring data to be looked at

If performance evaluation samples are to be analyzed, these should be forwarded to

the company at the earliest possible time. If preliminary data is available, it should be
MEDIA SPECIFIC INVESTIGATION PROCEDURES

82

carefully examined for problems and if problems are found, a more careful examination of

these areas can be made on-site.

During the on-site visit, every component of sample handling, sample analysis, and

data reduction should be examined. The auditor starts with the laboratory supervisor and QA

officer to verify that the information supplied on personnel training, quality assurance/quality

control, and SOPs is correct. For each parameter determined, the individual or individuals

who actually make that determination are interviewed. The analyst is asked to detail exactly

what happens to each sample and demonstrate the use of equipment including instrument

calibration. Checklists are prepared as an aid to the inspector. Bench data (initially recorded

numbers, strip charts, etc.) is selected. Final results are calculated from the bench data by the

inspector and compared with the results reported to the agency. On-site personnel will be

asked to explain any discrepancies at this time. Other documents necessary to the case or as

potential evidence are copied.

The final assessment and data quality determination is normally performed following

the on-site audit. Critical data are re-examined for trends and anomolies. Where necessary,

data is computerized and analyzed using statistical software packages. Techniques such as

mass balance, solubility product determination, oxidation-reduction state consistency are

used, where applicable, to indicate data problems. A propagation of error treatment may be

used to establish data quality. Performance audit results are evaluated against reference

database statistics. Tasks for common laboratory audits are:

NPDES (Water)

Determine that the exact date, time, and person who takes each sample are

recorded.

Determine that the exact date, time, person, and method used for each type

of determination are recorded.

Inspect permit carefully to ensure that the permittee adheres to specified

conditions.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

83

Ensure that methods used are in conformance with 40 CFR 136 unless

alternate approval has been obtained.

Ensure that proper chain-of-custody, accurate flow measurements, field

preservation techniques, and instrument calibration procedures are practical.

RCRA Waste Handling

Determine which parts of the regulations are applicable to the site.

Determinewhich waste analysis plans (WAPs) were in effect during the time

of records and evaluation.

Determine that the WAPs meet the specifications of the regulation.

Determine that each type of analysis specified in the WAPs is performed in

accordance with the methodology specified and under the circumstances

required.

Determine that the methodology specified is adequate.

RCRA Groundwater

Determine that the sampling and analysis plan (SAP) is adequate.

Determine that the laboratory follows the methodology specified in the SAP.

Determine that this methodology is adequate.

Calculate detection limits to ensure that they are adequate for groundwater

protection.

FIELD CITATIONS AND DOCUMENTATION
MEDIA SPECIFIC INVESTIGATION PROCEDURES

84

Field Citations

The use of field citations will be predicated on policies established by the individual

program offices. They will be used if appropriate forms exist and the universe of violations

for which they apply are well defined, unless specifically requested not to do so.

Other Facility Material

A serialized, document control system should be used to ensure that all facility

documents are readily available when preparing the investigation report, and that all will be

accounted for when the project is completed. All facility documents should be numbered,

logged in for accounting purposes, provided to the appropriate investigation personnel, and

ultimately filed or attached to the final investigation report, depending on the nature of the

document. The team leader should have full responsibility for implementing this system for

his/her particular investigation(s).

Documents received from a facility should be inventoried and a receipt for documents

provided to the facility. EPA laws allow for the copying of documents. In some cases,

facilities may not provide copies of requested documents so the investigators will have to

provide their own document copying equipment (e.g., a rental portable copying machine).

If the company provides copies, the investigator should offer and be prepared to pay a

reasonable cost for each copy (see FOIA guidance/procedures for guidance on typical costs).

Project Logbook

The team leader should provide a bound logbook to every individual participating in

the investigation. Each investigator should maintain his/her own investigation logbook, and

they will form the basis for preparing the written investigation report. All logbooks issued

by EPA are the property of EPA and should be turned over to the team leader for filing, after

the final report is completed. In addition to documenting pertinent observations/

findings/comments, logbooks should also include any in situ measurements and descriptive

information relative to all sampling operations. Any change in the logbook should be initialed

and dated. It is important to remember that logbooks can end up in court, and therefore,

must only contain facts, figures, and observations.
MEDIA SPECIFIC INVESTIGATION PROCEDURES

85

Chain-of-Custody

The team leader should be responsible for taking an adequate number of sample tags

and chain-of-custody forms for the on-site investigation. If possible, these should be in

serialized order. He/she should distribute them to the team members on an as needed basis.

Each investigator that collects samples must prepare and be custodian of all chain-of-custody

records for those samples until they are returned to the laboratory. When chain-of-custody

records are no longer needed by the sampler, the original copies should be given to the team

leader who will then file them for possible future use.

Photographs

All photographs should remain in the possession of the investigator that took them.

That person will also be responsible for properly labeling the photographs so that they can be

attached to the investigation report, and making a copy of each so they can be included in the

master project file. Each photograph should be given a separate number for identification

purposes, when it is taken. Corresponding entries should also be made in the logbook. For

each numbered photograph, the photographer should include the following information in

his/her logbook:

Name of photographer

Date

Time

Subject of photograph

Direction of photograph

Additional information on photographs/microfilm is presented in Appendix J.

INVESTIGATION REPORT

After the on-site investigation is completed, information obtained is further evaluated

and findings/conclusions are developed. An inspection report is then written to present the

findings, conclusions, and supporting information in a logical organized manner. Reports

should be prepared and peer-reviewed before they are published in final form. The procedure

involves developing a draft for internal review, then a subsequent, revised draft for external
MEDIA SPECIFIC INVESTIGATION PROCEDURES

86

(client) review. Upon receipt of comments on the external review draft, a final report is

prepared. The final report is the basis for follow-up activities or enforcement actions that

might be initiated.

Inspection reports are prepared by the appropriate individual or project team

member(s) under the direction of the team leader. All participants in the report preparation

process must assure that their individual contributions to the report are accurate, relevant,

objective, clear, fully supportable, and commensurate with Agency policy. Supporting

information and documents used or referred to in the report are implicitly endorsed, unless

disclaimed. Report authors are responsible for determining where such disclaimers are

needed. Although the overall responsibility for the preparation and content of the reports

rests with the project coordinator, team members are responsible for the quality, accuracy,

and admissibility of information in the final report.

Many different formats are possible for the multi-media inspection report. Generally,

reports for the Categories C and D inspections are longer and require more effort to produce

a cohesive, readable document. The potential audience for a multi-media inspection report

may be diverse and includes not only technical peers but also managers, lawyers, judges,

reporters, informed citizens, and other non-technical readers; the reports are written for this

diverse audience.

Readability of the longer reports may be enhanced by organizing the report into two

major sections: the Executive Summary and the Technical Report. The Executive Summary

section clearly states inspection objectives, discusses relevant background information,

summarizes inspection methods, and, as appropriate, presents conclusions regarding facility

compliance which are supported by a brief summary of the findings. The Summary should

include enough specifics to accurately determine whether a violation has occurred (e.g.,

"insufficient aisle space" is not all right; "aisle space less than 15 inches" is all right). The

Technical Report section more comprehensively describes the inspection, giving specific

details about the findings, including sample collection and analysis, and other pertinent aspects

of the investigation. Findings in the Executive Summary must correlate to and be supported

by discussion in the Technical Report.

Distribution of final reports is coordinated with the requesting office, program office,

and Regional counsel. Reports containing confidential business information (CBI) may be
MEDIA SPECIFIC INVESTIGATION PROCEDURES

Restrictions on distribution of CBI information are presented in 40 CFR Part 2. 15

87

subject to distribution restrictions. EPA reports containing material asserted to be CBI by the

company may not be shared with non-Federal agencies without obtaining specific

authorization from the company.15

OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION

The Secretary of Labor and Administrator of EPA signed a Memorandum of

Understanding (MOU) on November 23, 1990 with the goal of establishing a program for

improved environmental and workplace health and safety. Implementation of the program

is to be coordinated primarily by 

the Occupational Safety and Health Administration (OSHA) and EPA Office of Enforcement.

Although the two agencies have worked cooperatively together in the past on a number of

issues and investigations, no comprehensive structure existed to focus that cooperative effort

nationally. Having such a comprehensive structure is particularly critical, given the need to

assure the most effective use of limited Federal resources and potential overlapping EPAOSHA responsibilities.

The MOU provides for coordinated and joint inspections of facilities believed to be

in violation of Federal workplace or environmental standards, facilitates the exchange of

technical information, computer data bases, and other information to allow for better targeting

of inspections, and provides for cross-training programs.

The MOU requires that a number of specific actions be taken, including the

development of a workplan for 1991 with subsequent annual workplans to be developed by

the beginning of each succeeding fiscal year. Separate agreements and data exchange will

also be developed in the future.

Furthermore, all Agency investigators should be aware of OSHA requirements and

be alert for potential violations of OSHA requirements. Team leaders should be aware of

appropriate procedures to refer potential violations to OSHA.
REFERENCES

1. U.S. Department of Health and Human Services. NIOSH/OSHA/USCG/ EPA.

1985. Occupational Safety and Health Guidance Manual for Hazardous Waste Site

Activities. U.S. Government Printing Office.

2. U.S. Department of Health and Human Services. 1987. NIOSH Respirator Decision

Logic. DHHS Publication No. 87-108.

3. U.S. Department of Justice. James C. Cissel, United States Attorney, Southern

District of Ohio. 1980. Proving Federal Crimes. U.S. Government Printing Office.

4. U.S. Environmental Protection Agency. A.D. Schwope, P.P. Costas, J.O. Jackson,

J.O. Stull, D.J. Weitzman. 1987. Guidelines for the Selection of Chemical Protective

Clothing. Prepared for the Office of Administration.

5. U.S. Environmental Protection Agency. Enforcement Specialist Office. 1987.

Federal Environmental Criminal Laws and Ancillary U.S. Code Violations.

6. U.S. Environmental Protection Agency. Hazardous Waste Ground-water Task Force.

1986. Protocol for Ground-Water Evaluations. OSWER 9080.0-1.

7. U.S. Environmental Protection Agency. National Enforcement Investigations Center.

1981. NEIC Manual for Ground-water/Subsurface Investigations at Hazardous

Waste Sites. EPA-330/9-81-002.

8. U.S. Environmental Protection Agency. National Enforcement Investigations Center.

1978 [Revised August 1991]. NEIC Policies and Procedures Manual.

9. U.S. Environmental Protection Agency. Occupational Health and Safety Staff/Office

of Administration. 1986. Occupational Health and Safety Manual. Transmittal 1440.

10. U.S. Environmental Protection Agency. Office of Enforcement and Compliance

Monitoring. 1989. Basic Inspectors Training Course: Fundamentals of

Environmental Compliance Inspections.

11. U.S. Environmental Protection Agency. Office of Federal Activities. 1989. Generic

Protocol for Environmental Audits of Federal Facilities. EPA/130/4-89/002.

12. U.S. Environmental Protection Agency. Office of Ground-Water Protection. 1987.

Guidelines for Delineation of Wellhead Protection Areas.

13. U.S. Environmental Protection Agency. Office of Pesticides and Toxic Substances.

1989. Pesticides Inspection Manual.

14. U.S. Environmental Protection Agency. Office of Solid Waste. 1984. Waste

Analysis Plans: A Guidance Manual. EPA/530-sw-84-012.

15. U.S. Environmental Protection Agency. Office of Toxic Substances. 1984. TSCA

Confidential Business Information Security Manual.
REFERENCES (cont)

16. U.S. Environmental Protection Agency. Office of Waste Programs Enforcement.

1991. Conducting RCRA Inspections at Mixed Waste Facilities. OSWER 9938.9.

17. U.S. Environmental Protection Agency. Office of Waste Programs Enforcement.

1989. Hazardous Waste Incinerator Inspection Manual. OSWER 9938.6.

18. U.S. Environmental Protection Agency. Office of Waste Programs Enforcement.

1988. Hazardous Waste Tank Systems Inspection Manual. OSWER 9938.4.

19. U.S. Environmental Protection Agency. Office of Waste Programs Enforcement.

1988. RCRA Ground-Water Monitoring Systems: RCRA Comprehensive Groundwater Monitoring Evaluation Document, Operation and Maintenance Inspection

Guide, RCRA Laboratory Audit Inspection Guidance. OSWER 9950.4.

20. U.S. Environmental Protection Agency. Office of Waste Programs Enforcement.

1988. RCRA Inspection Manual. OSWER 9938.2a.

21. U.S. Environmental Protection Agency. Office of Waste Programs Enforcement.

RCRA Technical Case Development Guidance Document. OSWER 9938.3.

22. U.S. Environmental Protection Agency. Pesticides and Toxic Substances

Enforcement Division. 1990. Toxic Substances Control Act Inspection Manual.

23. U.S. Environmental Protection Agency. Region X. 1990. KISS Manual. Prepared

for the Basic Inspector Training Course.

24. U.S. Environmental Protection Agency. Solid Waste and Emergency Response.

1989. Land Disposal Restrictions: Inspection Manual. OSWER 9938.1a.

25. U.S. Environmental Protection Agency. Solid Waste and Emergency Response.

1991. Land Disposal Restrictions: Summary of Requirements. OSWER 9934.0-1a.

26. U.S. Environmental Protection Agency. Office of Water Enforcement and Permits.

May 1988. NPDES Compliance Inspection Manual.
APPENDICES

A SUMMARY OF POLLUTION CONTROL LEGISLATION

B MULTI-MEDIA INSPECTIONS - DEFINITIONS AND

 TRAINING

C TEAM LEADER RESPONSIBILITIES AND AUTHORITIES

D TYPES OF INFORMATION

E SOURCES OF INFORMATION

F PROJECT PLAN AND SAFETY PLAN EXAMPLES

G MULTI-MEDIA INVESTIGATION EQUIPMENT CHECKLIST

H SUGGESTED RECORDS/DOCUMENT REQUEST

I MULTI-MEDIA CHECKLISTS

J INVESTIGATION AUTHORITY/SUMMARY OF MAJOR

 ENVIRONMENTAL ACTS

K EVIDENTIARY PROCEDURES FOR PHOTOGRAPHS/ 

MICROFILM

L KEY PRINCIPLES AND TECHNIQUES FOR INTERVIEWING

M SAMPLING GUIDELINES

N LAND DISPOSAL RESTRICTIONS PROGRAM

O SOURCES SUBPART (40 CFR PART 60) EFFECTIVE DATE OF

 STANDARD AIR POLLUTANTS SUBJECT TO NSPS

P TSCA FORMS

Q TSCA SECTIONS 5 AND 8 GLOSSARY OF TERMS AND

 ACRONYMS
91

APPENDIX A

SUMMARY OF POLLUTION CONTROL LEGISLATION
A-1

(03/92)

Appendix A

SUMMARY OF POLLUTION CONTROL LEGISLATION

This appendix is a synopsis of the Federal approach to environmental regulation, EPA

enforcement remedies and a summary of each of the major pollution control acts: the Clean

Air Act (CAA), the Clean Water Act (CWA), the Resource Conservation and Recovery Act

(RCRA), the Comprehensive Environmental Response, Compensation and Liability Act

(CERCLA/Superfund), the Toxic Substances Control Act (TSCA), the Federal Insecticide,

Fungicide and Rodenticide Act (FIFRA), the Safe Drinking Water Act (SDWA), and the

Emergency Planning and Community Right-to-Know Act (EPCRA). Because these laws and

the regulations promulgated thereunder typically are very complex and are continually being

modified, the investigator should carefully review the specific provisions which apply to the

operations of the facility before conducting an inspection.

GENERAL FEDERAL APPROACH TO ENVIRONMENTAL

REGULATION

National standards are established to control the handling, emission, discharge, and

disposal of harmful substances. Waste sources must comply with these national standards

whether the programs are implemented directly by EPA or delegated to the States. In many

cases, the national standards are applied to sources through permit programs which control

the release of pollutants into the environment. EPA establishes the Federal standards and

requirements and approves State programs for permit issuance.

The States can set stricter standards than those required by Federal law. Some of the

larger programs which have been delegated by EPA to qualifying States are the National

Emissions Standards for Hazardous Air Pollutants (NESHAP), and the Prevention of

Significant Deterioration (PSD) permits under the CAA, the Water Quality Standards, and
A-2

1

A concise written statement with factual basis for alleging a violation and a specific reference to

each regulation, act, provision, or permit term allegedly violated

(03/92)

the National Pollution Discharge Elimination System (NPDES) programs under the CWA,

the Hazardous Waste Program under RCRA, and the Drinking Water and Underground

Injection Control (UIC) programs under the SDWA. Conversely, TSCA is administered

entirely by the Federal government; although, States may have their own program regulating

PCBs and asbestos.

EPA ENFORCEMENT OPTIONS

Issuance of an Administrative Compliance Order, sometimes preceded by a

Notice of Violation - A Compliance Order will specify the nature of the

1

violation and give a reasonable time for compliance. The order, if violated,

can lead to enforcement action pursuant to the civil and/or criminal process

of environmental laws.

Issuance of an administrative complaint for civil penalties - Parties named in

such complaints must be given notice and an opportunity for a hearing on the

alleged violations before a penalty can be assessed by EPA.

Under certain statutes (e.g., SDWA) EPA may take whatever action is

necessary to protect the public health, in emergency situations, without first

obtaining a judicial order.

EPA generally may go directly to Federal court seeking injunctive relief or a

civil penalty without using administrative procedures. EPA also may obtain
A-3

(03/92)

an emergency restraining order halting activity alleged to cause "an imminent

and substantial endangerment" or "imminent hazard" to the health of persons.

EPA may go directly to Federal court seeking criminal sanctions without

using administrative procedures. Criminal penalties are available for

"knowing" or for "willful" violations.

In addition, EPA may suspend and/or debar a company or party that fails to comply

with the environmental statutes by preventing it from entering into Federal contracts, loans,

and grants. In cases where the party has been convicted of certain criminal offenses under the

CAA or CWA, Federal agencies are expressly prohibited from entering into contracts, etc.,

with that entity.

CLEAN AIR ACT

The Clean Air Act (CAA), as amended in 1990, is one of the most comprehensive and

ambitious environmental statutes ever enacted. Through it's various programs, it is intended

to protect human health and the environment by reducing emissions of specified pollutants

at their sources, thus allowing the achievement and maintenance of maximum acceptable

pollution levels in ambient air. The CAA also contains provisions which seek to prevent

presently existing unpolluted areas from becoming significantly polluted in the future.

Regulations implementing the multitude of amendments enacted in 1990 will be promulgated

pursuant to statutory deadlines for many years to come. Where regulations under the

amendments have not yet been promulgated, requirements which existed prior to the 1990

amendments will continue to be enforceable until amended or new requirements are

promulgated.

National Ambient Air Quality Standards (NAAQS)
A-4

(03/92)

As in prior versions of the CAA, Section 109 continues to require that EPA establish

NAAQS to protect public health and welfare from air pollutants. These standards will apply

in all areas of the country. "Primary" NAAQS must be designed to protect human health

while building in an adequate margin for safety, whereas "secondary" NAAQS protect public

welfare, including wildlife, vegetation, soils, water, property, and personal comfort. EPA has

promulgated NAAQS for six air pollutants (criteria pollutants): ozone, carbon monoxide

(CO), particulate matter (PM-10), sulfur dioxide (S0), nitrogen dioxide and lead. 2

State Implementation Plans (SIPs)

The States, through adoption of plans known as SIPs, are required to establish

procedures to achieve and maintain all NAAQS promulgated by EPA. EPA has designated

247 Air Quality Control Regions (AQCRs). Each AQCR has been evaluated to determine

whether the NAAQS for each of the criteria pollutants has been met. AQCRs which do not

meet the NAAQS for any of the criteria pollutants are designated as "non-attainment" for

those pollutants. Thus, one AQCR may be attainment for some pollutants and non-attainment

for others.

The SIP program dates back to the 1970 Clean Air Act, which required States to

promulgate SIPs by 1972 to assure attainment of air quality standards by 1977. Having not

met that goal, the 1977 amendments continued the program, requiring additional controls

designed to achieve attainment by 1982, or at the latest 1987. While the goals of the SIP

program were again not reached, the 1990 amendments have further continued the effort,

adding several requirements which may increase the effectiveness of the program, including

the use of modeling and other specified analytical techniques to demonstrate the ability to

achieve attainment and a wide range of specified control requirements. An additional

advantage of the new SIP program is that under the 1990 amendments it is no longer the
A-5

(03/92)

primary mechanism for implementation of NAAQS. Instead, the comprehensive permit

program under the 1990 amendments will assume a large part of that burden by detailing the

specific requirements applicable to individual sources, thereby resolving any uncertainties as

to what requirements are applicable.

A SIP must contain strategies designed to meet targets for attainment of any NAAQS

for which an area is non-attainment by prescribed dates. SIPs must meet Federal

requirements, but each State may choose its own mix of emissions for stationary and mobile

sources to meet the NAAQS. The deadline for attainment of primary NAAQS is no more

than five (5) years after the area was designated non-attainment, although EPA has the

authority to extend the deadline for up to five (5) additional years. Attainment for secondary

NAAQS must be achieved "as expeditiously as practicable."

In order to accomplish attainment, States must impose controls on existing sources

to reduce emissions to the extent necessary to ensure achievement of the NAAQS. In

attainment areas, new sources and those which are undertaking modifications which wil

increase emissions by more than a de minimis amount must obtain State construction permits

after demonstrating that anticipated emissions will not exceed allowable limits. In nonattainment areas, emissions from new or modified sources must be offset by emissions

reductions from existing sources.

Each State must submit a proposed SIP to EPA for approval within three (3) years

of designation as non-attainment. Failure to submit a SIP, failure to submit an adequate SIP

or failure to implement a SIP may subject a State to the imposition of sanctions such as

increased offset ratios for stationary sources, prohibition of Federal highway grants or a ban

on air quality grants. For ozone non-attainment areas, failure to attain the NAAQS will result

in reclassification of the area, thus imposing more stringent control requirements and

imposition of financial penalties on stationary sources in severe or extreme non-attainment
A-6

(03/92)

areas. Where an acceptable SIP is not submitted by a State, EPA will be required to propose

and enforce a Federal Implementation Plan for that State. EPA and the States have

concurrent enforcement authority for SIPs.

Deadlines and control requirements imposed upon non-attainment areas vary

depending upon the severity of the existing air pollution problem, with correspondingly more

stringent control requirements and longer deadlines applying to more polluted areas. The

CAA creates five (5) classes of ozone non-attainment and two (2) categories each for carbon

monoxide and PM-10 non-attainment areas.

Prevention of Significant Deterioration (PSD)

The purpose of PSD, which remains largely unchanged by the 1990 amendments, is

to avoid significant future degradation of the nation's clean air areas. A clean air area is one

where the air quality is better than the ambient primary or secondary standard. Designation

is pollutant specific so that an area can be non-attainment for one pollutant but clean for

another. PSD applies only to new and modified sources in attainment areas. Clean air areas

are divided into three categories: Class I includes wilderness areas and other pristine areas,

where only minor air quality degradation is allowed; Class II includes all other attainment and

non-classified areas where moderate degradation is permitted; and Class III includes selected

areas that States designate for development where substantial degradation is permitted. In

no case would PSD allow air quality to deteriorate below secondary NAAQS.

"Baseline" is the existing air quality for the area at the time the first PSD permit is

applied for. "Increments" are the maximum amount of deterioration that can occur in a clean

air area over baseline. Increments in Class I areas are smaller than those for Class II areas and

Class II increments are smaller than those for Class III areas. For purposes of PSD, a major

emitting source is one which falls within 28 designated categories and emits or has the
A-7

(03/92)

potential to emit more than 100 tons per year of the designated air pollutant. A source that

is not within the 28 designated categories is a major source if it emits more than 250 tons per

year. Modifications to major sources that will result in a "significant net emissions increase"

of any regulated pollutant are also subject to PSD. The amount of emissions which qualifies

as significant varies for the regulated pollutants.

Under this program, new "major stationary sources" and "major modifications" to

such sources located in attainment areas must obtain a permit before beginning construction.

Permit requirements include installation of Best Available Control Technology (BACT) for

each regulated pollutant emitted in significant amounts, assurance that the new emissions will

not exceed NAAQS or any maximum allowable "increment" for the area, and assurance that

the new emissions will not adversely impact any other air quality related values, such as

visibility, vegetation or soils.

Hazardous Air Pollutants

Prior to the enactment of the 1990 amendments, Section 112 of the CAA required the

establishment of National Emission Standards for Hazardous Air Pollutants (NESHAPs) to

regulate exposure to dangerous air pollutants that are so localized that the establishment of

NAAQS is not justified. NESHAP standards were to be based on health effects, with strong

reliance on technological capabilities. They applied to both existing and new stationary

sources. During the 20 years in which this program existed, effective regulations for only

seven (7) substances were enacted: benzene, beryllium, asbestos, mercury, vinyl chloride,

arsenic, and radionuclide emissions.

As rewritten in 1990, the goal of Section 112 remains the same - to protect public

health and the environment from toxic air pollutants for which NAAQS will not be

established. While the new program requires standards to be set for categories and
A-8

(03/92)

subcategories of sources that emit hazardous air pollutants, rather than for the air pollutants

themselves as under the NESHAP program, the seven (7) NESHAPs promulgated prior to

the amendments will generally remain applicable until they are revised pursuant to the

timetables established in the new Section 112. 

Under the 1990 amendments, two types of sources have been identified for purposes

of establishing emission standards - "major sources", which include stationary sources or a

group of stationary sources within a contiguous area and under common control that emit or

have the potential to emit 10 tons per year of a single listed hazardous air pollutant or 25 tons

per year of any combination of listed hazardous air pollutants; and "area sources", which

include numerous small sources that may cumulatively produce significant quantities of a

pollutant resulting in a threat of adverse effects on human health or the environment. An

initial list of 189 air pollutants requiring regulation was established by Congress and EPA has

been tasked with the responsibility for establishing lists of categories and subcategories of

major sources and area sources subject to emission standards.

Major Sources

EPA is required to set technology-based standards for sources of the listed pollutants

which are designed to achieve "the maximum degree of reduction in emissions" (Maximum

Achievable Control Technology - MACT) while taking into account costs and other health

and environmental impacts. The standards for new sources "shall not be less stringent than

the most stringent emissions level that is achieved in practice by the best controlled similar

source" in the same category or subcategory. For existing sources, the standards may be less

stringent than those for new sources, but in most circumstances must be no less stringent than

the emissions control achieved by the best performing 12% of sources in the category or

subcategory [or five (5) sources in a category with less than 30 sources]. Existing sources

are given three (3) years following the promulgation of standards to achieve compliance, with
A-9

(03/92)

the possibility of a one- (1)-year extension. Sources that voluntarily reduce emissions by 90%

before an applicable MACT is proposed (95% for hazardous particulates) may be granted one

(1) six- (6)-year extension from the MACT. Solid waste incinerators will be required to

comply with both these hazardous air pollutant standards and the new source performance

standards to be promulgated pursuant to Section 111 of the CAA.

The second provision of Section 112 relating to major sources sets health-based

standards to address situations in which a significant residual risk of adverse health effects or

a threat of adverse environmental effects remains after installation of MACT. Within six (6)

years of enactment of the CAA, and after consultation with the Surgeon General and

opportunity for public comment, EPA must report to Congress regarding the public health

significance of the residual risks, technologically and commercially available methods and

costs of reducing such risks and legislative recommendations to address such residual risks.

If Congress does not act on the recommendations submitted by EPA, the EPA must issue

residual risk standards for listed categories and subcategories of sources as necessary to

protect public health with an ample margin of safety or to prevent adverse environmental

effects.

Area Sources

The goal of the area source program is to reduce the incidence of cancer attributable

to stationary area sources by at least 75% through a comprehensive national strategy for

emissions control in urban areas. By November 15, 1995, EPA is required to identify the 30

hazardous air pollutants emitted from area sources that pose the most significant risks to

public health in the largest number of urban areas and the source categories and subcategories

of those pollutants. Area sources representing at least 90% of the emissions of the 30

identified pollutants will be subject to regulations to be promulgated by EPA by November

15, 2000.
A-10

(03/92)

Prevention of Sudden Catastrophic Releases

As added by the 1990 amendments, Section 112 of the CAA imposes a general duty

on owners and operators of stationary sources which handle hazardous substances to: identify

hazards which may result from releases, design and maintain safe facilities, take action to

prevent releases, and minimize the consequences of accidental releases that do occur. It also

requires EPA to promulgate a list of substances which, in the event of an accidental release,

may reasonably be anticipated to cause death, injury, or serious adverse health and

environmental effects, as well as threshold quantities for each of those regulated substances.

Requirements for release prevention, detection and correction of regulated substances must

be promulgated by EPA. Among the requirements will be preparation and implementation

of risk management plans by owners and operators of facilities with regulated amounts greater

than the threshold quantity.

Emergency policies and the opportunity to secure relief in the district courts is

provided to EPA to protect against an imminent and substantial endangerment to health or

the environment as a result of an actual or threatened release of a regulated substance. An

independent, five-member Chemical Safety and Hazard Investigation Board to be appointed

by the President will investigate any accidental release that results in a fatality, serious injury

or substantial property damage, and will issue a report to EPA and OSHA recommending

regulations for preparing risk management plans and general requirements for preventing and

mitigating the potential adverse effects of accidental releases.

New Source Performance Standards (NSPS)

With the exception of the extension and establishment of deadlines for EPA's proposal

of various regulations, the NSPS program remains largely unchanged by the 1990

amendments. NSPS establishes nationally uniform, technology-based standards for categories
A-11

(03/92)

of new industrial facilities by providing maximum emission levels for new or extensively

modified major stationary sources. The emission levels are determined by the best

"adequately demonstrated" continuous control technology available, taking costs into

account. Regulations for source categories listed prior to November 15, 1990, must be

proposed in phases, beginning on November 15, 1992. Standards for new categories listed

after November 15, 1990, must be proposed within one (1) year of listing and must be

finalized within one (1) year after proposal.

The owner or operator of a new or extensively modified major source is required to

demonstrate compliance with an applicable NSPS within 180 days of initial start-up of the

facility and at other times required by EPA. Primary authority for enforcement of NSPS lies

with EPA unless that authority is delegated to States, in which case EPA and the States have

concurrent enforcement authority.

Emission Standards for Mobile Sources

Section 202 of the CAA directs EPA to regulate air pollutants emitted by motor

vehicles which "cause, or contribute to air pollution which may reasonably be anticipated to

endanger public health or welfare." In response, the Agency has set standards governing

motor vehicle emissions of carbon monoxide, hydrocarbons, oxides of nitrogen and

particulates. These standards have given rise to the emission control systems that first

appeared in automobiles in the early 1970s. The CAA generally prohibits the removal (or

rendering inoperative) of any emission control device that was installed by the vehicle

manufacturer in order to meet the applicable emission standards. Most States have enacted

similar laws enforcing this prohibition and/or have incorporated such prohibitions as part of

their SIP.
A-12

(03/92)

The CAA provides EPA with the authority to control or prohibit the use of fuels

which pose a public health risk or which "impair to a significant degree the performance of

any emission control device or system." The Agency's regulations are based upon both of

these rationales. (The best example of this is the regulations governing the lead content of

gasoline.) Enforcement of the fuel standards is achieved through a combination of Federal

and State efforts, and is based, in part, upon SIP provisions and/or State laws.

The 1990 amendments tightened emission standards for both heavy duty and light duty

vehicles. These standards take effect at different times for different types of vehicles,

beginning in 1994.

Beginning in 1995, "reformulated" gasoline limiting emissions of air pollutants must

be sold in the nine worst ozone non-attainment areas (Los Angeles, San Diego, Baltimore,

Philadelphia, New York, Hartford, Chicago, and Milwaukee). Other ozone non-attainment

areas may elect to use reformulated gasoline as it becomes more widely available.

Two "alternative fuel" programs are expected to reduce emissions in the most

seriously polluted areas. California will develop a program requiring introduction of low

emission vehicles and ultra low emission vehicles beginning in 1996. Additionally, in more

than 20 metropolitan areas, fleets of 10 or more vehicles are required to phase in usage of

"clean fuel vehicles" beginning in 1998.

Acid Rain Control

The acid rain program, added to the CAA by the 1990 amendments, primarily impacts

emissions of sulfur dioxide (SO ) and nitrogen oxides (NOx) from powerplants. It requires 2

establishment of specific NOx emission rate limitations and implementation of a two-phase

reduction of SO emissions by the year 2000. 2
A-13

(03/92)

As determined by a formula based on 1985 SO emissions and 1985 to 87 annual 2

average fuel consumption for individual powerplants, marketable allowances are to be

allocated to powerplants by EPA. As a general rule, only powerplants operating prior to

November 15, 1990, will receive an allocation of allowances for SO emissions. New units 2

which begin operation after November 15, 1990, will be required to obtain offset allowances

from existing facilities in order to continue operation after the year 2000. Allowances can be

bought, sold, shared with other regulated units or banked for future use. 

Facilities are not allowed to emit more SO than the amount for which they hold allowances. 2

Penalties will be imposed at the rate of $2,000 per excess ton of SO2 on any facility

which does not have sufficient allowances to cover its SO2 emissions. Additionally, any

offending facility will be required to reduce its SO emissions by one ton the following year 2

for each ton of excess SO emitted. 2

Stratospheric Ozone Protection Program

Another program added by the 1990 amendments is designed to protect the earth's

stratospheric ozone layer by phasing out production and use of ozone-depleting substances,

providing limited exemptions for uses such as medical, aviation, and fire-suppression.

Production of Class I substances, those with the greatest depleting potential, will generally

be prohibited after January 1, 2000. Production of Class II substances, those with les

depleting potential, will be prohibited after January 1, 2030. EPA is required to promulgate

rules governing issuance of production allowances for Class I and II substances and banning

the production, after November 15, 1992, of non-essential products that release Class I

substances.
A-14

(03/92)

Permitting

Under the Clean Air Act as it existed prior to the 1990 amendments, permits were

required for only a limited number of facilities. While these requirements will continue to

apply until new regulations are promulgated, the 1990 amendments have expanded the permit

program to require most regulated stationary sources to have permits.

The new permitting program, patterned after the NPDES program, is designed to

consolidate all operation and control requirements in one permit. However, unlike the

NPDES program which focuses on individual sources within a facility, air permits are

expected to be issued to a facility as a whole. As a result of this comprehensive program,

greater consistency is expected and facilities will not be subjected to conflicting requirements.

Permits are required for any facility that qualifies as a "major source", which generally

includes any source emitting more than 100 tons of pollutants per year, but extends to smaller

sources in the more seriously polluted non-attainment areas. Permits are also required for

major sources and area sources subject to regulation for emissions of hazardous air pollutants

under Section 112 and all sources subject to NSPS.

Regulations establishing the numerous requirements for state permit programs must

be promulgated by EPA by November 15, 1991. States must then develop and submit to

EPA an operating permit program for approval by November 15, 1993. If all or any part of

the program is disapproved by EPA, the States must correct the deficiencies and resubmit the

program. A failure to timely submit a program or correct deficiencies will result in sanctions.

If a program is not completely approved within 2 years after initial submission of the program

to EPA or by November 15, 1995, whichever is earlier, EPA must promulgate and administer

a permit program for the State.
A-15

(03/92)

Permit applications must be filed within 12 months after the permit program takes

effect and must include a compliance plan for the facility. The permits, as issued, will contain

enforceable emission limitations and standards, a schedule of compliance, and compliance

certification, inspection, entry, monitoring and reporting requirements.Compliance with a

permit will, to some extent, shield a source from enforcement actions. The extent of the

protection provided by compliance will be governed by EPA's permitting regulations to be

promulgated by November 15, 1991.

Enforcement

The 1990 Amendments greatly expanded enforcement options available under the

CAA and impose heavy penalties, both civil and criminal, for violations of the Act.

Administrative penalties of up to $25,000 per day, to a maximum of $200,000, may

be imposed by EPA for violations of any requirement, prohibition, permit, rule, or order

without the initiation of a court proceeding. These penalties can be overturned only if, on

judicial review, they are not supported by substantial evidence. Field investigators are also

authorized to issue "field citations" imposing penalties of up to $5,000 per day per violation

for minor violations observed while on site. Administrative orders requiring specific actions

to comply with the CAA may be issued where compliance can be achieved within 1 year.

Additionally, private citizens are now authorized to bring citizen suits seeking civil penalties

for violations of the CAA where neither EPA nor the State is "diligently prosecuting a civil

action" to require compliance, or seeking to compel EPA to discharge a non-discretionary

duty, such as promulgating regulations by statutory deadlines.

Knowing violations of many provisions of the CAA qualify as felony crimes,

punishable by fines for individuals of up to $250,000 and imprisonment up to 5 years, with

each day counting as a separate violation. Fines for corporations may be up to $500,000 per
A-16

(03/92)

day per violation. Penalties may be doubled for second convictions. The negligent release

of a hazardous air pollutant or extremely hazardous substance under SARA that puts another

person in imminent danger of death or serious bodily injury is punishable by fines and

imprisonment for up to 1 year, while knowingly releasing such substances is punishable by up

to $250,000 per day and 15 years imprisonment for individuals and up to $1 million per day

for businesses.

EPA is also authorized to pay a "bounty" of up to $10,000 for information leading

to a criminal conviction or a judicial or administrative civil penalty for violations of the CAA.

The CAA contains a presumption that once a violation which is likely to be of a

continuing nature is proven, the violation is presumed to continue until full compliance is

achieved unless the defendant can prove that the violation ceased.

CLEAN WATER ACT (FEDERAL WATER POLLUTION CONTROL ACT)

Through the 1950s and 1960s, emphasis was on the States setting ambient water

quality standards and developing plans to achieve these standards. In 1972, the Federal Water

Pollution Control Act was significantly amended. These changes emphasized a new

approach, combining water quality standards and effluent limitations (i.e., technology-based

standards). The amendments called for compliance by all point-source discharges with the

technology-based standards. A strong Federal enforcement program was created and

substantial monies were made available for construction of sewage treatment plants. The

Federal Water Pollution Control Act was amended in 1977 to address toxic water pollutants

and in 1987 to refine and strengthen priorities under the Act as well as enhance EPA's

enforcement authority. Since the 1977 amendments, the Federal Water Pollution Control Act

has been commonly referred to as the Clean Water Act (CWA).
A-17

(03/92)

State Water Quality Standards and Water Quality Management Plans

Section 303 of the CWA authorizes the States to establish ambient water quality

standards and water quality management plans. If national technology standards are not

sufficient to attain desired stream water quality, the State shall set maximum daily allowable

pollutant loads (including toxic pollutants) for these waters and, accordingly, determine

effluent limits and compliance schedules for point sources to meet the maximum daily

allowable loads.

The National Pollutant Discharge Elimination (NPDES) Program

This program was established by Section 402 of the CWA and, under it, EPA and

approved States have issued more than 50,000 NPDES permits. Permits are required for all

point sources from which pollutants are discharged to navigable waters. An NPDES permit

is required for any direct discharge from new or existing sources. Indirect discharges through

POTWs are regulated under a separate program (see discussion of pretreatment standards

below). In 1979 and 1980, the permit program was revised and one of the new features was

the use of Best Management Practices (BMPs) on a case-by-case basis to minimize the

introduction of toxic and hazardous substances into surface waters. BMPs are industry

practices used to reduce secondary pollution (e.g., raw material storage piles shall be covered

and protected 

against rain and runoff). BMPs do not have numerical limits and, therefore, are different from

effluent limits.

Section 304 of the CWA sets restrictions on the amount of pollutants discharged at

industrial plant outfalls. Amounts are usually expressed as weight per unit of product (i.e.,
A-18

(03/92)

0.5 lb/1,000 lb product manufactured). The standards are different for each industry.

Effluent guidelines are applied to individual plants through the NPDES permit program.

There are three levels of technology for existing industrial sources: Best Practicable

Control Technology (BPT), Best Conventional Technology (BCT), and Best Available

Technology Economically Achievable (BAT). Under the 1972 Act, BPT was intended to be

put in place by industry in 1977 and BAT in 1983. These timetables have been modified by

subsequent amendments.

The 1987 CWA Amendments modified the compliance deadlines for the following:

BPT limits requiring a substantially greater level of control based on a

fundamentally different control technology

BAT for priority toxic pollutants

BAT for other toxic pollutants

BAT for nonconventional pollutants

BCT for conventional pollutants

For each technology the new deadline requires compliance "as expeditiously as practicable,

but in no case later than 3 years after the date such limitations are promulgated. . .and in no

case later than March 31, 1989."

New Source Performance Standards (NSPS) are closely related to BAT for existing

sources but are not quite the same. NSPS are different for each industrial category. These

standards must be achieved when the new industrial source begins to discharge. NSPS

permits will be effective for a period of 10 years vs. 5 years or less for the BPT and BAT-type

permits. This 10-year protection insulates against change in BCT or BAT requirements but
A-19

(03/92)

does not hold against Section 307(a) toxic pollutant standards or against "surrogate"

pollutants that are used to control hazardous or toxic pollutants.

A permit application must be made. Adequate information must be submitted

including basic facility descriptions, SIC codes, regulated activities, lists of current

environmental permits, descriptions of all outfalls, drawings, flows, treatment, production,

compliance schedules, effluent characteristics, use of toxics, potential discharges, and bioassay toxicity tests performed.

Applicants must conduct analytical testing for pollutants for BOD, COD, TOC, TSS,

ammonia, temperature, and pH. The applicant, if included within any of the 34 "primary

industry" categories, must sample for all toxic metals, cyanide, and phenols given in EPA

Application Form 2C and for specified organic toxic pollutant fractions.

The applicant must list hazardous substances believed to be present at the industrial

plant. Testing is not required but analytical results must be provided, if available.

NPDES Permit

The NPDES permit, issued by EPA or the State, enforces Federal effluent limitations

promulgated for individual industrial categories; NSPS; toxic effluent standards; State water

quality standards under Section 303 of the CWA, if any are applicable; and hazardous

substances otherwise regulated under Section 311 of the CWA that may be incorporated

under the NPDES permit instead. Permit elements include the amount of pollutants to be

discharged expressed in terms of average monthly and maximum daily loads; compliance

schedules, if applicable standards cannot be met now; and monitoring, testing, and reporting

requirements.
A-20

(03/92)

Routine Noncompliance Reports - The Discharge Monitoring Form

The Discharge Monitoring Report (DMR) gives a summary of the discharger's records

on a monthly or quarterly basis for flow measurement, sample collection, and laboratory

analyses. Noncompliance reports must be submitted quarterly on the cause of noncomplying

discharges, period of noncompliance, expected return to compliance and plans to minimize

or eliminate recurrence of incident.

Emergency Reporting

Health: EPA shall be notified within 24 hours of noncompliance involving

discharge of toxic pollutants, threat to drinking water, or injury to human

health.

Bypass: Noncompliance due to intentional diversion of waste shall be

reported promptly to the permitting agency and may be permissible if essential

to prevent loss of life or serious property damage.

Upset: Temporary noncompliance due to factors beyond the reasonable

control of the permittee shall be promptly reported to the agency.

The 1987 CWA Amendments establish a schedule for the regulation of municipal and

industrial stormwater discharges under NPDES permits. Initially, (before October 1, 1992),

only major dischargers and those who are significant contributors of pollutants will be

required to obtain permits.
A-21

(03/92)

Pretreatment Standards for Indirect Discharges to Publicly-Owned Treatment Works

Coverage

New and existing industrial users who discharge to POTWs are subject to general and

categorical pretreatment standards. The categorical standards are primarily directed to

control of toxic pollutants in specific industries. Note that localities with approved

pretreatment programs may have imposed local limits, which are enforceable by EPA.

Requirements

General Pretreatment Standards

Prohibit fire or explosion hazards, corrosivity, solid or viscous obstructions,

"slug" discharges, and heat sufficient to inhibit biological activity at POTWs.

Categorical Standards

- Standards to be expressed as concentration limits or mass weight per

unit of production.

- Source must be in compliance 3 years after promulgation of standards.

- Variances can be obtained for fundamentally different factors or if

industrial pollutants are consistently being removed by POTW.

Reports

Users must provide appropriate agency (EPA, State, or POTWs having

approved pretreatment programs) with basic information; SIC code; average
A-22

(03/92)

and maximum daily discharge; characteristics or pollutants, applicable

standards and certification whether standards are being met and, if not, what

pretreatment is necessary; and a compliance schedule.

Monitoring, Sampling, and Analysis

Users shall submit sampling data for each regulated pollutant in discharge.

Progress Reports

Reports and information shall be submitted at 6-month intervals.

Nonpoint Source Pollution Control

Section 208 of the CWA provides for control of nonpoint source pollution and directs

States to establish planning bodies to formulate area-wide pollution control plans. NPDES

permits cannot be issued where the permit may conflict with an approved Section 208 plan.

The 1987 CWA Amendments require States or EPA to develop nonpoint source

management programs under Section 319.

Municipal and Industrial Stormwater Discharges

For some time there has been considerable debate over whether permits should be

required for stormwater discharges from point sources, particularly those municipal or

industrial discharges which may well contain toxic and other pollutants. The 1987
A-23

(03/92)

Amendments provide that five (5) types of stormwater discharges will be regulated under

NPDES:

1. Discharges which have NPDES permits issued as of February 1987

2. Discharges "associated with industrial activity"

3. Discharges "from a municipal separate storm sewer system serving a

population of 250,000 or more"

4. Discharges "from a municipal separate storm sewer system serving a

population of 100,000 or more but less than 250,000"

5. Other discharges designated by the EPA administrator or the State if

such discharge "contributes to a violation of a water quality standard

or is a significant contributor of pollutants to waters of the United

States"

Final regulations governing stormwater discharges were promulgated in November

1990.

Dredge or Fill Discharge Permit Program

Section 404 of the CWA regulates the discharge of dredged or fill material into waters

of the United States. Dredged material is excavated or dredged from a water body. Fil

material is that material used to replace water with dry land. The Section 404 permit program

is administered by the U.S. Army Corps of Engineers. EPA provides guidelines for the

issuance of permits by the Corps of Engineers. States may assume responsibility for portions

of the program.
A-24

(03/92)

Discharge of Oil and Hazardous Substances

Section 311 of the CWA prohibits discharges of oil or hazardous substances in

quantities that may be harmful to waters of the United States. The appropriate Federal

agency must be immediately notified of any spill of a "reportable quantity." Section 311

provides for cleanup of spills and requires plans for preparation of Spill Prevention, Control,

and Countermeasures (SPCC) plans.

Over 300 substances have been defined as hazardous under Section 311 and each of

these substances has a "reportable quantity" (40 CFR, Parts 116 and 117, 1980).

A person or corporation who properly notifies the Agency of the discharge of a

reportable quantity of oil or hazardous substance is immune from criminal prosecution but is

liable for civil penalties. Additionally, those who cause the spill are liable for the costs of

cleanup and removal. If the Federal government must clean up the spill, the discharger of the

spill is liable for cleanup costs. There are maximum liability limits depending upon the type

of facility and spill. These limits do not apply if the discharge resulted from willful negligence

or willful misconduct of the owner.

Certain discharges of oil and hazardous material that flow from a point source may

be excluded from Section 311 liability if, during preparation of the NPDES permit covering

that facility, conditions are added to the permit to avoid the occurrence of a spill.

Enforcement

Section 309 of the CWA provides several enforcement options which can result in

large penalties to violators.
A-25

43 U.S.C. §§6901 et seq. and Solid Waste Disposal Act amendments of

*

1980, P.L. 96-482, 94 Stat. 2334.

(03/92)

Criminal violations can result in penalties for individuals of up to $250,000 and

imprisonment for 15 years for "knowing endangerment", while penalties against organizations

for similar violations can reach $1,000,000. "Knowing violations" result in fines of $5,000

to $50,000 per day and imprisonment of up to 3 years per day of violation. "Negligent

violations" carry penalties of $2,500 to $25,000 and up to 1 year imprisonment per day of

violation. Falsification of reports is punishable by a $10,000 fine and imprisonment of up to

2 years. All penalties may be doubled for second offenses.

Civil penalties may be assessed in an amount up to $25,000 per day of violation.

Factors to be considered by the court in determining the amount of a civil penalty include the

seriousness of the violation, the economic benefit to the defendant as a result of the violation,

compliance history, good-faith efforts applied by the violator and the economic impact of the

penalty on the violator.

Administrative penalties may also be imposed against violators through the initiation

of an administrative penalty proceeding. Section 309(g) provide for two classes of penalties,

Class I and Class II, which differ with respect to the limits on the penalties which can be

imposed and the procedures which must be followed in order to impose those penalties.

RESOURCE CONSERVATION AND RECOVERY ACT OF 1976 (RCRA)2*

RCRA, as enacted in 1976, was designed to establish "cradle-to-grave" control of

hazardous wastes by imposing extensive requirements on those who generate and/or handle

such wastes. RCRA applies primarily to current activities at active facilities, yet there is

authority for addressing imminent hazards and for taking corrective actions based upon past
A-26

(03/92)

actions. Although RCRA has been amended several times, the most significant amendments

are the Hazardous and Solid Waste Amendments (HSWA) of 1984. HSWA requires, among

other things, that regulations be promulgated to address underground storage tanks, to

establish a schedule for restricting/prohibiting the land disposal of hazardous wastes, and to

revamp the toxicity characteristic as a means for determining whether a waste is hazardous.

(The process of promulgating implementing regulations in these areas is ongoing but almost

is complete.)

Solid wastes, if land disposed, are regulated through State programs under Subtitle

D of RCRA. Hazardous solid wastes are subject to regulation in their generation, transport,

treatment, storage, and disposal under Subtitle C of RCRA. Subtitle C of the statute

authorizes a comprehensive Federal program to regulate hazardous wastes from generation

to ultimate disposal. A waste is hazardous under Subtitle C if it is listed by EPA as

hazardous, or it exhibits a hazardous characteristic (corrosivity, reactivity, ignitability, and

toxicity) and is not delisted or excluded from regulation. There are special management

provisions for hazardous wastes created by small quantity generators and hazardous wastes

that are intended to be reused or recycled.

Solid waste includes garbage, refuse and sludge, other solid, liquid, semi-solid, or

contained gaseous material which is discarded, has served its intended purpose, or is a mining

or manufacturing byproduct. Most industrial and commercial byproducts can qualify as a

solid waste. Exclusions from solid waste include domestic sewage, irrigation return flows,

materials defined by the Atomic Energy Act, in situ mining waste and NPDES point sources.

Solid wastes excluded from regulation as hazardous solid wastes are household waste;

crop or animal waste; mining overburden and wastes from processing and benefication of ores

and minerals; flyash, bottom ash waste, slag waste and flue gas emission control waste and
A-27

(03/92)

drilling fluids from energy development. A waste can be "delisted" from the hazardous waste

listing or excluded for other reasons. Some materials intended to be reused or recycled 

re not fully regulated as solid/hazardous wastes, while others, depending upon the type of

waste generated and the recycling process used, are fully regulated.

List of Hazardous Wastes

Hazardous waste streams from specific major industry groups and some generic

sources (40 CFR, Part 261, Subpart D, §261.31 and 261.32) and well over 200 toxic

commercial chemical wastes (i.e., discarded commercial chemical products and chemical

intermediates) are included on the list of hazardous waste (40 CFR §261.33). If a commercial

chemical substance is on the list, its off-spec species is also considered hazardous when

discarded, as are spill residues. Some of the listed wastes are acutely toxic and are more

closely regulated than other hazardous wastes [see 40 CFR §§261.33(e), 261.5(e), and

261.7(b)(3)].

Special Management Provisions

Small Quantity Generators

Small quantity generators are those that generate less than 1,000 kg per

month of hazardous waste. There are two classes of small quantity

generators:

1. Generators of between 100 and 1,000 kg per month that are subject

to most of the requirements of 40 CFR Part 262 which apply to fully

regulated generators, except that they are allowed to accumulate up
A-28

(03/92)

to 6,000 kg of hazardous waste and to store waste for up to 180 to

270 days.

2. Generators of less than 100 kg per month that are exempt from

regulation under 40 CFR Part 262 so long as they do not accumulate

greater than 1,000 kg of hazardous waste, properly identify their

wastes, and comply with the less stringent waste treatment, storage

and/or disposal requirements of 40 CFR §261.5.

Note that the classification of the generator is a function of the total wastes

generated in a calendar month, not each waste stream. In addition, for acutely toxic

wastes, if more than 1 kg per month of waste 

or 100 kg per month of spill residues are generated, all quantities of that waste are

fully regulated.

Recycling or Reuse

The type of waste generated and/or the recycling process employed wil

determine whether recycled/reused materials are a solid/ hazardous waste.

Some of these materials are not considered solid wastes, some are solid

wastes but not hazardous wastes, while others are hazardous but are not

subject to full regulation, and still other of these materials are both solid and

hazardous wastes that are fully regulated. The circumstances surrounding the

apparent recycling/ reuse of waste materials should be thoroughly documented

during inspection.
A-29

(03/92)

Land Disposal Restrictions

A major feature of HSWA is the schedule for prohibiting the land disposal of

untreated hazardous wastes. The key dates and statutory/regulatory

requirements are as follows:

- May 8, 1985 - Landfilling of bulk or noncontainerized liquid

hazardous waste or free liquids in hazardous waste is prohibited.

- November 8, 1986 - Land disposal of certain solvents, as well as

dioxin containing hazardous wastes (F-series wastes) is prohibited

unless treatment standards are met.

- July 8, 1987 - Land disposal of hazardous wastes listed in Section

3004(d)(2) of RCRA (the "California list") is prohibited unless

treatment standards are met.

- August 8, 1988 - Land disposal of 1st Third of listed hazardous

wastes (primarily F and K wastes) is prohibited unless treatment

standards are met.

- June 8, 1989 - Land disposal of 2nd Third of listed hazardous wastes

(F, K, U, and P wastes) is prohibited unless treatment standards are

met.

- May 8, 1990 - Land disposal of 3rd Third of listed hazardous wastes

(the remaining listed wastes) as well as wastes exhibiting hazardous

characteristics is prohibited unless treatment standards are met.
A-30

40 CFR Part 262 *

(03/92)

Requirements for Generators3*

Identification - Hazardous wastes must be identified by list, testing, or

experience and assigned waste identification numbers.

Notification - No later than 90 days after a hazardous waste is identified or

listed in 40 CFR, Part 261, a notification is to be filed with EPA or an

authorized State. An EPA identification number must be received.

ManifestSystem - Implement the manifest system and follow procedures for

tracking and reporting shipments. Beginning September 1, 1985, a waste

minimization statement is to be signed by the generator [see RCRA Section

3002(b)].

Packing - Implement packaging, labeling, marking, and placarding

requirements prescribed by DOT regulations (40 CFR, Parts 172, 173, 178,

and 179).

Annual Report - Submittal required March 1 using EPA Form 8700-13.

ExceptionReports - When generator does not receive signed copy of manifest

from designated TSDF within 45 days, the generator sends Exception Report

to EPA including copy of manifest and letter describing efforts made to locate

waste and findings.
A-31

40 CFR Part 263 *

(03/92)

Accumulation - When waste is accumulated for less than 90 days, generator

shall comply with special requirements including contingency plan, prevention

plan, and staff training (40 CFR, Part 265, Subparts C, D, J, and 265.16).

Permitfor Storage More Than 90 Days - If hazardous wastes are retained onsite more than 90 days, generator is subject to all requirements applicable to

TSDFs and must obtain a RCRA permit.

Requirements for Transporters4*

Notification - No later than 90 days after a hazardous waste is identified or

listed in 40 CFR, Part 261, a notification is to be filed with EPA or an

authorized State. Receive EPA identification number.

ManifestSystem - The transporter must fully implement the manifest system.

The transporter signs and dates manifest, returns one copy to generator,

assures that manifest accompanies 

waste, obtains date and signature of TSDF or next receiver and retains one

copy of the manifest for himself.

Delivery to TSDF - The waste is delivered only to designated TSDF or

alternate.
A-32

40 CFR Parts 264 and 265 *

(03/92)

Record Retention - Transporter retains copies of manifest signed by

generator, himself, and accepting TSDF or receiver and keeps these records

for a minimum of 3 years.

Discharges - If discharges occur, notice shall be given to National Response

Center. Appropriate immediate action shall be taken to protect health and the

environment and a written report shall be made to the DOT.

Requirements for Treatment, Storage, or Disposal Facilities (TSDFs)5*

Notification - No later than 90 days after a hazardous waste is identified or

listed in 40 CFR, Part 261, a notification of hazardous waste management

activities is to be filed with EPA or an authorized State by TSDFs, which

manage newly identified or listed hazardous waste.

Interim Status - These facilities include TSDFs; on-site hazardous waste

disposal; on-site storage for more than 90 days; in-transit storage for greater

than 10 days and the storage of hazardous sludges, listed wastes, or mixtures

containing listed wastes intended for reuse. Interim status is achieved by:

- Notification (see above)

- Being in existence on November 19, 1980 or on the date of statutory

or regulatory changes which require the facility to have a permit
A-33

(03/92)

- Filing a Part A by the date specified in the regulation covering the

facility (40 CFR, Parts 261, 264, or 265)

Interim Status Facility Standards - The following standards and requirements

shall be met.

- General information (Subpart B)

- Waste analysis plan

- Security

- Inspection plan

- Personnel training

- Handling requirements

- Preparedness and prevention

- Contingency planning and emergency procedures (Subparts C and D)

- Records and reports

- Manifest system

- Operating logs

- Annual and other reports (Subpart E)

- Groundwater Monitoring (Subpart F)

- Closure and post-closure plans (Subpart G)

- Financial requirements (Subpart H)

- Containers, tanks, surface impoundments, piles (Subparts I, J, K, L)

- Land treatment, landfills, incinerators, thermal treatment, chemical,

physical and biological treatment (Subparts M, N, O, P, Q)

- Underground injection (Subpart R)

Permit - In order to obtain a permit:
A-34

(03/92)

- Facilities with interim status must file a Part B RCRA permit

application when directed to do so by EPA or an authorized State and

final facility standards must be met or the facility must be on an

approved schedule to meet those standards.

- New facilities and facilities which do not qualify for interim status are

to receive a RCRA permit before construction can begin or a

hazardous waste can be handled.

State Hazardous Wastes Programs

Under RCRA, states can obtain approval from EPA to implement programs governing

hazardous wastes "in lieu of" the federal program administered by EPA. State programs must

be "equivalent" to the federal program to obtain approval, and include the ability to enforce

program requirements. Once approved the state standards govern all regulated entities and

any assessment of a facility's compliance must be based upon those state regulations.

Thereafter, when federal standards change, each authorized state must submit a revised

program for EPA approval. Until such approval is received, those new standards generally

do not have any effect in those states. The major exception to this regulatory scheme is rulemaking based upon the HSWA of 1984. HSWA provides that imple-menting regulations are

to take effect at the same time in all states. Authorized states must still modify their programs

to include HSWA requirements, but there is no gap in regulation between the time that the

Agency promulgates a final HSWA-based rule and the time that the state receives final

approval of the program revision which is equivalent to the federal HSWA rule. As a result,

until a revised state program addressing all HSWA requirements is approved for an

authorized state, the administration and enforcement of the overall hazardous waste program

will involve both EPA and the authorized state.
A-35

(03/92)

Enforcement

EPA and authorized States may pursue enforcement actions based on administrative

orders, as well as judicial actions seeking civil and criminal penalties for RCRA violations.

An administrative action involves issuance of an administrative order requiring

compliance with the regulations. Injunctive relief may be sought in a civil action filed in the

U.S. District Court. Civil penalties of up to $25,000 per day of violation may be imposed for

violations of Subtitle C of RCRA. Failure to comply with an administrative order may result

in suspension or revocation of a permit.

Criminal penalties of up to $50,000 and/or 2 years' imprisonment may be imposed for

certain "knowing violations." "Knowing endangerment" that places another person in

imminent danger of death or serious bodily injury can result in a fine of up to $250,000 and/or

15 years' imprisonment.

COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION, AND

LIABILITY ACT (SUPERFUND)

The Superfund Act was enacted December 11, 1980. The Federal government is

authorized to clean up toxic or hazardous contaminants at closed and abandoned hazardous

waste dumps and the government is permitted to recover costs of this cleanup and associated

damages by suing the responsible parties involved. Cleanup monies come out of a

"superfund" created by taxes on chemicals and hazardous wastes.

The act provides that, when there is a release of hazardous substance, either real or

threatened, the parties who operated the vessel or facility which created the release are liable
A-36

(03/92)

for the containment, removal, remedial action, response, and injury damages to natural

resources under Section 107(a). The act also establishes limitations on liability.

If claims are presented to the liable parties but are not satisfied, the act then allows

claims to be reimbursed from the Superfund.

Regulatory provisions under Sections 102 and 103 of the act require that release of

hazardous substances into the environment be reported unless the release is in accordance

with an established permit. Spills of any "reportable quantity," established pursuant to

regulations promulgated under the Act, must be reported.

All owners or operators of any facility handling and disposing of hazardous substances

or that has handled hazardous substances in the past (including previous owners and

operators) were required to inform the EPA Administrator by June 1981 of their facility

activities unless they have a RCRA permit or have been accorded "interim status." Failure

of notification is a crime and, if the party knowingly fails to provide these data, they are not

entitled to the prescribed limits and defenses of liability.

On October 17, 1986, the Superfund Act was amended under the Superfund

Amendments and Reauthorization Act (SARA). Those amendments provide mandatory

schedules for the completion of various phases of remedial response activities, establish

detailed cleanup standards, and generally strengthen existing authority to effect the cleanup

of superfund sites.

Enforcement

Civil and criminal penalties and awards are available under CERCLA. Section 106

provides that failure or refusal to comply with an order directing immediate abatement of a
A-37

(03/92)

release or threatened release of a hazardous substance which creates an imminent and

substantial endangerment to the public health or welfare or the environment is punishable by

a fine of up to $25,000 per day of violation. Section 109 also provides for penalties of up to

$25,000 per day of violation, to be imposed by a U.S. District Court or in an administrative

proceeding for failure or refusal to comply with other provisions of CERCLA.

Under Section 109(d), a "bounty" in the amount of up to $10,000 may be paid to any

individual who provides information leading to the arrest and conviction of any person for a

CERCLA violation.

Criminal penalties of up to $10,000 and imprisonment for 3 years are available under

Section 103 for various violations, including failure to notify of a release and falsification of

records. Second and subsequent violations may result in imprisonment of up to 5 years.

TOXIC SUBSTANCES CONTROL ACT (TSCA)

TSCA regulates existing and new chemical substances. TSCA applies primarily to

manufacturers, distributors, processors, and importers of chemicals. TSCA can be divided

into five parts as follows:

Inventory and Premanufacture Notification

EPA has published an inventory of existing chemicals. A substance that is not on this

list is considered "new" and requires Premanufacture Notification (PMN) to EPA at least 90

days before the chemical can be manufactured, shipped, or sold (TSCA, Section 5). If EPA

does not make a declaration within 90 days to restrict the product, then full marketing can

begin and the chemical is added to the inventory. In addition, a manufacturer may obtain a

test marketing exemption and distribute the chemical before the 90-day period has expired.
A-38

(03/92)

Conversely, EPA, in response, may reject PMN for insufficient data; negotiate for suitable

data, prohibit manufacture or distribution until risk data are available; or, pending

development of a Section 6 rule, completely ban the product from the market or review the

product data for an additional 90 days.

Testing

Under TSCA, Section 4, EPA can require product testing of any substance which

"may present an unreasonable risk of injury to health or to the environment." Some testing

standards are proposed, but no test requirements for specific chemicals are yet in effect.

Reporting and Recordkeeping

TSCA, Section 8(a) deals with general reporting. The "first tier" rule (PAIR) now in

effect is a short form seeking production and exposure data on over 2,300 existing chemicals.

A "second tier" rule is expected to obtain more detailed data on a relatively small group of

chemicals that may become priority candidates for regulation.

Section 8(c) calls for records of significant adverse effects of toxic substances on

human health and the environment. It requires that records of alleged adverse reaction be

kept for a minimum of 5 years.

Section 8(d) allows EPA to require that manufacturers, processors, and distributors

of certain listed chemicals (designated under 40 CFR 716.13) submit to EPA lists of health
A-39

(03/92)

and safety studies conducted by, known to, or ascertainable by them. Studies include

individual files, medical records, daily monitoring reports, etc.

Section 8(e) requires action upon discovery of certain data. Any person who

manufactures, processes, or distributes a chemical substance or mixture, or who obtains data

which reasonably supports the conclusion that their chemical presents a substantial risk of

injury to health or to the environment, is required to notify EPA immediately. Personal

liability can only be limited if the company has a response plan in effect.

Regulation Under Section 6

EPA can impose a Section 6 rule if there is reason to believe that the manufacture,

processing, distribution or use, or disposal of a chemical substance or mixture causes, or may

cause, an unreasonable risk of injury to health or to the environment. Regulatory action can

range from labeling requirements to complete prohibition of the product. Section 6 rules are

currently in effect for several chemicals including PCBs. A Section 6 rule requires informal

rulemaking, a hearing, and a cost-benefit analysis.

Imminent Hazard

This is defined as a chemical substance or mixture causing an imminent and

unreasonable risk of serious or widespread injury to health or the environment. When such

a condition prevails, EPA is authorized by TSCA, Section 7, to bring action in U.S. District

Court. Remedies include seizure of the chemical or other relief including notice of risk to the

affected population or recall, replacement, or repurchase of the substance.

Enforcement
A-40

(03/92)

Civil penalties may be assessed through administrative proceedings in an amount not

to exceed $25,000 per day of violation. Appeals relating to civil penalties are reviewed in the

U.S. Court of Appeals.

Criminal penalties for knowing and willful violations of TSCA may be imposed in

amounts of not more than $25,000 per day of violation and/or imprisonment for up to 1 year.

Actions to restrain violations, compel compliance, or seize and condemn any

substance, mixture, or article may be brought in the U.S. District Courts.

FEDERAL INSECTICIDE, FUNGICIDE, AND RODENTICIDE ACT (FIFRA)

A pesticide is defined as any substance intended to prevent, destroy, repel, or mitigate

pests. FIFRA requires registration of all pesticides, restricts use of certain pesticides,

authorizes experimental use permits and recommends standards for pesticide applicators and

the disposal and transportation of pesticides.

Pesticides are registered for 5 years and classified for either general or restricted

usage. Restricted use means that they are to be applied either by or under the direct

supervision of a certified applicator. Pesticides must be labeled and specify ingredients, uses,

warnings, registration number, and any special use restrictions. Regulations also specify

tolerance levels for certain pesticide chemicals in or on agricultural commodities. These limits

apply to 310 different compounds and residue tolerances range from 0 to 100 ppm. A few

pesticides are also regulated as toxic pollutants under Section 307(a) of the CWA and by

Primary Drinking Water Standards under the SDWA.
A-41

(03/92)

Enforcement

FIFRA provides for relatively low penalties when compared with many of the other

environmental statutes. Civil penalties range from as little as $500 for private applicators on

a first offense, to not more than $5,000 per violation for registrants, commercial applicators,

wholesalers, dealers, retailers, and distributors. Criminal penalties against private applicators

are misdemeanors punishable by fines of not more than $1,000 and/or imprisonment for up

to 30 days. Commercial applicators who knowingly violate FIFRA may be fined up to

$25,000 and/or imprisoned for up to 1 year. Registrants, applicants for a registration and

producers who knowingly violate 

this statute are subject to fines of up to $50,000 and/or imprisonment for up to 1 year.

Any person who, with intent to defraud, uses or reveals information relating to

product formulas acquired pursuant to FIFRA's registration provisions may be fined up to

$10,000 and/or imprisoned for up to 3 years.

SAFE DRINKING WATER ACT

The SDWA of 1974 was established to provide safe drinking water to the public.

Both primary and secondary drinking water standards have been set by EPA regulations

which apply to water after treatment by public drinking water systems. National Interim

Primary Drinking Water Regulations were adopted in 1975 to protect public health (40 CFR,

Part 141). Regulations covering radionuclides were added in 1976. Regulations for

trihalomethanes were promulgated in 1979. Secondary regulations were established in 1979

as guidelines to States to protect the nonhealth-related qualities of drinking water. The 1986

amendments to the SDWA: (1) establish a mandatory schedule, requiring the promulgation

of primary drinking water regulations for 83 contaminants, (2) prohibit the use of lead in

public water systems, (3) provide civil and criminal penalties for persons who tamper with
A-42

(03/92)

public water systems, and (4) require closer scrutiny of State programs, including the direct

enforcement of drinking water standards, if necessary.

The SDWA also provides for protection of underground sources of drinking water.

Final regulations have been issued whereby States are to establish Underground Injection

Control (UIC) waste disposal programs to ensure that contaminants in water supplies do not

exceed National Drinking Water Standards and to prevent endangerment of any underground

source of drinking water. Injection wells are divided into five classes for regulatory handling.

Construction and disposal standards are established for the permitting of Class I to III wells.

Class I and IV wells are subject to RCRA requirements. Class IV wells are those used by

generators of hazardous or radioactive wastes to dispose of hazardous wastes into formations

within one-quarter mile of an underground source of drinking water. New Class IV wells are

prohibited and existing Class IV wells must be phased out within 6 months after approval or

promulgation of a UIC program in the State. There are numerous State regulatory

requirements affecting groundwater which should be consulted by multi-media compliance

inspectors. In addition, the 1986 amendments to SDWA strengthen EPA's enforcement

authority for UIC programs.

Enforcement

Civil penalties of not more than $25,000 per day of violation may be assessed for

failure to comply with national primary drinking water regulations [Section 300g - 3(b)],

failure of an owner or operator of a public water system to give notice to persons served by

it of failure or inability to meet maximum containment level requirements [Section 300(g) -

3(c)], failure to comply with an administrative order requiring compliance [Section 300g -
A-43

(03/92)

3(g)], or failure to comply with requirements of an applicable underground injection control

program [Section 300h - 2(b)].

Any person who fails or refuses to comply with an administrative order issued where

a contaminant is contaminating or is likely to contaminate an underground source of drinking

water and may present an imminent and substantial endangerment to human health, is subject

to civil penalties of up to $5,000 per day of violation (Section 300i). Administrative orders

relating to violations of underground injection regulations may impose penalties of up to

$5,000 per day of violation up to a maximum administrative penalty of $125,000.

Tampering with a public water system may result in a criminal fine and/or

imprisonment for up to 5 years. Threats to tamper carry fines and/or imprisonment of up to

3 years. Civil penalties may also be imposed against persons who tamper, attempt to tamper,

or make threats to tamper with a public water system. The maximum fine is $50,000 for

tampering and $20,000 for an attempt or threat to tamper.

EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT (EPCRA)

EPCRA was enacted as a part of the Superfund Amendments and Reauthorization Act

of 1986, as a freestanding provision to address the handling of "extremely hazardous

substances" and to establish an extensive information collection system to assist in responding

to releases of those substances. EPCRA is comprised of three subtitles: (1) Subtitle A, which

establishes the framework for emergency response planning and release notification; (2)

Subtitle B, which contains reporting requirements; and (3) Subtitle C, which contains general

provisions, including enforcement, penalties, and trade secrets.

Subtitle A - Emergency Planning and Notification
A-44

(03/92)

The goal of Subtitle A is to provide States and local communities with the information

necessary to adequately respond to unplanned releases of certain hazardous materials.

Through the establishment of State Emergency Response Commissions (SERC) and Local

Emergency Planning Committees (LEPC), Subtitle A mandated the development and

implementation of emergency response plans. Subtitle A also requires facilities at which

certain "extremely hazardous substances" are present in excess of established threshold

planning quantities to notify the State Commission of the presence of the substances and to

report releases of those substances in excess of specified reportable quantities.

Subtitle B - Reporting Requirements

Sections 311 - 313 of EPCRA (Subtitle B) contain reporting requirements for facilities

at which "hazardous chemicals" are present in excess of specified thresholds or which

experience environmental releases of "toxic chemicals" in excess of the established threshold

quantities.

Section 311 requires facilities at which "hazardous chemicals" are present in amounts

exceeding threshold levels, to submit material safety data sheets (MSDSs) or lists of

substances for which they maintain MSDSs to the SERC, LEPC, and local fire departments

in order to give notice to those authorities of the types of potential hazards present at each

facility.

Section 312 requires submission of annual and daily inventory information on the

quantities and locations of the hazardous chemicals. "Tier I" reports provide the required

general information. "Tier II" reports providing chemical-specific information must be

submitted in place of Tier I reports upon request of the SERC, LEPC, or local fire

department.
A-45

(03/92)

Section 313 requires annual reporting to EPA and the State of any environmental

releases of listed "toxic chemicals" in excess of specified threshold quantities. A facility is

required to submit a "Form R" Toxic Chemical Release Inventory Report in the event of a

release if it has 10 or more full-time employees; is grouped in SIC codes 20 through 39; and

manufactures, processes, or otherwise uses a toxic chemical in excess of the established

reporting thresholds.

Enforcement

Section 325 of EPCRA sets forth the civil, criminal, and administrative penalties which

may be assessed for violations of that Act. Violation of an administrative order may result

in civil penalties of up to $25,000 per day. Penalties for violations of the emergency

notification provisions of Section 304 may be assessed through administrative or judicial

proceedings, with potential penalties ranging from $25,000 per violation to $25,000 per day

of violation. Any person who knowingly or willfully fails to provide emergency notification

may be assessed a criminal penalty of up to $25,000 and/or 2 years' imprisonment, ($50,000

and/or 5 years for second and subsequent convictions).

Violations of reporting requirements carry civil penalties of up to $25,000 per

violation. Frivolous trade secret claims may result in penalties of up to $25,000 per claim,

whereas the knowing and willful disclosure of actual trade secret information may be

punishable by a fine of up to $20,000 and/or imprisonment up to 1 year.
APPENDIX B

MULTI-MEDIA INSPECTIONS

 DEFINITIONS AND TRAINING
B-1

(03/92)

MULTIMEDIA INSPECTIONS - DEFINITIONS AND TRAINING

06/05/91

To describe a proposed program for multimedia inspections and inspector training, we

must first establish some definitions:

1. Compliance Programs - These are administrative, civil, and criminal enforcement

programs as authorized to EPA.

2. Inspection categories - All inspections, for purposes of this program description,

can be grouped into four categories.

Category A - An inspection for a single program. A program may have one or

more types of inspections.

Category B - A simplified screening multimedia inspection is conducted in

addition to the single program (Category A) inspection. The

screening inspection is intended to identify the more obvious and

readily detectable instances of non-compliance or indicators of

possible non-compliance in other compliance program areas with

only minimal additional resources required. Information obtained

would be referred to the appropriate compliance program office(s)

for follow-up. Follow-up action could include a full inspection for

one or more programs or in some instances immediate enforcement

action. The inspector would use a simplified checklist as a guide

and to record observations and pertinent information. As an

example, observations of potential compliance issues could include

inoperable control systems, unusual emissions/discharges, evidence

of spillage or leaks, breached dikes, new emission/discharge

sources, lack of permits or SPCC plan, abandoned drums, etc.
B-2

(03/92)

Category C - A multi-program inspection is an inspection of a facility for two or

more (Category A inspections) compliance programs but not

compliance with all applicable requirements. The inspection may be

conducted by either one or a team of inspectors. The team which is

headed by a team leader, conducts a detailed inspection for each of

the targeted programs represented. The inspection may include

screening for the more obvious and readily detectable indicators of

possible non-compliance in other compliance program areas.

Category D - A multimedia inspection is a comprehensive inspection which

addresses relevant program compliance requirements operative for

a single facility at a specific point in time that can be used in

subsequent enforcement actions. The inspection is usually

conducted by a team of inspectors lead by a team leader. Team

members may be comprised of ESD, program, contractors, state,

NEIC, or local agency inspectors. The inspection may focus on

facility processes to identify activities and wastes potentially subject

to regulations and to identify potential cross-program issues.

3. Inspector Training - For purpose of this program description, inspector training

will be described in terms of four inspector training levels.

Level 1 - The Level 1 (single program) inspector is a person who has been

trained to be a lead inspector per EPA Order 3500.1 (Basic Health

& Safety, Fundamentals curriculum, and program specific

minimum) for a single compliance program.

Level 2 - The Level 2 (screening) inspector is a person who has received

training beyond Level 1 to screen for and report on the more

obvious or key indicators of non-compliance in all environmental
B-3

(03/92)

program areas relevant to a particular facility or site (Category B

inspection). The additional training requires a minimum of time (1

to 2 days) is keyed to a simplified checklist, and is designed to

enable the inspector to ask key questions and readily recognize the

more obvious environmental problems or key indicators of noncompliance. Additionally, the training will enable the inspector to

readily recognize and report the more obvious violations of OSHA

regulations and as a minimum disseminate pollution prevention

information. The training could be heavily aided by extensive use

of videos to demonstrate critical observations.

Level 3 - The Level 3 (multi-program) inspector is a person who has been

trained to be a lead inspector per EPA Order 3500.1 for two or

more compliance programs and has started the leadership project

management and team building training required for Level 4

inspector training. Level 3 inspector training is a prerequisite for

Level 4.

Level 4 - The Level 4 (multimedia) inspector is a senior, experienced person

who has received training beyond Levels 2 or 3 to lead a team of

inspectors to conduct either a multimedia (Category D) inspection

which addresses all relevant compliance program requirements or a

multi-program (Category C) inspection which addresses the

requirements of two or more compliance programs. The inspector

in addition to having significant experience in leading inspections,

should complete the following:

* leadership project management and team building training

* training to recognize cross-media impacts and integrate

cross media evaluations
B-4

(03/92)

* training and experience to merge diverse written reports

into a coherent whole.

A summary in matrix form, of multimedia inspection and inspector training definitions are

shown in Figure 1.

PROGRAM GOALS

The overall goal of each region would be a multimedia compliance program with

inspectors in each region equipped to perform all four categories of inspections. The

specific goals of the FBCs is:

1. To have all inspectors trained per EPA Order 3500.1 (Level 1) to as a

minimum, be able to conduct inspections for a single compliance program

(Category A).

2. To have all inspectors trained to be Level 2 inspectors and conduct

screening (Category B) inspections during all compliance inspections by the

end of FY 1993.

3. To have teams of dedicated multi-program (Level 3) and multimedia (Level

4) inspectors trained to conduct or lead multi-program (Category C) or

multimedia inspections (Category D) as required by the end of FY 1993.

4. To have inspectors progress on a career ladder from Level 1 to Level 4

inspectors.

5. To build into the inspections and inspector training program as appropriate

the reporting of environmental results.
B-5

(03/92)

These goals require a dedicated effort to develop and improve upon the skills that would

be required for a single program inspector. Regional compliance programs can be

aggressive in targeting multi-program and multimedia inspections to achieve

environmental results using TRI data, comparative risk, geographic, and other

enforcement initiatives. Similarly, the FBCs can take the initiative to identify overlapping

routine program inspection requests and flag potential multi-program enforcement

opportunities. Achievements of these goals would provide enhanced capability for

responding to special requests from the RA/DRA and providing support to the office of

criminal investigations.
C-1

(03/92)

Appendix C

TEAM LEADER RESPONSIBILITIES AND AUTHORITIES

INTRODUCTION 

The team leader is the lead person for a given project. The team leader for each

project is selected by the Branch Chiefs, based on factors such as project needs, employee

development opportunities, and personnel availability. In general, the team leader is a work

group leader, the central focal point for a particular project, responsible for ensuring that

project objectives are met in a timely manner. The team leader is given certain responsibilities

and authorities, as outlined below, and is expected to fulfill the responsibilities and exercise

authority to successfully plan, coordinate, conduct, and complete the project.

The extent of input and involvement by the supervisor in these team leader

responsibilities is dependent on the team leader's grade and experience.GS-12 and GS-13

team leaders should be able to perform most, if not all, required tasks. Team leaders of other

grades will require more assistance from their supervisor or mentor.

Team leader responsibilities and authorities may vary somewhat with unique

requirements of each project. However, general responsibilities and authorities for

conducting a complete and timely project are common for most projects. The following

discussion of team leader responsibilities is presented in two sections: responsibilities and

authorities. The discussion of responsibilities is presented by project phases (most projects

will involve some form of each project phase). The discussion of authorities follows.

Because the team leader has similar authorities for most project phases, the authorities are not

discussed in terms of project phases.
C-2

(03/92)

TEAM LEADER RESPONSIBILITIES

Phase 1 - Project Request/Project Objectives

As stated previously, the team leader is the central focal point for a given project

responsible for assuring that project objectives are met in a professional and timely fashion.

The team leader uses the media specific and Multi-Media Investigation manuals as guidance

for conducting environmental compliance investigations. General project phases and

associated team leader responsibilities follow. Phase 1 of any project begins with a request

for assistance. Depending on the specifics of the request, work is required to develop that

request into a project plan that addresses the requestor's needs.

The team leader, in conjunction with his/her supervisor, project requestor and, often

times, members of the project team, is responsible for:

Defining project objectives

Defining specific tasks required to fulfill project objectives

Identifying resource needs (both equipment and personnel)

Identifying potential on-the-job training (OJT) opportunities associated with

the various project phases and, in conjunction with supervisors (and, in some

cases, staff), develop OJT objectives for other personnel

Scheduling project tasks

Coordinating with supervisors to ensure availability of project members for

project tasks 

Developing and assigning work tasks to team members (this should include

identifying any OJT opportunities)
C-3

(03/92)

Ensuring that a comprehensive Project Plan is prepared (this task may be a

separate project phase - project phase 3 - depending on the extent of

information available during the project request)

Maintainingcommunication with project requestor and appropriate personnel

(team members, team member supervisors, counterparts in other agencies,

etc.)

Phase 2 - Background Information Retrieval and Review

This project phase involves identifying, collecting and reviewing background

information applicable to a specific project. The team leader, often in conjunction with

project team members, is responsible for:

Identifyingnecessary background information (including applicable laws and

regulations, facility description, past compliance status, safety considerations,

etc.)

Arranging for access to background information

Arranging for receipt of background information (such as file review and

document retrieval, phone requests, phone conversations, etc.)

Ensuring that background information is properly organized and filed

Ensuring that background information is provided to appropriate project

personnel

Conducting reconnaissance inspection, if appropriate
C-4

(03/92)

Providing guidance to project members and ensuring that any associated OJT

objectives are met

Maintaining lines of communication with appropriate NEIC personnel (team

members, team member supervisors, etc.) 

Phase 3 - Project Plan

The project plan is a written document completed at some point prior to the field

work on most projects. The plan identifies work to be conducted to address project

objectives and includes a site safety plan. The team leader is responsible for:

Overall completion of a final project plan (including site safety plan, if site

work is required)

Ensuring that the project plan is peer reviewed

Obtaining concurrence from the project requestor

Providing all project team members with copies of the project plan

Ensuring that all project members are familiar with the contents of the plan,

including individual project responsibilities, project schedules, and safety

requirements

Ensuring that the project requestor receives the final project plan prior to any

on-site work
C-5

(03/92)

Providing guidance to project members and ensuring that any associated OJT

objectives are met

Phase 4 - On-site Investigation

This project phase involves the on-site field work and necessary logistics/personnel

actions to ensure that the field investigation is carried out in a complete, efficient, and timely

manner. During this project phase, the team leader is responsible for:

Ensuring that all personnel actions (overtime/compensatory time, work

schedule changes, etc. are addressed)

Ensuring that logistical issues are addressed (transportation of personnel and

equipment to the site, lodging arrangements, etc.)

Developing and maintaining a working relationship between all parties

involved (including investigation target and contractors)

Coordinating all on-site activities, including scheduling

Ensuring that all project objectives are addressed during the on-site

investigation

Ensuring that the site safety plan is followed (or more stringent facility

requirements, if appropriate)

Maintainingcommunication with appropriate personnel (team members, team

member supervisors, etc.) and with other appropriate personnel (such as

project requestor, contractors, Department of Justice, FBI)
C-6

(03/92)

Providing guidance to team members and ensuring that any associated OJT

objectives are met

Ensuring that contaminated equipment is properly disposed of or cleaned

Directing public inquiries to proper authorities

Phase 5 - Information Evaluation/Report Preparation

A report of project activities, information evaluation, and findings is prepared for most

projects. The project report is usually the major conduit for presenting project findings to the

project requestor. In general, the coordinator is responsible for ensuring that the project

report addresses all the project objectives, is accurate, and is reviewed and completed in a

timely fashion.

Preparing a report outline (or otherwise identifying report structure and

contents to project members)

Identifying and assigning preparation of project report sections to individual

project members

Identifying and communicating report writing schedules to project members

Coordinating with supervisors to ensure availability of project members for

report preparation 

Maintainingcommunication with project requestor and appropriate personnel

(team members, team member supervisors, etc.)
C-7

(03/92)

Providing guidance to project members and ensuring that all associated OJT

objectives are met

Coordinatingall portions of report preparation with other groups (Graphics,

Report Services, etc.) 

Assembling draft reports

Ensuring that report is properly reviewed and revised (including transmittal

of drafts for external review, tracking of copies, and return of external draft

copies)

Assembling and transmitting final report

Phase 6 - Project Follow-up

Project follow-up includes project activities that follow transmittal of the final report.

This normally includes providing input into legal action such as case preparation, court

testimony, settlement negotiations, and depositions. During project follow-up, the team

leader is responsible for:

Maintaining post-project report contact with project requestor or other

designated project contact to remain informed of legal or other activities

Coordinating any requests for additional assistance

Advisingsupervisors and appropriate staff of additional or potential additional

project support 

Preparing project file for turn-in to central files
C-8

(03/92)

Providing the supervisor of each project member a critique of the project

member's activities, including a discussion of the OJT objectives as identified

by project coordinator and project member's supervisor during project request

phase

Provide each team member with an individual, verbal critique of his/her

performance

TEAM LEADER AUTHORITIES

As the central focal point and leader of a team of employees, the team leader has some

"first-line" supervisor authorities for most project phases. Once project members are selected

and general responsibilities of each member are agreed upon (agreement between team leader

and project member's supervisor and often times the project member), the team leader has the

authority to:

Set and/or modify project schedules

Identify and modify, as necessary, specific project staff tasks (including

activities in all project phases such as project plan preparation, field work, and

report preparation).

Direct field operations

Enforce project safety plan requirements (including barring personnel without

the proper equipment and/or training from the identified "hot" zone)

Set working hours for team members during field work
C-9

(03/92)

Approve/verify OT/CT hours worked

Negotiate terms of inspection with company (e.g., taking of photographs,

requesting/copying documents, advance notification of areas to be inspected,

personnel to be interviewed, handling of CBI materials, etc.) so long as no

statutory or regulatory authorizations are compromised

Arrange for inspection of off-site facilities related to project objective (e.g.,

off-site contractor laboratory, waste transfer station, etc.)

Request/arrange for assistance from other groups (e.g., Laboratory Services,

ORD, EPIC, etc.)

Procure project-specific equipment/services

Require project team members to follow established protocols for conduct,

investigation, preparing reports, and participation in follow-up actions, and

enforce ground rules identified for specific investigations

Ensure security of project files report, etc. and investigation findings
D-1

(03/92)

Appendix D

TYPES OF INFORMATION

TECHNICAL INFORMATION

Facility Background

Maps showing facility location and environmental and geographic features

(stacks, discharge pipes, and solid waste disposal sites)

Geology/hydrogeology of the area

Aerial photographs

Names, titles, phone numbers of responsible facility officials

Process description, process flow charts, and major production areas

Records reflecting changes in facility conditions since previous audit/permit

application

Production levels - past, present, and future

Audit Reports, Records, and Files

Federal and State compliance files

Correspondencebetween the facility and the local, State, and Federal agencies

Citizens' complaints and reports, follow-up studies, findings
D-2

(03/92)

Audit records, reports, correspondence on past incidents or violations

Emissions inventory

Self-monitoring data and reports

EPA, State, and consultant studies and reports

Annual reports by the facility (e.g., PCB annual documents and inventories,

Securities Exchange Commission §10K reports)

Records, applications, reports, manifest files, etc. (e.g., RCRA reports,

CERCLA submittals)

Laboratory audit reports, QA/QC activities

Records of previous hazardous substances spills and malfunctions

Pollutant and Waste Generation, Control, Treatment, and Disposal Systems

Description and design data for pollution control systems and process

operations

Sources and characterization of wastewater discharges, hazardous wastes,

emissions, types of treatment, and disposal operations

Type and amount of waste generated which is discharged, emitted, stored,

treated, and disposed

Waste storage, treatment, and disposal areas
D-3

(03/92)

Waste/spill contingency plans

Available bypasses, diversions, and spill containment facilities

Industrial process, pollution control, treatment and disposal methods,

monitoring systems

Legal Information

Requirements, Regulations, and Limitations

Permit applications, draft or existing permits, registrations, approvals, and

applicable Federal, State, and local regulations and requirements

Application certificates, EPA identification numbers

Information on draft permits which is different from current conditions

Exemptions and waivers

Receiving stream water quality standards, ambient air standards, State

Implementation Plans, protected uses

RCRA notification and Part A and Part B applications

Pesticide labels

Grant applications for publicly owned treatment works, research and

development demonstration projects and progress reports on these projects
D-4

Coordination should occur prior to the audit (in conjunction with the EPA Regional Office )

*

with the local Assistant United States Attorney or Justice Department attorney responsible for the civil

or criminal case and any consent decree.

(03/92)

Federal and State classification of facility (e.g., Interim Status, Small Quantity

Generator)

Enforcement History

Status of current and pending litigation against the facility6*

Deficiency notices issued to facility and responses by the facility

Status of administrative orders, consent decrees, and other regulatory

corrective actions, if any, and compliance by the facility

Penalties imposed against the company

Information Sources

Laws and Regulations - Federal laws and regulations establish procedures, controls,

and other requirements applicable to a facility [Table 1] (Missing). In addition, State laws

and regulations and sometimes even local ordinances may be applicable, or take precedence.
D-5

(03/92)

Permits and Permit Applications - Permits provide information on the limitations,

requirements, and restrictions applicable to discharges, emissions and disposal practices;

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

provide technical information on facility size, layout, and location of pollution sources; waste

and pollutant generation, treatment, control and disposal practices; contingency plans and

emergency procedures; and pollutant characterization - types, amounts, and locations of

discharge, emissions, or disposal.

Regional and State Files - These files often contain grant records, applications, facility selfmonitoring data, and audit reports, as well as permits and permit applications pertaining to

individual facilities. These information sources can provide compliance, enforcement, and

litigation history; special exemptions and waivers applied for and granted or denied; citizen

complaints and action taken; process operating problems/solutions; pollution

problems/solutions; and laboratory capabilities. Consultant reports can provide design and

operating data and recommendations for processes; pollutant sources; treatment, control, and

disposal systems; and remedial measures.

Technical Reports, Documents, and References - These sources provide information on

industrial process operations, data on available treatment, control and disposal techniques,

such as their advantages or drawbacks, limits of application, etc. Such sources include

Effluent Guideline and New Source Performance Standard development documents and

EPA's Treatability Manual. Similar guidance documents on hazardous waste generation,

treatment/ disposal are also available.

The background information sources for overall program areas and those that apply

specifically to the water, air, solid waste, pesticides, and toxic substances programs are listed

in Table 2 (Missing).
APPENDIX E

SOURCES OF INFORMATION
E-1

(03/92)

APPENDIX E

SOURCES OF INFORMATION

I. General References:

A. NEIC Policies and Procedures Manual - Covers chain-of-custody, shipping,

document handling, report preparation, and in general, how to conduct an

investigation [EPA 33019-78-001-R, August 1991].

B. RCRA Orientation Manual, 1990 Edition. USEPA, Office of Solid

Waste/Permits and State Programs Division and the Association of State and

Territorial Solid Waste Management Officials. GPO 1990-261-069/24136H

C. Standard Operating Safety guides. USEPA Office of Emergency and

Remedial Response, Emergency Response Division. July 1988. GPO 1988-

548-158/87012.

D. EPA Publications Bibliography. Quarterly listing of all EPA publications

distributed through the National Technical Information Service, indexed

alphabetically, numerically, and by key word. NTIS, U.S. Department of

Commerce, Springfield, VA 22161 (703) 487-4650.

E. Access EPA: Libraries and Information Services. NTIS, U.S. Department of

Commerce, Springfield, VA 22161 (703) 487-4650.

F. Computer Data Systems - A description of the automated data systems

accessed by NEIC. Indexes 41 sources accessing over 1,000 data bases.

II. Technical References:
E-2

(03/92)

A. Kirk-Othmer Encyclopedia of Chemical Technology. Wiley, 3rd ed., 1981;

4th ed. in publication process.

B. Merck Index: Encyclopedia of chemicals, drugs, and biological compounds.

Good source for chemical properties and safety plan details.

C. Directory of Chemical Producers: Lists major chemical producers and the

products they make. SRI, International: Menlo Park, California. Annual.

III. Legal/Regulatory References:

A. Statutes at Large: The official publication of a public and private laws and

resolutions enacted during a session of Congress.

B. United States Code: A codification of the general and permanent laws of the

United States. New editions appear approximately every 6 years with

cumulative annual supplements.

C. Regulations

1. Federal Register. Daily publication of proposed and final rules.

2. Code of Federal Regulations: Annual compilation of regulations.

3. LSA (Lists of CFR Sections Affected): Monthly updates of CFR by

section.

IV. Computer Data Systems - A description of the automated data systems accessed by

NEIC follows:

E-4

(03/92)

CONTENTS

AGENCY INTERNAL INFORMATION SYSTEMS CURRENTLY ACCESSIBLE BY NEIC

Aerometric Information Retrieval System (AIRS)

AIRS Facility Subsystem (AFS)

Chemicals in Commerce Information System (CICIS)

Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS)

Consent Decree Tracking System (CDETS)

Docket System

DUNS Market Identifiers (DMI)

Emergency Response Notification System (ERNS)

Enforcement Document Retrieval System (EDRS)

Facility and Company Tracking System (FACTS)

Facility Index System (FINDS)

Federal Reporting Data System (FRDS)

NPDES Industrial Permit Ranking System

Permit Compliance System (PCS)

Pollution Prevention Information Exchange System (PIES)

Potentially Responsible Parties System

Records of Decision System (RODS)

Resource Conservation and Recovery Information System (RCRIS)

Site Enforcement Tracking System (SETS)

STORET

Superfund Financial Assessment System (SFFAS)

TECHLAW Evidence Audit System

Toxic Release Inventory System (TRIS)
E-5

(03/92)

CONTENTS (cont.)

AGENCY INFORMATION SYSTEMS NOT CURRENTLY ACCESSIBLE BY NEIC

FIFRA/TSCA Tracking System (FTTS)

PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS CURRENTLY ACCESSIBLE BY NEIC

Bibliographic Retrieval Service (BRS)

Chemical Information System (CIS)

Colorado Alliance of Research Libraries (CARL)

Computer-Aided Legislative Data System (CELDS)

DataTimes

DIALOG Information Services, Inc.

Dun and Bradstreet

Groundwater On-Line (GWOL)

Justice Retrieval and Inquiry System (JURIS)

NEXIS/LEXIS

National Library of Medicine (NLM)

Scientific and Technical Information Network (STN)

SOILS

WESTLAW
E-6 AGENCY INTERNAL INFORMATION SYSTEMS 

NOT CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

Aerometric Information A national system in ADABAS maintained by the National Air Data Data currently available from AIRS consists of the ambient air quality

 Retrieval System Branch which incorporates information from many of the Agency's air data collected by States, utilized for trends analysis and pollution control

 (AIRS) databases. Emissions data (formerly in NEDS) is now available in strategies and emissions and compliance data collected by EPA and

AIRS. State agencies.

Chemicals in Commerce A national system containing the results of the 1977 TSCA inventory NEIC can access the system by company name and geographical area,

 Information System and later cumulative supplement of approximately 60,000 unique generate listings by company name, CAS registry number or

 (CICIS) chemical substances (7,000 claim confidentiality) used commercially in geographical area.

the United States.

AIRS Facility Subsystem A national system containing compliance information including NEIC can acquire the Significant Violators list and compliance event

 (AFS) compliance status, agency actions (e.g., inspections), etc. for major data for individual sources, whole facilities, sources within a certain

sources of the five primary air pollutants. Recently converted from the geographical area and sources of a specific industrial classification.

Compliance Data System (CDS), AFS is one of five AIRS subsystems.

Comprehensive A national system containing names and locations of uncontrolled NEIC can generate site inventory listings for geographical area, the

 Environmental hazardous waste sites in the U.S., summary response event status NationalPriorities List, technical event status reports, and enforcement

 Response, Compensation information, alias names and site characteristic data. Recent history for any uncontrolled hazardous waste site and cleanup

 and Liability Information modifications include provisions for tracking enforcement activities, and expenditure reports. 

 System technical and chemical information at CERCLA sites. Superfund

 (CERCLIS) Comprehensive Accomplish Plan (SCAP) data is also available through

CERCLIS.

Consent Decree Tracking A national system containing a computerized inventory of consent NEIC can produce hard copies of all decrees in the inventory, and

 System decrees to which EPA is a party, and computerized summaries of the produce computer reports of the inventory, the entire contents of

contents of decrees by facility. NEIC maintains a hardcopy library of all decrees, the milestones to be met in specific decrees or for decrees

consent decrees within the system. This repository has been converted within a Region and the contents of all decrees for a specific issue (e.g.,

to a full-text database on JURIS. groundwater monitoring).

Docket System A national system containing all pertinent information regarding a civil NEIC can access the entire system to produce reports of enforcement

or administrative enforcement action taken by EPA or designated States actions in a geographical area, for a specific statute or media or for a

against violators of all Federal environmental statutes. specific source classification.

DUNS Market Identifiers Leased by the Agency from Dun and Bradstreet, DMI contains basic NEICcan generate reports with business information such as number of

 (DMI) business information for privately- and publicly-owned companies in employees, amount of sales, telephone number, principal officer title,

the United States. and line of business.
AGENCY INTERNAL INFORMATION SYSTEMS E-7

CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

Emergency Response A national system containing information on reported releases of oil and Reports can be generated to identify specific releases and to aggregate

 Notification System hazardous substances and responses by EPA, the U.S. Coast Guard and data on the number and types of releases throughout the country and in

 (ERNS) others to the reported releases. specific states and regions.

Enforcement Document EDRS is a full-text national database of EPA enforcement documents EDRS can be used to retrieve all enforcement documents containing a

 Retrieval System including the General Enforcement Policy Compendium and the Policy word like "landfill" or relevant to an issue, law, or regulation.

 (EDRS) Compendiums for FIFRA, TSCA, RCRA, CERCLA/SARA, and

CWA/FWPCA.

Facility and Company A national database which provides basic business information for NEIC can generate facility listings for any geographical area, type of

 Tracking System privately- and publicly-owned companies in the United States, and business, and/or corporation. DMI locates business information such as

 (FACTS) facility information for EPA-regulated facilities. FACTS is comprised number of employees, amount of sales, telephone number, and principal

of the DMI and FINDS subsystems. officer. FINDS provides facility information for EPA-regulated

databases.

Facility Index System A national database which serves as a cross-reference index on a facility NEICcan generate facility listings for any geographical area, as well as

 (FINDS) basis to point to media-specific EPA databases to acquire additional tabulated listing of whether other databases contain information about

data. This is the link with other EPA data systems. that facility.

Federal Reporting Data A national system containing an inventory of public water supplies in NEIC can acquire source information and location, service areas,

 System support of the Safe Drinking Water Act. It contains identification and geographic areas, and historical information. Information on

 (FRDS) statistical summary information for each public water supply including noncompliance and enforcement actions can also be obtained.

type of data collected or monitored, and analytical procedures.

NPDES Industrial Permit An NEIC-operated and maintained system which contains criteria, NEICcan access the specific data for any of 12 criteria, ranking factors,

 Ranking System ranking factors and calculation mechanisms to rate (1) a facility's and resultant ratings for each of the 12, as well as the total ranking for

effluent discharge pollution otential, including toxics; (2) health impact anyor all of the three potentials. NEIC can access the data by Effluent

potential; and (3) water quality impact potential which is then used in Guideline subcategory, as well as by Standard Industrial Classification

PCS for major/minor differentiation. Code.

Permit Compliance System A national computerized management information system containing an NEIC can acquire limit/measurement data for individual discharges or

 (PCS) inventory of NPDES permits, milestone forecasts, inspection events, whole facilities, facilities within a geographic area, sources of a specific

effluent measurement data, effluent and compliance violations and industrial classification and the Quarterly Noncompliance Report

enforcement actions. (QNCR) by Region by State. Information on effluent and compliance

schedule violations and enforcement actions/tracking can be obtained.
E-8 AGENCY INTERNAL INFORMATION SYSTEMS 

NOT CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

Pollution Prevention A national computerized information network providing access to NEICcan use the system to stay abreast of policy and program activities

 Information Exchange technical, programmetric, and legislative pollution prevention atHQ and the regions as well as industry specific technical information.

 System information. Includes a calendar of events, case studies, directory of Case studies of enforcement settlements incorporating pollution

 (PIES) contacts, an interactive message center, and document ordering prevention projects can be obtained.

capability.

Potentially Responsible An NEIC-automated system, which links PRPs from SETS, SFFAS, and This system is used as an inventory of specific generators or parent

 Parties System Techlaw files. corporations identified at and among hazardous waste sites.

Records of Decision System A full-text national database of over 2,000 Superfund Records of NEIC can retrieve a specific ROD by searching onsite name or ID

 (RODS) Decision number or can identify all RODS having selected media, contaminants,

or remedies.

Resource Conservation and Conversion to RCRIS from HWDMS is currently underway on a per NEICis planning to use the RCRIS National Oversight Database, which

 Recovery Information state basis. RCRIS is scheduled to be operating as the official is derived from the 10 regional RCRIS databases. Information available

 System (RCRIS) automated source of information on RCRA program activities by will include handler identification, permitting/closure/post-closure,

January 1992. compliance monitoring and enforcement, and corrective action and

program management data.

Site Enforcement Tracking A centralized national database tracking notice letters which have been NEICuses this database to supplement currently available responsible

 System (SETS) sent to potentially responsible parties. party information.

STORET A national database containing water quality data for some 1,800 unique NEIC can access and produce reports of water quality, including

parameters from over 200,000 collection points including lakes, groundwater quality, for specific geographical areas, for specific

streams, wells, and other waterways. New STORET software provides parameters (e.g., organics), and for a specific station.

an interface between STORET and PCS data.

Superfund Financial Nationally available computer application designed to calculate the NEIC has used the SFFAS too provide financial assessments for

 Assessment System remedial costs a responsible party can theoretically afford to pay for potentiallyresponsible parties in response to HQ/Regional requests for

 (SFFAS) cleanup of a site. Three common financial ratios are used to make this several sites including the following: Seymour Recycling (several

determination: (1) Cash flow to total debt, (2) total debt to equity, and hundred responsible parties), Re-Solve (more than 200 responsible

(3) the interest coverage ratio. parties), and MIDCO I and II (approximately 100 responsible parties).
AGENCY INTERNAL INFORMATION SYSTEMS E-9

CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

TECHLAW Evidence Audit Under contract to NEIC, TECHLAW provides document inventories, NEICcan access the document inventories to substantiate the universe

 System evidence profiles and generator transaction databases. TECHLAW has ofinformation on which a case is based, to demonstrate the efficacy and

produced, for about 30 cases, document inventories containing key word utility of an evidence audit system in enforcement case preparation and

searching capability of all related records contained in Regional office, to provide demonstrative examples of actual applications to establish

Headquarters, Department of Justice and/or office files. For sample protocols and implementation procedures.

related activities, including those of the contractor laboratories,

TECHLAW produces sample tracking profiles. For hazardous waste

sites, TECHLAW has produced document inventories of available

records dealing with the generators, volume and type of water, etc.

Toxic Release Inventory A national database containing information directly related to the Toxic NEICcan generate reports for facilities, geographic areas, and chemical

 System (TRIS) Chemical Release Inventory Report Form "R." Two types of compounds listing facility and chemical information with emissions,

submissions will be present: Partial (facility and chemical information) releases, activities, etc., for complete submissions.

and Complete (offsite transfers, emission and releases, waste treatment,

waste minimization, activities and uses, and maximum amount stored

onsite).
E-10 AGENCY INTERNAL INFORMATION SYSTEMS 

NOT CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

FIFRA/TSCA Tracking System A PC-based regional system that tracks FIFRA and TSCA NEIC has limited access through Headquarters. The national

(FTTS) inspections, samples, case reviews, enfrocement actions, referrals, database is used to produce facility listings showing inspections,

and State grants. A national database is planned for FY89. enforcement data, and product lists.
PUBLICLY EXTERNAL INFORMATION SYSTEMS E-11

CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

Bibliographic Retrieval The BRS system contains more than 100 databases with unique files in BRS is used mainly as a backup when the DIALOG system is

 System (BRS) the chemical technology and standards and specification areas. unavailable but is also used to obtain chemical manufacturing and

production information for specific compounds.

Chemical Information The CIS is a collection of scientific and regulatory databases containing NEIC uses the CIS to locate mass spectral information environmental

 System (CIS) numeric, textual and some bibliographic information in the areas of fate information, formulation ingredients for commercially available

toxicology, environment, regulations, spectroscopy, and chemical and products such as pesticides and waste disposal methods for hazardous

physical properties. substances.

Colorado Alliance of The CARL system includes the catalogs of the member libraries, an CARLis searched by NEIC staff for general reference, to locate books,

 Research Libraries index of over 10,000 periodicals, a full text encyclopedia, Choice book and to identify articles and documents.

 (CARL) reviews, and a bibliography of GPO publications.

DataTimes DataTimes provides online access to numerous full-text databases, DataTimes is a source of national environmental news. Newspaper

including newspapers, wire services, and Dow Jones News/Retrieval. databases from all regions are updated daily.

DIALOG Information The DIALOG system contains more than 330 databases covering a NEIC uses the DIALOG databases to obtain: (1) expert witness

 Services, Inc. variety of disciplines: Science, technology, engineering, social sciences, information,including biographies, publications authored, congressional

business, and economics. The databases contain more than testimony; (2) up-to-date pollution control technology for hazardous

120,000,000 records and are regularly updated to provide the most waste, air and water; and (3) business information such as corporate

recent information. officers, subsidiaries, and line of business.

Dun and Bradstreet Dun and Bradstreet, a credit-reporting firm, provides business NEIC uses the Dun and Bradstreet system to locate corporate

information reports for privately- and publicly-owned companies and information such as business done by the company, company history,

government activity reports which list Federal contracts, grants, fines, financial condition, subsidiaries, and corporate officers for privately-held

and debarments for specific companies. companies.

Groundwater On-Line The National Groundwater Information Center Database is a NEICaccesses GWOL to locate publications on groundwater topics and

 (GWOL) bibliographic database containing references to materials on to verify or locate groundwater experts.

hydrogeology and water well technology with emphasis on reports or

projects sponsored by EPA.
E-12 PUBLICLY EXTERNAL INFORMATION SYSTEMS 

CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

Justice Retrieval and Inquiry The Justice Retrieval and Inquiry System (JURIS) is a legal information JURIS is used to identify relevant caselaw and current statutory and

 System (JURIS) system developed by the Department of Justice. It contains the complete regulatory environmental information.

text of Federal cases, statutes, and regulations in addition to selected

DOJ Appellate Court Briefs, trial briefs, and the full text of the U.S.

Attorneys' Manual. The full-text of the NEIC Consent Decree repository

has been added to JURIS. JURIS also contains comuterized legislative

histories of the environmental statutes, model pleadings, and other work

products of DOJ attorneys, and EPA General Counsel opinions from

1970 to the present.

NEXIS/LEXIS NEXIS/LEXIS contains the full text of more than 600 business and NEIC uses NEXIS/LEXIS to keep informed of the latest Agency and

general news files, including the Washington Post and New York Times. environmental news stories and to track corporate and financial status

Statutory and case law are provided for computer-aided legal research. of U.S. businesses involved in environmental litigation.

National Library of The National Library of Medicine system contains more than NEIC uses the NLM system to obtain: (1) toxicity and environmental

 Medicine (NLM) 5,000,000 references to journal articles and books in the health health effects information for individual chemicals or groups of

sciences published since 1965. chemicals, (2) physical and chemical properties of specific

compounds, (3) analytical methodology references, and (4) National

Cancer Institute carcinogenic bioassay information.

Scientific and Technical The STN system contains databases covering chemistry, science, and NEIC uses the STN databases to obtain: (1) chemical structures and

 Information Network engineering that are regularly updated to provide the most recent synonyms for a chemical compound, (2) analytical methods and

 (STN) information. STN has strong coverage of European and Japanese techniques, and (3) toxicity of a chemical compound.

scientific databases.

NEIC can acquire source information and location, service areas,

geographic areas, and historical information. Information on

noncompliance and enforcement actions can also be obtained.

VU/TEXT VU/TEXT contains the full text of 30 daily newspapers, including NEIC uses VU/TEXT to keep informed of the latest Agency and

nationally recognized papers such as the Boston Globe, Chicago environmental news stories and to track corporate and financial status

Tribune, Detroit Free Press, Philadelphia Inquirer, and regional papers of U.S. businesses involved in environmental litigation.

such as the Orlando Sentinel, the Sacramento Bee and the San Jose

Mercury News.
PUBLICLY EXTERNAL INFORMATION SYSTEMS E-13

CURRENTLY ACCESSIBLE BY NEIC

System Description Application

(03/92)

WESTLAW The WESTLAW system contains legal information, including the full NEIC uses WESTLAW toidentify precedent cases, to locate all cases

text of cases from the Supreme Court, U.S. Court of Appeals, U.S. decided by a certain judge or all cases represented by a certain

District Courts, and State Courts. It contains Shepards' Citations, attorney and to locate possible expert witnesses.

regulatory information froom the Code of Federal Regulations,

Federal Register, U.S. Code and the expert witness information from

Forensic Services Directory.
F-1

Subject to revision *

(03/92)

PROJECT PLAN *******

MULTI-MEDIA COMPLIANCE INVESTIGATION

XYZ COMPANY, MIDTOWN, ANYSTATE

INTRODUCTION

The XYZ Company operates a plant at 1234 Anywhere Road in the middle part of Midtown,

Anystate [Figure 1]. EPA Region XX requested that NEIC conduct a multi-media compliance

investigation of the XYZ plant. The specific objectives of the investigation are to determine

compliance with:

Water pollution control regulations under the Clean Water Act (CWA), including

wastewater pretreatment requirements and Spill Prevention and Control

Countermeasures (SPCC) regulations

Hazardous waste management regulations, under the Resource Conservation and

Recovery Act (RCRA) and the Anystate Administrative Code (AAC)

Underground Storage Tank (UST) regulations

Air pollution control regulations under the Clean Air Act (CAA), Federal

Implementation Plan (FIP), and the Federally approved portions of the State

Implementation Plan (SIP)

Toxic Substances Control Act (TSCA) PCB regulations

Superfund Amendments Reauthorization Act, Title III, Emergency Planning and

Community Right-To-Know Act (EPCRA) regulations

Compliance with other applicable environmental regulations may be determined by the NEIC.

Region XX personnel will evaluate compliance with TSCA Sections 5, 8, 12, and 13 during the NEIC

inspection, and report their findings separately.

BACKGROUND

XYZ began operating the plant in 1492. Compounds A, B, and C; chemicals D, E, and F;

pesticides G and H, and special containers for these materials have been manufactured on site. In

1942, some operations (formerly under the Middle Division) were acquired by a company known as

"Newage, Inc." The remaining XYZ plant currently manufactures water soluble specialty items, and

conducts research and development.

The XYZ plant employs a total of about 1,300 people, in a Primary Division, a Secondary

Division, a Tertiary Division, and R and D Laboratory. The Primary Division manufactures

compounds A, B, and C (240 tons in 1990). Raw materials for the compounds are purchased from
F-2

(03/92)

an outside source. The Secondary Division makes chemicals and pesticides under numerous brand

names (180 tons in 1990), and the Tertiary Division makes special containers for these materials (3

million containers in 1990). Research and development are conducted by R and D Laboratory.

The EPA Region XX Environmental Compliance Division, Midtown District Office (MDO),

conducted a multi-media inspection of the XYZ plant during the first quarter of 1991. The MDO

inspection report identified concerns with wastewater control, hazardous waste management,

documentation, and spill prevention control.

Approximately 1.2 million gallons of wastewater per day are discharged to the Midtown

Wastewater Treatment Plant (MWTP) of Midtown, Anystate. There are two direct National

Pollutant Discharge Elimination System discharges (001 and 002) to the Midtown River at this

facility. Additionally, sewered plant effluent discharge is regulated by the MWTP pretreatment

standards, and the Federal effluent limitations and standards for the Compounds, Chemicals,

Pesticides and Containers point source category. The R and D Laboratory conducts the Company's

effluent analyses.

Violations of the MWTP pretreatment ordinance effluent limitations have occurred for solids,

and the toxic standards. MWTP is concerned with data indicating the discharge of solids and toxics

J, K, and L from the plant. XYZ also may have modified their pretreatment plant without obtaining

a construction permit required by the Anystate Environmental Resources Department (AERD).

XYZ submitted the original RCRA Part A permit application on November 15, 1980. The

application listed 19 hazardous waste management units, including 4 container storage areas, 10

storage tanks, and 5 storage surface impoundments. AERD is responsible for monitoring hazardous

waste activities.

The facility's June 1990 contingency plan lists 14 above ground and 22 underground tanks on

site. The tanks range in size from 2,000 to 50,000 gallons, with the majority between 5,000 and

20,000 gallons. These tanks are located in a tank farm area and near production areas.

The plant emits both volatile organics and particulates. There is no volatile organic

constituent emission control equipment. Particulate emissions are controlled by three dust collectors.

Five wet scrubbers are used to control fugitive particulate emissions when mixing bags of dry raw

materials in reaction vessels. Air emissions are regulated by "Anystate Permits and Air Pollution

regulations including AERD Operating Permits. EPA also promulgated a FIP on February 14, 1991.

On August 31, 1983, EPA Region XX conducted a PCB sampling inspection at the plant.

XYZ was fined for violations, including cracks in the floor of the PCB storage area, not conducting

monthly inspections, no annual document, and not properly marking PCB transformers.

The Toxic Release Inventory (TRI) for this plant lists emissions of A, B, C, and D. The TRI

also lists various inorganics, including E, F, G, and H.

INVESTIGATIVE METHODS

Investigation objectives will be addressed by:
F-3

NEIC Policies and Procedures Manual, revised August 1991 *

(03/92)

Compilation and review of EPA, AERD, and MWTP database and file information

Meetingswith EPA Region XX personnel to discuss investigation specifics including:

objectives, logistics, and potential sampling locations

An on-site inspection

Meetings with Region XX personnel took place (date). The on-site inspection, scheduled to

begin (date), will include:

Discussing plant operations with facility personnel

Reviewingand copying, as appropriate, facility documents including operating plans

and records

Visually inspecting plant facilities including processing, material storage, and waste

handling facilities

Samplingand analysis of appropriate waste streams and/or any unknown/unauthorized

discharges to assist in compliance determination, as follows:

(a) MWTP will collect and analyze wastewater samples for organic constituents

during the week of (date). All QA/QC will be the responsibility of MWTP.

(b) NEIC will collect wastewater samples for volatile organic constituent analysis

during the on-site inspection. NEIC will conduct the associated analysis.

After completing the on-site inspection, NEIC investigators will brief appropriate EPA

Region XX Program and Office of Regional Counsel per-sonnel regarding preliminary

findings.

A draft report, including any analytical data, will be written by NEIC personnel and

transmitted to EPA Region XX personnel for review and comment.A final report will be

completed about two weeks after Region V comments are received. If analytical data are not

available by (date), they will be presented in an addendum to the report.

NEIC personnel will be available for any additional support required (negotiations,

litigation, etc.) until noncompliance issues are resolved.

DOCUMENT CONTROL PROCEDURES

NEIC document control procedures will be followed during the investigation. TSCA **

"Notice of Inspection" and "Confidentiality" forms will be completed during the opening

conference. Documents and records obtained from the Company will be uniquely numbered
F-4

(03/92)

and listed on docu-ment logs. Photograph logs will also be maintained. A copy of the

document and photograph logs, with a Receipt For Samples/Document form, will be offered

to the Company prior to completion of the on-site inspection. Any documents declared to

be confidential business information pursuant to 40 CFR Part 2 will be so noted on the log

and secured appropriately.

SAFETY PROCEDURES

Safety procedures to be followed during the on-site inspection will comply with those

described in the attached safety plan [Appendix A], and established NEIC safety procedures.

These procedures are contained in EPA 1440 - Occupational Health and Safety Manual (1986

edition), Agency orders and applicable provisions of the NIOSH/OSHA/USCG/EPA Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities. The

Company's safety policies will also be reviewed and followed.

TENTATIVE SCHEDULE

(date) Region XX will notify facility of inspection (verbally and in writing)

(date) Initiate on-site inspection

(date) Brief Region V regarding preliminary findings

(date) Draft report to Region V
(03/92)

F-5

APPENDIX

NEIC 

SAFETY PLAN 

FOR

HAZARDOUS SUBSTANCES RESPONSES AND FIELD INVESTIGATIONS

The OSHA Hazardous Waste Site Worker Standards (29 CFR 1910.120) and EPA protocols require

certain safety planning efforts prior to field activities. The following format is aligned with these

requirements. Extensive training and certifications are required in addition to this plan.

PROJECT: NEIC Reporting Code: 

Project Coordinator: Date: 

Branch Chief: Date: 

On Scene Coordinator or Supervisor:

 

 

Health and Safety Manager:

Approval: Date: 

DESCRIPTION OF ACTIVITY

If any of the following information is unavailable, mark "UA"; if covered in project plan, mark "PP".

Site Name: 

Location and approximate size: 

Description of the response activity and/or the job tasks to be performed:

 

 

Duration of the Planned Employee Activity: 

 

Proposed Date of Beginning the Investigation: 

Site Topography: 

Site Accessibility by Air and Roads: 
(03/92)

F-6

2

HAZARDOUS SUBSTANCES AND HEALTH HAZARDS

INVOLVED OR SUSPECTED AT THE SITE

Fill in any information that is known or suspected

Areas of Concern Chemical and Identity of Substance

Physical Properties and Precautions

Explosivity: 

 

 

Radioactivity: 

 

 

Oxygen Deficiency: 

(e.g., Confined Spaces) 

 

Toxic Gases: 

 

 

Skin/Eye Contact Hazards: 

 

 

Heat Stress: 

 

 

Pathways from site for hazardous substance dispersion: 

 

 

WORK PLAN INSTRUCTIONS

A. Recommended Level of Protection: A B C D 

Cartridge Type, if Level C: 

 

Additional Safety Clothing/Equipment: 

 

 

 

 
(03/92)

F-7

3

Monitoring Equipment to be Used: 

 

 

 

 

CONTRACTOR PERSONNEL:

Number and Skills 

 

 

CONTRACTOR SAFETY CLOTHING/EQUIPMENT REQUIRED: 

 

 

Have contractors received OSHA required training and certification? 

(29 CFR 1910.120) 

Yes Not Required 

(If "yes", copy of training certificate(s) must be obtained from contractor)

B. Field Investigation and Decontamination Procedures:

Decontamination Procedures (contaminated protective clothing, instruments, equipment, etc.): 

 

 

Disposal Procedures (contaminated equipment, supplies, disposal items, washwater, etc.): 

 

 
(03/92)

 F-8

4

IV. EMERGENCY CONTACTS

Hospital Phone No.: 

Hospital Location: 

 

 

EMT/Ambulance Phone No.: 

Fire Assistance Phone No.: 

NEIC Health and Safety Manager: Steve Fletcher - 303/236-5111

 FTS 776-5111

Radiation Assistance: Wayne Bliss, Director

 Office of Radiation Programs

 Las Vegas Facility (ORP-LVF)

 702/798-2476

 FTS 545-2476

 
G-1

(03/92)

Appendix G

MULTI-MEDIA INVESTIGATION EQUIPMENT CHECKLIST

DHL/Federal Express forms

Packing/shipping labels

Packing tape/fiber tape

Custody tape/evidence tape

Coolers with TSCA locks

Cartridges for respirators (14 organic vapor)

Extra vehicle keys

TSCA lock and bar on rear closet doors of van

Accordian folders

Yellow Post-It notes

Box paper clips

Staplers

Boxes of staples

Xerox machine

Related plugs for xerox machine to connect to trailer outlets

Alter 220 extension plug-in to adapt to SCA hookup

Boxes rubber bands

Xerox paper

Writing paper

Box of pens

Box of pencils

Pencil sharpener

Large eraser

Calculators

Lap top/notebook computer

Desk lamps, preferably flat bases

TSCA/PCB forms (CBI green sheets, Confidentiality Notice, Declaration of CBI ,

Notice of Inspection)
G-2

(03/92)

Cameras, Polaroid and Nikon 35mm

Boxes film for each (Ecktachrome slides for 35mm)

300-Foot tape

Brunton compass

Two way radios and chargers

Flashlights

Tyvex suits, disposable gloves

Rulers

Desk blotters

Chain-of-custody forms

Ice chests for sample shipping (environmental)

Packing material

NEIC Procedures manual for shipping of samples and TSCA material

Sample receipt forms

Sample tags

Microfilm copier

Microfilm copier film

Tool box

Steel sounding tape

SS weight for tape and SS wire

Boxes Kimwipes

Clipboards

Carpenter's chalk

Sonic sounder

12-Foot tape measure

Garbage bags

Pair NUKs boots

Folding 6-foot ruler

Colored pens/pencils/markers

8-oz. jars

Quart size jars
G-3

(03/92)

Plastic Ziplocks

Glass thieves

Plastic/metal scoops

Shovel

pH paper/meter

HNu meter

Bacon bombs

Sampling gear

Media-specific sampling gear
H-1

(03/92)

Appendix H

SUGGESTED RECORDS/DOCUMENTS REQUEST

GENERAL PROCEDURE

The records evaluation generally will proceed in two stages. First, various

records to be reviewed will be identified. Generally, these records will date back 3years from

the present, but some of the records will be for specific time periods. Second, according to

a schedule to be developed onsite, the records will be reviewed and copies requested, as

needed. Alternately, document copies will be requested for later review after the

investigation.

GENERAL

1. Facility map and plot plan

2. Organizational chart

3. Description of facility and operations

CLEAN AIR ACT (CAA)

1. Plot plan of the facility showing location and identification of all major

process area and stacks

2. Brief descriptions for all process areas to include:

(a) Simplified process flow diagrams

(b) Pollution control equipment

3. Permits and/or variances for air emission sources and related

correspondence

4. Consent Decrees/Orders/Agreements still in effect

5. Sulfur in fuel records for boiler/space heater fuel

6. Stack tests (most recent) and stack and ambient monitoring data (last 2

quarters)

7. Performance specification tests for continuous emission monitors

8. 1989 state emissions inventory report

9. Procedures/manuals for the operation and inspection of pollution control

equipment

10. Required notices for asbestos demolition/renovation projects in progress

or completed within the last three years
H-2

(03/92)

11. Hours of operation and process weight rates for the automated multi-base

propellant (AMB) manufacturing facility (last 2 years)

12. Annual volatile organic compounds (VOC) emissions from the AMB

facility including associated VOC storage tanks (last 2 years). Describe

the method(s) used to determine emissions. If estimates have been made

show calculations and assumptions.

13. Annual AMB facility inspections reports (last 2 years)

14. Annual AMB facility VOC emissions control reports (last 5 years)

15. Non-compliance AMB reports (last 2 years)

16. List air pollution sources, not covered in items 1 - 8, such as combustions

units larger than 2.5 million BTUs/hr heat inputs and incinerators (other

than the RCRA incinerators)

RESOURCE CONSERVATION AND RECOVERY ACT (RCRA)

1. List of description of all hazardous waste storage areas, including above

and below ground tanks, temporary tanks, drum storage areas, pits, ponds,

lagoons, waste piles, etc., that have been operated at any time since

November 1980.

2. RCRA Part A Permit Application

3. Manifests for all offsite shipments of hazardous waste, including

notifications and certifications for Land Disposal Restricted (LDR)

hazardous waste.

4. Determinations, data, documents, etc., supporting the Base's decision that

wastes are hazardous, non-hazardous or LDR hazardous wastes for al

solid wastes, as defined under RCRA. Also provide information used in

the determination of the EPA hazardous waste codes applied to al

hazardous wastes.

5. Notices to the owner or operator of the disposal facility receiving waste

subject to land disposal restrictions

6. Schedule and inspection logs for inspection of safety and emergency

equipment, security devices, monitoring equipment, and operating and

structural equipment

7. Satellite accumulation area inspection records
H-3

(03/92)

8. Employee training records for hazardous waste handlers, including job title

and description, name of each employee and documentation of the type

and amount of training each has received.

9. Current Contingency Plan

10. Current Closure Plan

11. Copy of the Waste Analysis Plan (WAP) currently in use and effective date

of the plan. If the current WAP was not effective on January 1, 1986

provide copies of all WAPs and revisions. 

12. Narrative of procedures used to store hazardous wastes prior to shipment

offsite for treatment, recycle, reclamation and/or disposal. Include a list

of all storage and satellite storage areas and the quantity of waste stored

at each area.

13. Summary reports and documentation of all incidents that required

implementation of the contingency plan for the past 3 years

14. The Generator Biennial and Exception Reports

15. Reports and analytical results of any groundwater quality and groundwater

contamination surveys

16. Closure plan for units undergoing closure

17. Inspection schedule(s) for all hazardous waste management units, such as

storage areas and tank systems, and all inspection logs, remediations

document, etc, for the last three years.

18. Description of the Facility’s hazardous waste minimization plan

19. Copy of the annual report for the last three years

20. Copy of notification to EPA of hazardous waste activity to secure

generator ID number

21. Copy of Clean Closure Demonstration, if any.

22. List of all identified or suspected Solid Waste Management Units on the

Base's property

23. List of all locations where hazardous wastes are generated including types,

quantity, and EPA hazardous waste codes of wastes

24. Notification of any releases to the environment and follow-up reports
H-4

(03/92)

25. Notifications for underground storage tanks

26. Copy of written tank integrity assessment certified by a professional

engineer

27. Agreements with local emergency response authorities or documentation

of refusal by the emergency response authorities to enter into such

agreements.

28. Design specifications for any underground storage tanks installed after

May 1985

29. Characteristics of materials removed from facility septic systems, including

analytical results

30. Wastes burned in the RCRA incinerators, including waste analysis

31. Instruments used to monitor incinerator combustions and emissions

32. Incinerator inspection records (last year)

TOXIC SUBSTANCES CONTROL ACT - PCB WASTE MANAGEMENT

1. Copies of the "Annual Document" required by 40 CFR 761.180(a) for the

last 3 years

2. Records of monthly inspections of storage areas subject to 40 CFR 761.65

3. The SPCC plan prepared for storage areas subject to 40 CFR 761.65

4. All spill reports

5. Records of inspection and maintenance for PCB transformers for the last

3 years

6. Transformer inventory and PCB analyses

7. Reports or other documentation identifying the extent of any PCB spills

and any remediation plans

8. Certifications of Destruction for PCB Transformer disposal

9. Manifests for PCB items shipped offsite

CLEAN WATER ACT (CWA)

1. All NPDES permit(s) applications
H-5

(03/92)

2. NPDES permit effective for last 3 years

3. Discharge monitoring reports (DMRs) for last 3 years

4. Any correspondence regarding exceedences of discharge limitations

5. Spill Prevention Control and Countermeasure (SPCC) plan and Prevention

Preparedness and Contingency (PPC) plan

6. Description or lies of all sewer system monitoring stations and analyses

conducted on samples collected (include monitoring frequency).

7. Written calibration procedures for flow measuring and recording

equipment; includes industrial sewers, storm sewers, sanitary sewers or

any other sewers on the Plant's property. 

8. Description of waste water treatment plant, sewer system and storm water

by-pass system

9. Consent decrees/agreements still in effect

COMPREHENSIVE ENVIRONMENTAL RESPONSE COMPENSATION

AND LIABILITY ACT (CERCLA)

1. Specific CERCLA questions will be provided during the inspection.

EMERGENCY PLANNING COMMUNITY RIGHT-TO-KNOW ACT (EPCRA)

1. Notification to the State Emergency Response Commission

2. Designated facility emergency coordinator

3. Written follow-up emergency release notifications

4. Material Safety Data Sheet report to the Commission and fire department

5. Tier I/Tier II submittal to the Commission and fire department

6. EPA Form R submittals for the past 3 years

7. Documentation supporting the Form R submittals for the past 3 years

FEDERAL INSECTICIDE, FUNGICIDE, AND RODENTICIDE ACT (FIFRA)

1. Restricted pesticide use and application records

2. Pesticide handlers training and certification records
H-6

(03/92)

3. Pesticide inventory and storage area inspection records

SAFE DRINKING WATER ACT

1. Description of water supply system including supply, storage capacity,

distribution, and monitoring system
(03/92)

I-1

Appendix I

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

Multi-Media

Facility Multi-Media Survey Region I

Inspector's Multi-Media Checklist Region II

RCRA

Pre-Inspection Worksheet October 1993 RCRA Inspection Manual

Land Ban Checklist Questions October 1993 RCRA Inspection Manual

General Site Inspections Information October 1993 RCRA Inspection Manual Form

General Facility Checklist October 1993 RCRA Inspection Manual

Land Disposal Restrictions List October 1993 RCRA Inspection Manual

RCRA Hazardous Wste Tank Inspection October 1993 RCRA Inspection Manual

Transporter's Checklist October 1993 RCRA Inspection Manual

Containers Checklist October 1993 RCRA Inspection Manual

Surface Impoundments List October 1993 RCRA Inspection Manual

Waste Piles Checklist October 1993 RCRA Inspection Manual

Land Treatment Checklist October 1993 RCRA Inspection Manual

Landfills Checklist October 1993 RCRA Inspection Manual

Incinerators Checklist October 1993 RCRA Inspection Manual

Thermal Treat. List (part 264) October 1993 RCRA Inspection Manual

Groundwater Monitoring Checklist October 1993 RCRA Inspection Manual

Waste Information Worksheet October 1993 RCRA Inspection Manual

Comprehensive GW Monitoring Evaluation March 1988 RCRA GW Monitoring

Systems Manual

Comparison of Permit & Oper. Condition April 1989 RCRA Incinerator

Inspection Manual

Visual Assess. & Audit Activities April 1989 RCRA Incinerator

Inspection Manual

List-Inspection New RCRA Incinerators April 1989 RCRA Incinerator

Inspection Manual

Landfill and Dump Site Analysis April 1989 RCRA Incinerator

Inspection Manual

Chemical Facility Analysis June 1988 RCRA Incinerator

Inspection Manual

RCRA Land Disposal Rest. Gen. List Feb. 1989 RCRA Incinerator

Inspection Manual

Transporter Checklist Feb. 1989 RCRA Incinerator

Inspection Manual
I-2

Appendix I (cont.)

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

(03/92)

RCRA Land Restrictions-T, S, & D Req. Feb. 1989 RCRA Incinerator

Inspection Manual

Solvent Identification Checklist Feb. 1989 RCRA LDR

Inspection Manual Tan k

Systems-Inspection Checklist Sept. 1988 RCRA Tank

Inspection Manual

Tank Systems-Small Quantity Gen. Sept. 1988 RCRA Tank

Inspection Manual

Tank-Document of General Inspection Sept. 1988 RCRA Tank

Requirements Inspection Manual

Tank System-Existing Tank System Sept. 1988 RCRA Tank

Inspection Manual

Tank System-New Tank System Sept. 1988 RCRA Tank

Inspection Manual

Tank Systems and Ignitable Waste Sept. 1988 RCRA Tank

Inspection Manual

Tank System-Release Response Sept. 1988 RCRA Tank

Inspection Manual

Tank System-Visual Tank Inspection Sept. 1988 RCRA Tank

Inspection Manual

Tank-Closure, Post-Closure Call Sept. 1988 RCRA Tank

Inspection Manual

Landfill & Dump Site Analysis June 1988 RCRA Tank

Inspection Manual

Chemical Facility Analysis June 1988 RCRA Tech. Case Devel

Guidance

RCRA LDR Inspections Sept. 1990 Prepared by Region V

Health & Safety Inspection Form Feb. 1991 OWPE

TSCA

TSCA Screening Inspection Checklist Region VI

Established Inspections Narrative Jan. 1989 Pesticides Inspection

Report Manual

CWA

Record, Report, & Schedule List 1985 CWA

Compliance/Enforcement

Guidance

Sample Evaluations List Section 309 1985 CWA

Compliance/Enforcement

Guidance
I-3

Appendix I (cont.)

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

(03/92)

NPDES

NPDES Compliance Inspection Report NPDES Compliance

Monitoring - Overview

Mobile Bioassay Equipment List NPDES Compliance

Monitoring - Biomonitoring

Records, Reports, & Schedule List June 1984 NPDES Compliance

Inspection Manual

Facility Site Review Checklist June 1984 NPDES Compliance

Inspection Manual

Permittee Sampling Inspection June 1984 NPDES Compliance

Inspection Manual

Flow Measurement Inspection List June 1984 NPDES Compliance

Inspection Manual NPDES

Biomonitoring Evaluation June 1984 NPDES Compliance

Form Inspection Manual

Laboratory Quality Assurance List June 1984 NPDES Compliance

Inspection Manual

UIC

Inspections Checklist (UIC) Feb. 1988 UIC Inspection Manual

for U.S. EPA

Pressure Gauge Inspection List Feb. 1988 UIC Inspection Manual

for U.S. EPA

Flow Measurement Inspection List Feb. 1988 UIC Inspection Manual

for U.S. EPA

Inspections Checklist (UIC) Feb. 1988 UIC Inspection Manual

for U.S. EPA

Pressure Gauge Inspection List Feb. 1988 UIC Inspection Manual

for U.S. EPA

Flow Measurement Inspection List Feb. 1988 UIC Inspection Manual

for U.S. EPA

Air

Electric Arc Furnaces (I) List May 1977 Steel Producing Electric

Arc Furnaces

Opacity Observations (II) List May 1977 Steel Producing Electric

Arc Furnaces

Performance Test Observation (III) May 1977 Steel Producing Electric

Arc Furnaces

Operation of Electric Arc Furnace (IV) May 1977 Steel Producing Electric

Arc Furnaces

Fume Collection System (V) Checklist May 1977 Steel Producing Electric

Arc Furnaces
I-4

Appendix I (cont.)

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

(03/92)

Fabric Filter Collectors (VI) Checklist May 1977 Steel Producing Electric

Arc Furnaces

Scrubbers (VI) Checklist May 1977 Steel Producing Electric

Arc Furnaces

Electrostatic Precipitators (VIII) List May 1977 Steel Producing Electric

Arc Furnaces

Tank Inspection Checklist April 1977 Volatile Hydrocarbon

Storage Tanks

Sewage Sludge Incinerators - During Feb. 1975 Sewage Sludge Incinerators

Performance Test

Sewage Sludge Incinerators - After Feb. 1975 Sewage Sludge Incinerators

Performance Test

Municipal Incinerators - During Feb. 1975 Municipal Incinerators

Performance Test

Municipal Incinerators - After Feb. 1975 Municipal Incinerators

Performance Test

Secondary Brass & Bronze Smelters - Jan. 1977 Secondary Brass & Bronze

During Performance Test Ingot Production Plants

Secondary Lead Smelters - During Jan. 1977 Secondary Lead Smelters

Performance Test

Basic Oxygen Process Furnace - Jan. 1977 Basic Oxygen Process

During Performance Test Furnaces

Performance Test of Portland Cement Sept. 1975 Portland Cement Plants

Plants

Periodic Check of Portland Cement Sept. 1975 Portland Cement Plants

Plant

Steam-Electric Generators - During Feb. 1975 Fossil-Fuel Fired Steam

Performance Test Generators

Steam-Electric Generation - After Feb. 1975 Fossil-Fuel Fired Steam

Performance Test Generators

Municipal Incinerators Checklist June 1973 Combustion & Incineration

Sources
APPENDIX I

MULTI-MEDIA CHECKLISTS
I-6

Appendix I (cont.)

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

(03/92)

J-1

Table 1

INVESTIGATION AUTHORITY UNDER THE MAJOR ENVIRONMENTAL ACTS

CAA - § 114(a)(2)

". . .the Administrator or his authorized representative, upon presentation of his credentials - shall have

a right of entry to, upon, or through any premises of such person or in which any records required to be

maintained. . .are located, and may at reasonable times have access to and copy any records, inspect any

monitoring equipment and method. . .and sample any emissions. . .."

CWA - § 308(a)(4)(B)

". . .the Administrator or his authorized representative. . .upon presentation of his credentials - (i) shall

have a right of entry to, upon, or through any premises in which an effluent source is located or in which

any records required to be maintained. . .are located, and (ii) may at reasonable times have access to and

copy any records, inspect any monitoring equipment or method. . .any sample any effluents which the

owner or operator of such source is required to sample. . .."

RCRA - § 3007(a)

". . .any such person who generates, stores, treats, transports, disposes of or otherwise handles or has

handled hazardous wastes shall upon request of any. . .employee or representative of the Environmental

Protection Agency. . .furnish information relating to such wastes and permit such person at all reasonable

times to have access to, and to copy all records relating to such wastes."

". . .such employees or representatives are authorized. . .to enter at reasonable times any establishment

or other place where hazardous wastes are or have been generated, stored, treated, or disposed of or

transported from; to inspect and obtain samples from any person of any such wastes and samples of any

containers or labeling for such wastes."

- § 9005(a)(1)

". . .representatives are authorized. . .to enter. . .inspect and obtain samples. . .

TSCA - § 11(a)(b)

". . .any duly designated representative of the Administrator, may inspect any establishment. . .in which

chemical substances or mixtures are manufactured, processed, stored, or held before or after their

distribution in commerce and any conveyance being used to transport chemical substances, mixtures, or

such articles in connection with distribution in commerce. Such an inspection may only be made upon
I-7

Appendix I (cont.)

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

(03/92)

the presentation of appropriate credentials and of a written notice to the owner, co-operator, or agent

in charge of the premises or conveyance to be inspected."

FIFRA - § 8 and 9

". . .any person who sells or offers for sale, delivers, or offers for delivery any pesticide. . .shall, upon

request of any officer or employee of the Environmental Protection Agency. . .furnish or permit such

person at all reasonable times to have access to, and to copy: (1) all records showing the delivery,

movement, or holding of such pesticide or device, including the quantity, the date of shipment and

receipt, and the name of the consignor and consignee. . .."

". . .officers or employees duly designated by the Administrator are authorized to enter at reasonable

times, any establishment or other place where pesticides or devices are held for distribution or sale for

the purpose of inspecting and obtaining samples of any pesticides or devices, packaged, labeled, and

released for shipment and samples of any containers or labeling for such pesticides or devices."

"Before undertaking such inspection, the officers or employees must present to the owner, operator, or

agent in charge of the establishment. . .appropriate credentials and a written statement as to the reason

for the inspection, including a statement as to whether a violation of the law is suspected."

". . .employees duly designated by the Administrator are empowered to obtain and too execute warrants

authorizing entry. . .inspection and reproduction of all records. . .and the seizure of any pesticide or

device which is in violation of this Act."

SDWA - § 1445

". . .the Administrator, or representatives of the Administrator. . .upon presenting appropriate credentials

and a written notice to any. . .person subject to. . .any requirement. . .is authorized to enter any

establishment, facility, or other property. . .in order to determine. . .compliance with this title, including

for this purpose, inspection, at reasonable times, of records, files, papers, processes, controls, and

facilities or in order to test any feature of a public water system, including its raw water source."

CERCLA (Superfund) - § 104(e)

"Any officer, employee, or representative of the President. . .is authorized to . . .

require any person.. .to furnish. . .information or documents relating to. . .identification, nature, and

quantity of material. . .generated, treated, stored, or disposed. . .or transported. . .nature or extent of

a release. . .ability of a person to pay. . ."

". . .access. . .to inspect and copy all documents or records. . ."
I-8

Appendix I (cont.)

MULTI-MEDIA CHECKLISTS

TITLE DATE SOURCE

(03/92)

". . .to enter. . .place or property where any hazardous substance or pollutant or contaminant may be or

has been generated, stored, treated, disposed of, or transported from. . .needed to determine the need

for response. . ."

". . .to inspect and obtain samples. . ."
(03/92)

Table 2 J-2

SUMMARY OF FEDERAL ENVIRONMENTAL ACTS REGARDING RIGHT OF ENTRY, INSPECTIONS, SAMPLING, TESTING, ETC.

Act/Section Representative of Credentials Permitted Records Splits Samples Results

Designated Presentation Notice of Inspection Sampling Inspection of Sample Agency's Analytical

Receipt for Return of

Clean Water Act -

§ 308(a)

Yes, auth. by Required Not required Yes (effluents which the Yes Not required Not required Not required

Administrator owner is required to sample)

FIFRA - § 8(b)

(Books and Records)

Yes, designated by Required Written notice Access and copy records Yes N/A N/A N/A

Administrator required with reason and

suspected violation note

FIFRA - § 9(a)

(Inspections of

Establishments)

Yes, designated by Required Written notice Yes See § 8 Required, if Required Required,

Administrator required with reasons for requested promptly

inspection

Clean Air Act - §

114(a)

Yes, auth. by Required Not required except notify Yes Yes Not required Not required Not required

Administrator State for SIP sources

RCRA -

§ 3007(a)

§ 9005(a)

Yes, designated by Not required Not required Yes Yes Required, if Required Required,

Administrator requested promptly

SDWA -

§ 1445(b)

Yes, designated by Required Written notice required, Yes Yes Not required Not required Not required

Administrator must also notify State with

reasons for entry if State

has primary enforcement

responsibility

TSCA -

§ 11(a, b)

Yes, designated by Required Written notice (The Act does not mention Yes N/A N/A

Administrator required samples or sampling in this

section. It does state an

inspection shall extend to all

things within the premise of

conveyance.)

CERCLA -

§ 104(e)

Yes, designated by Not required Upon reasonable notice for Yes Yes Required, if Required Required,

President information request promptly

(03/92)
(03/92)

K-1

Appendix K

PHOTOGRAPHS

When movies, slides, or photographs are taken which visually show the effluent or emission source

and/or any monitoring locations, they are numbered to correspond to logbook entries. The name of

the photographer, date, time, site location, and site description are entered sequentially in the logbook

as photos are taken. A series entry may be used for rapid the aperture settings and shutter speeds for

photographs taken within the normal automatic exposure range. Special lenses, films, filters, or other

image enhancement techniques must be noted in the logbook. Chain-of-custody procedures depend

upon the subject matter, type of film, and the processing it requires. Film used for aerial

photography, confidential information, or criminal investigations require chain-of-custody procedures.

Adequate logbook notations and receipts may be used to account for routine film processing. Once

developed, the slides or photographic prints shall be serially numbered corresponding to the logbook

descriptions and labeled.

MICROFILM

Microfilm is often used to copy documents that are or may later become TSCA Confidential

Business Information (CBI). This microfilm must be handled in accordance with the TSCA CBI

procedures (see Appendix I for additional information and forms). Table C-1 is the NEIC procedure

for processing microfilm containing TSCA CBI documents.
(03/92)

K-2

Table K-1

NEIC PROCEDURE FOR MICROFILM 

PROCESSING OF TSCA CBI DOCUMENTS

1. Kodak Infocapture AHU 1454 microfilm shall be used for filming all TSCA CBI documents.

2. Obtain packaging materials and instructions from the NEIC Document Control Officer or Assistant, including:

Preprinted shipping labels

Chain-of-custody records

Custody seals

Double envelopes

Green TSCA cover sheets

TSCA loan receipt

3. Prepare each roll of microfilm for shipment to the processor.

Enclose the film in double-wrapped packages

Place a green TSCA cover sheet in the inner package

Place a TSCA loan receipt in the inner package

Complete a Chain-of-Custody Record, place the white copy in the inner package and keep the pink copy

for the field files

Seal inner package with a custody seal and sign and date it

Mark the inner package:

"TO BE OPENED BY ADDRESSEE ONLY

TSCA CONFIDENTIAL BUSINESS INFORMATION"

4. Ship the film via Federal Express to the Springfield, Virginia Federal Express office and instruct that it is to be held for

pickup. USE SIGNATURE SECURITY SERVICE ONLY.

This practice requires the courier to sign, the station personnel to sign, and the delivery courier to sign.

Instruct the Springfield Federal Express office to hold the shipment for pickup and to notify:

Mr. Vern Webb

U.S. EPA/EPIC

Vint Hill Farms Station

Warrenton, Virginia 22186

(730)557-3110

5. Telephone Mr. Webb and inform him of the date shipped, the number of rolls of film, the air bill number, and your phone

number.

6. Telephone the NEIC Document Control Officer or Assistant and inform them.

7. Telephone Mr. Webb the following day and verify film quality to determine if repeat microfilming is necessary.

8. The pink copy of the Federal Express form, with the shipment cost and project number indicated, must be turned in to

the Assistant Director, Planning and Management. If you are in the field for an extended period of time (3 weeks or

more), the pink copies must be mailed to NEIC.
L-1

KEY PRINCIPLES AND TECHNIQUES FOR INTERVIEWING

The list of principles and techniques presented below is intended to highlight methods which can

be used by auditors to conduct effective interviews.

Planning the Interview

Iron out logistics

Define the desired outcome(s)

Organize thoughts and establish a general sequence for questioning

Opening the Interview

Introduce yourself and the purpose of the interview

Ensure appropriateness of time

Explain how information will be used

Conducting the Interview

Request a brief overview of the interviewee's responsibilities with respect to the audit

topic(s)

Ask open-ended questions (e.g., "what" or "how"), not obvious yes/no questions

(e.g., "do you", etc.)

Follow-up on issues which are unclear

Avoid making assumptions

Avoid leading questions

Provide feedback to interviewee questions, as appropriate, to ensure a level of

responsiveness to the interviewee.

Tolerate silences in order to allow the interviewee to formulate thoughts and

responses

Closing the Interview

Do not exceed the agreed-upon time limit without getting concurrence for an

extension

End on a positive note

Summarize your understanding of key points discussed to ensure accuracy

Documenting Interview Results

Establish the context of the interview (time, name of interviewee, protocol step)

Take notes of key points during the interview (do not attempt a verbatum transcript)

Summarize the outcome and overall conclusions at the end of the audit

Interpersonal Considerations

Use appropriate voice tone and inflection

Do not jump to conclusions
(03/92)

L-2

Interview Setting

Make sure the interviewee feels that there is sufficient privacy

When appropriate, conduct the discussion in the interviewee's work area

Try to keep it "one-on-one"

Minimize distractions

Non-Verbal Communication

Shake hands

Maintain eye contact

Keep the right distance

Mirror the interviewee
M-1

(03/92)

Appendix M

SAMPLING GUIDELINES

The value of samples as evidence to document/support a violation is contingent upon many factors

including: (1) the method by which samples are collected; (2) the selection of sample containers,

preserving samples after they are collected, and ensuring that proper holding times are adhered to

between sample collection and analysis; (3) the accuracy or validity of field measurements that are

taken in conjunction with that sampling; (4) the adequate decontamination of field sampling

equipment; (5) the degree to which appropriate notes or other documentation pertaining to sampling

operations are logged in a notebook; and (6) the labeling of samples and employing a suitable chainof-custody system. Most of these topics will be discussed in a relatively brief fashion in this section

of the document. For additional details, the reader should refer to any of the SOPs currently being

used by the Regions or NEIC. Other useful documents are program specific sampling/analytical

protocols, such as 40 CFR Part 136 (NPDES), SW 846 (RCRA), and the Technical Enforcement

Guidance Document (RCRA).

SAMPLE COLLECTION

Samples can generally be divided into two separate and distinct categories: (1) environmental

samples and (2) source or waste samples. The collection of both will probably be necessary during

most multi-media inspections. Environmental samples can include surface/runoff water, groundwater,

sediment, surface wipes, soil, etc. Source or waste samples can include discharges from permitted

outfalls, PCB oil from electrical equipment, RCRA regulated "hazardous waste", treatment residues,

leachate, etc. In the case of any toxic/hazardous materials, the inspectors should make every effort

to have the facility collet the sample for them. Sampling of either category can be accomplished by

collecting grab samples, composite samples, or both. The type of sample ultimately obtained will be

predicated on satisfying a legal requirement such as a permit which specifies a type of sample,

laboratory requirements, or ensuring that representativeness is achieved. A time-based composite

sample will usually require the use of an automatic sampler set to collect a series of discrete samples,

over the time period of interest. A spatially-based composite sample (actually a series of grab samples

blended together) and grab samples are collected by more conventional means and during a much
M-2

shorter time. Some type of dipper, scoop, auger, pump, corers, etc. can be used to collect a grab

sample.

Perhaps the two most important points, the investigators should keep in mind whenever sampling,

are identifying precisely where the sample will be collected and selecting the appropriate equipment

to collet the sample. From a collection standpoint, a sample must often be obtained such that it is

representative of the entire media. If the media is well mixed and homogenous, a single sample will

probably be adequate to ensure representativeness. If it is not well mixed, the investigator will have

to collect several samples at different locations, and composite them on an equally weighted or some

other basis or have each of the discrete samples analyzed. The total number of samples required will

largely depend upon the area/volume of the material and the degree of nonhomogeneity. Normally

in this case, the investigator will have to use a statistically random process to determine where the

samples should be collected. Laying out some type of imaginary grid to encompass the media to be

sampled and randomly selecting specific elements for sampling is one common method of ensuring

that bias is not introduced and that no other important statistic is compromised. In other cases, the

inspector must rely on a judgmental sampling approach, particularly in situations where a worst case

result is desired. In that situation, the inspector should look for signs of discoloration, wetness, waste

plumes or residue, dead vegetation, odor, or some other physical attribute or apply knowledge of the

situation (i.e., judgment) in an attempt too identify exactly where constituent concentrations are likely

to be highest. Other items that must be considered when selecting sampling sites are safety,

convenience, and accessibility. The investigators should not collect samples until they have adequate

knowledge of the site, through touring/observing, interviewing, etc. too make prudent decisions

regarding selection of sampling sites.

The second important point the investigator should remember is to use the proper equipment to

physically collect the sample. The equipment should either be unused or decontaminated to an extent

that it cannot impart any contamination to the sample itself. Moreover, it is important to select

sampling equipment made of the proper material. Wherever possible, the material should be inert

(i.e., teflon or stainless steel) and not contain, as its principal constituents, any of the same

constituents for which the samples will be analyzed. Lastly, the element of safety should not be

overlooked. One key example would be where the investigators need to sample a potentially

hazardous waste from a 55-gallon drum. Opening the drum must be carefully performed prior to

sampling.
M-3

(03/92)

SAMPLE CONTAINERS, PRESERVATION METHODS, HOLDING TIMES, BLANKS

In order for the samples to be properly analyzed in the laboratory, the field investigators must

follow certain accepted procedures relative to the containers they use, the preservation of the samples

at time of collection, the holding time limits which dictate the quickness in which the samples must

be transported to the laboratory, and the use of field blanks for QA purposes. Each of these

procedures can vary from matrix to matrix, parameter to parameter, and in some cases, from program

to program. All of this information pertaining to sample collection/handling is summarized in the

following two tables. One table corresponds to liquid samples and the other to nonliquid samples.

FIELD MEASUREMENTS

The acquisition of field data is customarily required whenever sampling is performed. A number

of in situ monitoring devices/meters are used for this purpose, each of which have certain applications

and limitations. These instruments are designed to withstand some rough handling without affecting

their stability or reliability. Parameters normally measured in the field include but, are not limited to,

dissolved oxygen, pH, temperature, and chlorine residual.
M-4

SAMPLE COLLECTION\HANDLING REQUIREMENTS - LIQUID SAMPLES

Parameter Type Size/Type Volume Preservation Times

Sample Container Minimum Holding Blanks

Bacteriological

Coliform, Fecal & T Grab 250 ml P,G 3/4 full Cool, 4 C - 0.2 ml, 10% 6-hr. Field (A)

sterilized Na2S2O3 added in lab

Inorganic

BOD 1000 ml P,G 400 ml Cool, 4 C 48-hr. None

COD 1000 ml P,G 200 ml Cool, 4 C - H SO to pH<2 28-day Acid

TSS 1000 ml P,G 100 ml Cool, 4 C 7-day None

TKN 1000 ml P,G 200 ml Cool, 4 C - H SO to pH<2 28-day Acid

Ammonia Cool, 4 C - H SO to pH<2 28-day Acid

Nitrite 1000 ml P,G 400 ml Cool, 4 C 48-hr. None

Nitrate Cool, 4 C 48-hr. None

NO2 MO3 1000 ml P,G 200 ml Cool, 4 C - H SO to pH<2 28-day Acid

Ortho Phosphorus 1000 ml P,G 200 ml Cool, 4 C 48-hr. None

Total Phosphorus 1000 ml P,G 200 ml Cool, 4 C - H SO to pH<2 28-day Acid

Oil & Grease Grab 1000 ml G only 1000 ml Cool, 4 C - H SO to pH<2 28-day Acid

Sulfide Grab 300 ml G Cool, 4 C - Zinc Acetate; NaOH to pH<9 7-day Field

Cyanide T & Amen Grab 1000 ml P 500 ml Cool, 4 C - NaOH to pH<12 14-day NaOH

Hex Chrome Grab 1000 ml P 300 ml Cool, 4 C 24-hr. Field

Mercury 1000 ml P 500 ml HNO to pH<2 28-day Acid

Other Heavy Metals 1000 ml P 500 ml HNO to pH<2 6-mo. Acid

2 4

2 4

2 4

2 4

2 4

2 4

3

3

3

Organic

Volatiles Grab 3-40 ml G vials 40 ml Cool, 4 C-HCI to pH<2, Dechlor 7 day-Unpres. Field (3)

Extract, P.P.s 2-1/2 gl G(ambr) 1000 ml Cool, 4 C-Dechlor w/1.0 ml NaS O 7 day

Extract Pest/Herb 2-1/2 gl G(ambr) 1000 ml Cool, 4 C-Dechlor w/1.0 ml NaS O 7 day Field (1)

Phenols 1-qt. G 1000 ml Cool, 4 C - H SO to pH<2 28 day Acid

PCB 1-40 ml G-vial 2 ml Cool, 4 C 7 day None

TOC 1000 ml P 200 ml Cool, 4 C - H SO to pH<2 28 day Acid

1

1

1

1

4 4

 w/25 mg/40 ml Ascorbic Acid 14 day-Pres.

2 2 3

2 2 3

2 4

2 4

2

2

2

TCLP

Volatiles Grab 3-40 ml G vials 40 ml Cool, 4 C 14 day None

Semi-Volatiles Qt. Mason Jar 500 ml Cool, 4 C 14 day None

Mercury 1000 ml P 500 ml Cool, 4 C 28 day None

Other Metals 1000 ml P 500 ml Cool, 4 C 180 day None

1

1

2

2

2

2

1 Teflon Lid Liners

2 To Etraction

3 Check for C1 Residual and Sulfides (lead acetate paper). If C1 is present, add ascorbic acid. If sulfide is present, remove with cadmium nitrate powder, filter 2 2

 and pH - 12 with NaOH.

4 For oil samples only. Water samples require 1000 ml and can be collected in a qt. mason jar with teflon lid liner.
M-5

(03/92)

SAMPLE COLLECTION\HANDLING REQUIREMENTS - NON-LIQUID SAMPLES

Parameter Type Size/Type Volume Preservation Times Blanks

Sample Container Minimum Holding

Inorganic

COD 8 oz. glass jar 5 gr. Cool, 4 C 28-days None

TKN 8 oz. glass jar 5 gr. Cool, 4 C 28 days None

Total Phosphorus 8 oz. glass jar 5 gr. Cool, 4 C 28 days None

Cyanide Grab 8 oz. glass jar 5 gr. Cool, 4 C 14 days None

Mercury 8 oz. glass jar 0.2 gr. Cool, 4 C 28 days None

Other Heavy Metals 8 oz. glass jar 0.2 gr. Cool, 4 C 6 mos. None

1

1

1

1

1

1

Organic

Volatiles Grab 2-40 ml G vials 40 ml Cool, 4 C 7 days Field (3)

Extract, P.P.s 8 oz. glass jar 100 gr. Cool, 4 C 10 days None

Extract Pest/Herb 8 oz. glass jar 100 gr. Cool, 4 C 10 days None

Phenols 8 oz. glass jar 100 gr. Cool, 4 C 28 days None

PCB 8 oz. glass jar 10 gr. Cool, 4 C 10 days None

1

1

1

1

1

3

2

2

2

TCLP

Volatiles Grab 2-40 ml G vials 40 ml Cool, 4 C 14 days None

Semi-Volatiles 8 oz. glass jar 200 gr.-wet Cool, 4 C 14 days None

Mercury 8 oz. glass jar 200 gr.-wet Cool, 4 C 28 days None

Other Metals 8 oz. glass jar combined Cool, 4 C 180 days None

1

1

1

1

3 2

2

2

2

1 Teflon Lid Liners

2 To Etraction

3 Pack Tightly
M-6

The instruments most often utilized in the field are listed below:

HNU PI-101 Fishing Equipment

Foxboro OVA-108 Shocker, Coffelt

Foxboro OVA-128 Electronics

Sampler, Discrete Locator, Cable

 Manning Magnetic, Brunson

Sampler, Discrete Instruments

 Microprocessor Calibrator, Digital

 Manning 0-20 OSL, Kurtz

Meter, pH Calibrator, Digital

 Ioananalyzer, 0-15 SLPM, Kurtz

 Portable, Beckman FIT Testing Apparatus,

Meter, pH and Temp. Portacount

 Recording Analytical Calibrator, High

 Measurements Volume, Kurtz

Meter, pH Recording Sampler, Discrete

 Remote Sampling Microprocessor, ISCO

 Analytical Flow Meter, ISCO

 Measurements Flow Metering Inserts, 

Meter, Conductivity ISCO

 Geonics Geiger Counter Ludlum

Apparatus, Breathing Gas Detector, HCN

 SCBA, MSA Bayer Diagnostic

Apparatus, Breathing Gastech, Personal

 Umbilical, MSA Model 6X91

Apparatus, Breathing Gastech Personal

 Umbilical, Survivar Model 6X86

Apparatus, Breathing Photoionization

 60 min/Biopack Detector, Micro

Ultrasonic Level/ Tip, HL-200

 Flow, Manning High Volume Air

Analyzer, Engine Sampler

 Exhaust, Chrysler Low Volume Air

 Corporation Sampler

Fluorometer, High Portable Generator

 Volume, Turner EMS4000, Honda

Flowmeter, Dipper Well Sampler

 Manning Pneumatic Pump

Sampler, Source, Recorder, Sound

 Stack, Misco Ultrasounic, Level

Sampler, Source, Well Depth Sounder

 Stack, Misco Conductivity Meter

 Glass ORSAT Analyzer

Meter, Water Current Stack Gas

 Marsh, McBirney
M-7

(03/92)

Although the above parameter-specific instruments, or their equivalent, should be used almost

exclusive, field personnel may occasionally utilize a multi-parameter instrument for the measurement

of all the above mentioned parameters with the exception of chlorine residual. The instrument is

manufactured by the Hydrolab Corporation and is designed specifically for use in the "field."

Proper calibration of these instruments is considered an essential ingredient of the

measurement process to ensure the collection of valid "field" data, In general, these instruments are

calibrated according to the manufacturer's recommended procedures. The pH meter, dissolved

oxygen meters, and the colorimeters are normally calibrated daily in the field, just prior to use.

Calibration of these instruments, according to the manufacturer's specifications, is normally sufficient

to ensure the collection of valid data eve when taking a number of measurements. However, if in the

field inspector's judgment, a drastic change in the field conditions occurs or if an instrument is

subjected to other than normal handling, the instrument should be recalibrated. The only exception

to the above procedures is that the multi-parameter instrument (Hydrolab) should only be calibrated

in a laboratory environment, just prior to being utilized in the "field."

EQUIPMENT DECONTAMINATION

When possible, the investigators should use new disposable sampling utensils such as plastic

scoops, stainless steel spatulas, glass colowassas or laboratory cleaned glass jars, since no additional

decontamination is needed for this equipment. Nonexpendable equipment must be decontaminated

before and after each use. This equipment includes, but is not limited to, shovels, teflon bailers, soil

augers (powered and hand operated), soil probes, buckets, automatic samplers, etc. The portion of

these sampling devices that come in direct contact with the sample must be washed with a soapy

water solution, using a non-phosphate laboratory cleaner and vigorous scrubbing (scrub brush). The

equipment may require disassembly to ensure that contamination is removed from all surfaces. Two

tap water rinses follow. A third and final rinse should consist of laboratory deionized organic free

water. In order to reduce the likelihood of cross-contamination due to equipment, sampling should
M-8

proceed from cleanest areas first to dirtiest areas last, whenever possible. Between sampling stations,

the equipment is decontaminated, as described above. At some point during the sampling effort,

deionized organic free lab water should be passed through or over the newly decontaminated

sampling equipment and then sampled to ensure that the decontamination procedure was effective.

This so-called equipment blank should be preserved, return to the laboratory using appropriate chainof-custody procedures, and analyzed for the same parameters as the actual samples. The above

decontamination procedure can be modified for specific parameters and condition, if deemed

necessary by the team leader.

Solvents should only be used if proper decontamination cannot be obtained with soapy water

(e.g., heavy petroleum products) or if specifically requested. If a solvent is used, the laboratory

analyzing the samples should be consult to ensure the solvent of choice will not interfere with the

analytical procedure or mask the results.

SAMPLE LOGGING

A sample log should be maintained in a bound log book which documents all samples that are

collected. This log should include a unique sample number (if needed), date, time, sample medium

(soil, liquid, etc.), preservative (if any), parameters, and location. Included with the log are any

observations made by the sampler that would otherwise identify the sample or conditions at the time

of sampling. If photographs are taken, that should also be noted in the field log book.

SAMPLE SPLITTING

Often, it will be necessary to collect duplicate samples or to split a sample in order to provide

the facility with a separate sample it can analyze on its own. In these situations, every effort should

be made to ensure that both samples are as identical as possible and should theoretically yield the

same results. Bulk samples (liquid) for parameters such as extractable organics, cyanide, nutrients,

PCB, metals, etc. may be collected in a larger container and alternately poured into the appropriate
M-9

(03/92)

sample containers. However, the liquid should be well mixed during the transfer. EPA normally

provides the sample containers.

Certain parameters may not be split using the above method (e.g., volatile organics, semivolatiles, and oil and grease) since these samples must be collected and analyzed in their original

container. This type of sample should not be distributed by splitting since it may cause air stripping

of the volatiles or, in the case of the oil and grease, a residue may adhere to the sample container and

cause an erroneous measurement. These parameters will necessitate collecting duplicate samples,

virtually at the same time and at the same place to assure homogeneity.

Samples of solid matrices such as sludge, soil, or sediment may be placed into a sufficiently

large container and either hand agitated and/or mechanically mixed with a blender, etc. to achieve a

homogeneous consistency, except for volatile or semi-volatile analyses. Individual samples may then

be placed in the appropriate containers.

Wipe samples (PCB), due to their nature, must be collected immediately adjacent to each

other with each party receiving a separate sample.

CHAIN-OF-CUSTODY

Since there are legal implications when sampling data is used as evidence, EPA must be able

to demonstrate that the samples were protected from tampering from the time of collection to the

time they are introduced as evidence. This demonstration is based on samples being in the possession

or custody of an EPA employee at all times, and it is documented by means of a chain-of-custody

record. Custody implies both physical possession as well as controlled access by locking in a secured

area. The chain-of-custody record indicates who had possessio at any given point in time and how

and when transfer of custody from one individual to another occurred.
M-10

Each sample container should be affixed with a sample tag to ensure chain-of-custody from

the sample location to the laboratory (see next section for further details). The tag contains the

sample location, the sampler's signature, preserved (Y or N), parameter(s), and sample type

(composite or grab) and it must be completely filled out using waterproof ink.

Pressure sensitive tape affixed to the container may also be used under certain circumstances

to identify the sample. Ink used to write on the container must be waterproof. At a minimum, the

label must contain the following information: location, date, time, sample number (if needed), and

preservative used. The sampler should be certain that the label is securely affixed to the outside of

the container and will not peel off during shipment.

The chain-of-custody record is comprised of sample tags and the record form itself. Both of

these are shown on the following pages. A sample tag should be completed for each sample by the

field sampler using waterproof ink, if possible. It should be affixed to the sample container in a secure

manner. The field sampler should also complete the chain-of-custody record form, appropriately

describing all samples that he/she was responsible for collecting. The same wording must be used on

both the tag and form, and care must be exercised to make sure that all the information in the chainof-custody record corresponds properly without discrepancies. While the samples are in his/her

custody, all necessary precautions should be taken by the field sampler to ensure that they are

adequately safeguarded. Whenever the possession of samples is transferred, the individuals

relinquishing and receiving will sign, date, and note the time on the record. The record will continue

to accompany the samples. At the completion of the process, a copy of all of the chain-of-custody

records will be provided to the team leader for filing.

TRANSPORTATION

All samples will be properly packed in suitable ice chests and transported back to the Regional

Laboratory via vehicle or private transport. Chain-of-Custody record forms should also be affixed

to the ice chests. The inspectors should always lock the vehicles in which samples are being
M-11

(03/92)

transported. There may be times when DOT regulations will have to be followed. At least one

member of the inspection team should review the DOT requirements prior to an inspection, and make

certain that they are complied with in cases where samples are unusually hazardous or travel through

tunnels or if confined/special areas are encountered.
N-1

40 CFR 268.40, 41, 42, and 43 contain the treatment standards. *

40 CFR 261 defines listed and characteristic wastes. **

(03/92)

Appendix N

LAND DISPOSAL RESTRICTIONS PROGRAM

BASIC PROGRAM

Land Disposal Restrictions (LDR), 40 CFR 268, are phased regulations prohibiting land

disposal of hazardous waste unless that waste meets the applicable treatment standards. Land

*

disposal includes but is not limited to placement in a landfill, surface impoundment, waste pile,

injection well, land treatment facility, salt dome formation, salt bed formation, underground mine or

cave, or placement in a concrete vault or bunker intended for disposal purposes. The applicable

treatment standards are expressed as either concentrations of contaminants in the extract or total

waste and as specified technologies.

The schedule for the different groups of waste is:

Solvents and Dioxins: banned from land disposal (unless treated) effective November

8, 1986 and November 8, 1988, respectively

"California List" Waste: This group includes liquid wastes containing metals, free

cyanides, polychlorinated biphenyls, corrosives (pH less than 2.0) and certain wastes

containing halogenated organic compounds. Solid hazardous waste containing

halogenated organic compounds are also included. These wastes were banned

effective July 8, 1987

"First, Second, and Third Third" Wastes: The remaining listed and characteristic

wastes were divided into thirds (see 40 CFR 268 for specific waste groupings). The **
N-2

(03/92)

first third wastes were banned effective August 8, 1988, second third June 8, 1989

and the third third May 8, 1990.

Newly Listed Wastes: New wastes that become listed after November 8, 1984 will

be banned on a case-by-case basis. There is no statutory deadline for determining

treatment standards.

The effective dates for banning these wastes from land disposal can be modified by several kinds of

variances. 40 CFR 268, Appendix VII includes all of the different effective dates for each type of

waste. Effective dates can be modified by any of the following:

National capacity variance

Case-by-case extension

Treatability variance

Equivalent method variance

No-migration petition

Surface impoundment exemption

Generators of restricted waste are required to:

Determine whether they generate restricted wastes

Determine waste treatment standards

Determine whether waste exceeds treatment standards

Provide for appropriate treatment and/or disposal

Satisfy documentation, recordkeeping, notification, certification, packaging, and

manifesting requirements

Meet applicable requirements if the generator is or becomes a TSDF
N-3

(03/92)

Treatment, storage, and disposal facilities are required to:

Ensure compliance with generator recordkeeping requirements when residues

generated from treating restricted wastes are manifested off-site

Certify that treatment standards have been achieved for particular wastes prior to

disposal

To become familiar with all of the requirements of LDR, refer to 40 CFR 268 and the Land

Disposal Restrictions - Summary of Requirements, OSWER 9934.0-1A, February 1991 for a

complete discussion.

EVALUATING COMPLIANCE

LDR requires substantial documentation certifying waste types, required treatment, and

notifying waste handlers of the regulatory requirements. Interviews and field observations also may

be helpful.

Interview may cover:

Who fills out the LDR notifications and certifications

Frequency of sampling and methods used for sampling and analysis

Documentation required to be kept by a generator include:

LDR notifications and certifications

Waste analysis plan if treating a prohibited waste in tanks or containers

Documentation required for TSDFs include:
N-4

(03/92)

Storage

- Waste analyses and results

- Waste analysis plan (provision for determining whether a waste is prohibited)

Treatment

- Waste analysis plan

Land Disposal Facility

- Generator and treatment facility notifications and certifications

- Waste analysis plan

Field/visual observations related to LDR requirements can be incorporated into a general

storage facility inspection. LDR requirements can be incorporated into a general storage facility

inspection. LDR wastes cannot be stored longer than 1 year unless the facility can show that the

storage is solely for the purpose of accumulation of sufficient quantities of hazardous waste necessary

to facilitate proper recovery, treatment, or disposal. Wastes that are placed in storage prior to the

effective date of the restrictions for that waste are not subject to the LDR restrictions on storage.

A quick check of accumulation dates on labels will determine how long a drum has been in storage.

Be sure to note the hazardous waste number.

Refer to the Land Disposal Restrictions - Inspection Manual, OSWER 9938.1A, February

1989, for a complete discussion on how to conduct an LDR inspection. Keep in mind that this

document has yet to be updated with information regarding the Third Third wastes.
O-1

(03/92)

Table 1

SOURCE SUBPART (40 CFR Part 60)

EFFECTIVE DATE OF STANDARD AND POLLUTANTS SUBJECT TO NSPS

Source Subpart Effective Date Pollutant

Fossil-fuel-fired steam generators D August 17, 1971 Particulate matter, sulfur dioxide,

 constructed after August 17, 1971 nitrogen oxides

Fossil-fuel-fired-steam generator Da September 18, 1978 Particulate matter, sulfur dioxide,

 constructed after September 18, 1978 nitrogen dioxide 

Industrial-Commercial-Institutional steam Db June 19, 1984 Particulate matter, sulfur dioxide,

 generating units constructed after nitrogen oxides 

 June 19, 1984

Municipal incinerators E August 17, 1971 Particulate matter

Portland cement plants F August 17, 1971 Particulate matter

Nitric acid plants G August 17, 1971

Sulfuric acid plants H August 17, 1971 Sulfur dioxide, acid mist (sulfuric acid)

Asphalt concrete plants I June 11, 1973 Particulate matter

Petroleum refineries J June 11, 1973 Particulate matter, carbon monoxide, 

 sulfur dioxide

Storage vessels for petroleum liquids K June 11, 1973 VOC

Ka May 18, 1978 VOC

Volatile organic liquid storage vessels Kb July 23, 1984 VOC

Secondary lead smelters L June 11, 1973 Particulate matter

Secondary brass and bronze ingot M June 11, 1973 Particulate matter

 production plants

Iron and steel plants (basic oxygen furnace) N June 11, 1973 Particulate matter

Iron and steel plants (secondary Na Januray 20, 1983 Particulate matter

 emissions from oxygen furnaces)

Sewage treatment plants (incinerators) O June 11, 1973 Particulate matter

Primary cooper smelters P October 16, 1974 Particulate matter, sulfur dioxide

Primary zinc smelters Q October 16, 1974 Particulate matter, sulfur dioxide

Primary lead smelters R October 16, 1974 Particulate matter, sulfur dioxide

Primary aluminum reduction plants S October 23, 1974 Fluorides

Phosphate fertilizer industry TUV October 22, 1974 Fluorides

 (listed as five separate categories) WX

Coal preparation plants Y October 24, 1974 Particulate matter

Ferro-alloy production facilities Z October 21, 1974 Particulate matter, carbon monoxide

Steel plants (electric arc furnaces) AA October 21, 1974 Particulate matter

Steel plants, electric arc furnaces and AAa August 17, 1983 Particulate matter

 argon-oxygen decarburization vessels

Kraft pulp mills BB September 24, 1976 Particulate matter, TRS

Glass plants CC June 15, 1979 Particulate matter

Grain elevators DD August 3, 1978 Particulate matter

Metal furniture surface coating EE November 28, 1980 VOC

Stationary gas turbines GG September 24, 1976 Nitrogen oxides, sulfur dioxides

Lime plants HH May 3, 1977 Particulate matter

Lead acid battery plants KK January 14, 1980 Lead

Metallic mineral processing plants LL August 24, 1982 Particulate matter

Auto and light-duty truck, surface MM October 5, 1979 VOC

 coating operation

Phosphate rock plants NN September 21, 1979 Particulate matter

Ammonium sulfate plants PP February 4, 1980 Particulate matter

Graphic arts industry QQ October 28, 1980 VOC

Pressure sensitive tape manufacturing RR December 30, 1980 VOC

Appliance surface coating SS December 24, 1980 VOC

Metal coal surface coating TT January 5, 1981 VOC
O-2

(03/92)

Table 1 (cont.)

SOURCE SUBPART (40 CFR Part 60)

EFFECTIVE DATE OF STANDARD AND POLLUTANTS SUBJECT TO NSPS

Source Subpart Effective Date Pollutant

Asphalt roofing plants UU November 18, 1980; Particulate matter

 May 26, 1981

Synthetic organic chemicals VV January 5, 1981 Performance standards

Beverage can surface coating WW November 26, 1980 VOC

Bulk gasoline terminal XX December 17, 1980 VOC

New residual wood heaters AAA July 1, 1988 Particulate matter

Rubber tire manufacturing industry BBB January 20, 1983 VOC

Vinyl/urethane coating FFF January 18, 1983 VOC

Petroleum refineries GGG January 4, 1983 Performance standards

Synthetic fiber plants HHH November 23, 1982 VOC

Synthetic organic chemicals III October 21, 1983 VOC

 (air oxidation unit processes)

Petroleum dry cleaners JJJ September 21, 1984 VOC

Onshore natural gas processing plants KKK June 24, 1985 VOC

Onshore natural gas processing plants LLL October 1985 SO2

Synthetic organic chemicals NNN December 30, 1983 VOC

 (distillation operations)

Nonmetallic mineral processing plants OOO August 1, 1985 Particulate matter

Wool fiberglass insulation PPP February 25, 1985 Particulate matter

 manufacturing plants

Petroleum refineries (wastewater systems) QQQ May 4, 1987 VOC

Magnetic tape coating SSS January 22, 1986 VOC

Industrial surface coating, plastic

 parts for business machines TTT January 8, 1986 VOC

Polymeric coating of supporting

 substrates facilities VVV April 30, 1987 VOC
O-3

(03/92)

Table 2

NSPS SOURCES REQUIRING CEM

Source Subpart Effective Date Monitor

Fossil-fuel-fired steam generator D 08/17/71 opacity, SO2, NOx, O2, or CO2

Fossil-fuel-fired electric utilities Da 09/18/71 opacity, SO2, NOx, O2, or CO2

Nitric acid plants G 08/17/71 NOx

Sulfuric acid plants H 08/17/71 SO2

Petroleum refineries (FBCCU) J 06/11/73 opacity, CO, SO2, H2S

Claus sulfur recovery unit J 10/04/76 opacity, CO, SO2, H2S

Primary copper smelters P 10/16/74 opacity, SO2

Primary zinc smelters Q 10/16/74 opacity, SO2

Primary lead smelters R 10/16/74 opacity, SO2

Ferroalloy production facilities Z 10/21/74 opacity

Electric arc furnaces AA 10/21/74 opacity

Kraft pulp mills BB 09/24/76 opacity, TRS

Lime manufacturing plants HH 05/03/77 opacity

Phosphate rock plants NN 09/21/79 opacity

Flexible vinyl and urethane FFF 01/18/83 VOC

 coating and printing

Onshore natural gas processing LLL 10/01/85 SO2/T/TRS

 plants
O-4

(03/92)

Table 3

SOURCE SUBJECT TO TITLE 40 CFR Part 61)

NATIONAL EMISSIONS STANDARDS FOR HAZARDOUS AIR POLLUTANTS

Pollutant Subpart Source

Radon-222 B Underground uranium mines

Beryllium C Extaction plants

Ceramic plants

Foundries

Incinerators

Machine shops

Beryllium D Rock motor firing

Mercury E Ore processing plants

Chlor-alkali plants

Sludge incinerators

Sludge drying plants

Vinyl chloride F Ethylene dichloride plants

Vinyl chloride plants

Polyvinyl chloride plants

Radionuclides H DOE facilities

Radionuclides I Facilities licensed by the Nuclear

Regulatory Comission and Federal facilities

not covered by Subpart H

Benzene (leaks) J Equipment in benzene service (plants 

designed to produce more than 

1,000 megagrams of benzene per year)

Radionuclides K Elemental phosphorus plants

Benzene L Coke by-product recovery plants

Asbestos M Asbestos mills

Manufacturing

Demolition and renovation

Spraying

Fabrication

Waste disposal
O-5

(03/92)

Table 3 (cont.)

SOURCE SUBJECT TO TITLE 40 CFR Part 61)

NATIONAL EMISSIONS STANDARDS FOR HAZARDOUS AIR POLLUTANTS

Pollutant Subpart Source

Inorganic arsenic N Glass manufacturing plants

Inorganic arsenic O Primary copper smelters

Inorganic arsenic P Arsenic trioxide and metallic arsenic production

facilities

Radon-222 Q DOE facilities

Radon-222 R Phosphogypsum stacks

Radon-222 T Disposal sites of uranium mill tailings

Volatile hazardous air V Equipment leaks (fugitive pollutants (VHAP)*

emission sources)

Radon-222 W Licensed uranium mill tailings

Benzene Y Benzene storage vessels

Benzene BB Benzene transfer operations

Benzene FF Benzene waste operations

* Volatile hazardous air pollutant (VHAP) means a substance regulated under this part for which a standard for

 equipment leaks has been proposed and promulgated. As of February 1, 1989, benzene and vinyl chloride are VHAPs.
O-6

(03/92)

Table 4

LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM

CAS CAS

 Number Chemical Name Number Chemical Name

75070 Acetaldehyde 67663 Chloroform

60355 Acetamide 107301 Chloromethyl methyl ether

75058 Acetonitrile 126998 Chloroprene

98862 Acetophenone 1319773 Cresols/cresylic acid (isomers and

mixture)

53963 2-Acetylaminofluorene 95487 o-Cresol

107028 Acrolein 108394 m-Cresol

79061 Acrylamide 106445 p-Cresol

79107 Acrylic acid 98828 Cumene

107131 Acrylonitrile 93747 2,4-D, salts and esters

107051 Allyl chloride 3547044 DDE

92671 4-Aminobiphenyl 334883 Diazomethane

62533 Analine 132649 Dibenzofurans

90040 o-Anisidine 96128 1,2-Dibromo-3-chloropropane

1332214 Asbestos 84742 Dibutylphthalate

71432 Benzene (including benzene from 106467 1,4-Dibhlorobenzene(p)

gasoline)

92875 Benzidine 91941 3,3-Dichlorobenzidene

98077 Benzotrichloride 111444 Dichloroethyl ether [Bis(2-chloroethyl)

ether]

100447 Benzyl chloride 542756 1,3-Dichloropropene

92524 Biphenyl 62737 Dichlorvos

117817 Bis(2-ethylhexyl)phthalate (DEHP) 111422 Diethanolamine

542881 Bis(chloromethyl)ether 121697 N,N-Diethyl aniline

(N,N-Dimethylaniline)

75252 Bromoform 64675 Diethyl sulfate

106990 1,3-Butadiene 119904 3,3-Dimethoxybenzidine

156627 Calcium cyanamide 60117 Dimethyl aminoazobenzene

105602 Caprolactam 119937 3,3'-Dimethyl benzidine

133062 Captan 79447 Dimethyl carbamoyl chloride

63252 Carbaryl 68122 Dimethyl formamide

75150 Carbon disulfide 57147 1,1-Dimethyl hydrazine
Table 4 (cont.)

LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM

O-7

(03/92)

CAS CAS

 Number Chemical Name Number Chemical Name

56235 Carbon tetrachloride 13113 Dimethyl phthalate

463581 Carbonyl sulfide 77781 Dimethyl sulfate

120809 Catechol 534521 4,6-Dinitro-o-cresol

133904 Chloramben 51285 2,4-Dinitrophenol

57749 Chlordane 121142 2,4-Dinitrotoluene

7782505 Chlorine 123911 1,4-Dioxane(1,4-Diethyleneoxide)

79118 Chloroacetic acid 122667 1,2-Diphenyl hydrazine

532274 2-Chloroacetophenone 106898 Epichlorohydrin(1-Chloro-2,3-

epoxypropane)

108907 Chlorobenzene 106887 1,2-Epoxybutane

510156 Chlorobenzilate 140885 Ethyl acrylate

100414 Ethyl benzene 80626 Methyl methacrylate

51796 Ethyl carbamate (Urethane) 101144 4,4-Methylene bis(2-chloroaniline)

75003 Ethy chloride (Chloroethane) 75092 Methylene chloride (Dichloromethane)

106934 Ethylene dibromide (Dibromoethane) 101688 Methylene diphenyl diisocyanate (MDI)

107062 Ethylene dichloride 101779 4,4'-Methylenedianiline

(1,2-Dichloroethane)

107211 Ethylene glycol 1634044 Methyl tert-butyl ether

15164 Ethylene iminie (Aziridine) 91203 Naphthalene

75218 Ethylene oxide 98953 Nitrobenzene

96457 Ethylene thiourea 92933 4-Nitrobiphenyl

75343 Ethylidene dichloride 100027 4-Nitrophenol

(1,1-Dichloroethane)

50000 Formaldehyde 79469 2-Nitropropane

76448 Heptachlor 684935 N-Nitroso-N-methylurea

118741 Hexachlorobenzene 62759 N-Nitrosodimethylamine

87683 Hexachlorobutadiene 59892 N-Nitrosomorpholine

77474 Hexachlorocyclopentadiene 56382 Parathion

67721 Hexachloroethane 82688 Pentachloronitrobenzene

(Quintobenzene)
Table 4 (cont.)

LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM

O-8

(03/92)

CAS CAS

 Number Chemical Name Number Chemical Name

822060 Hexamethylene-1,6-diisocyanate 87865 Pentachlorophenol

680319 Hexamethylphosphoramide 108952 Phenol

110543 Hexane 106503 p-Phenylenediamine

302012 Hydrazine 75445 Phosgene

7647010 Hydrochloric acid 7803512 Phosphine

7664393 Hydrogen fluoride 7723140 Phosphorus

(Hydrofluoric acid)

7783064 Hydrogen sulfide 85449 Phthalic anhydride 6

123319 Hydroquinone 1336363 Polychlorinated biphenyls (Aroclors)

78591 Isophorone 1120714 1,3-Propane sultone

58899 Lindane (all isomers) 57578 beta-Propiolactone

108316 Maleic anhydride 123386 Propionaldehyde

67561 Methanol 114261 Propoxur (Baygon)

72435 Methoxychlor 78875 Propylene dichloride

(1,2-Dichloropropane)

74839 Methyl bromide (Bromomethane) 75569 Propylene oxide

74873 Methyl chloride (Chloromethane) 75558 1,2-Propylenimine 

(2-Methyl aziridine)

71556 Methyl chloroform Quinoline

(1,1,1-Trichloroethane)

78933 Methyl ethyl ketone (2-Butanone) 106514 Quinone

60344 Methyl hydrazine 100425 Styrene

74884 Methyl iodide (Iodomethane) 96093 Styrene oxide

108101 Methyl isobutyl ketone (Hexone) 1746016 2,3,7,8-Tetrachlorodibenzo-p-dioxin

624839 Methyl isocyanate 79345 1,1,2,2-Tetrachloroethane

127184 Tetrachloroethylene Antimony compounds

(Perchloroethylene)

*

7550450 Titanium tetrachloride Arsenic Compounds (inorganic including

arsine)*

108883 Toluene Beryllium compounds*

95807 2,4-Toluene diamine Cadmium compounds*

584849 2,4-Toluene diisocyanate Chromium compounds*

95534 o-Toluidine Cobalt compounds*
Table 4 (cont.)

LIST OF HAZARDOUS AIR POLLUTANTS TO BE REGULATED UNDER AIR TOXICS PROGRAM

O-9

(03/92)

CAS CAS

 Number Chemical Name Number Chemical Name

8001352 Toxaphene (Chlorinated camphene) Coke oven emissions

120821 1,2,4-Trichlorobenzene Cyanide compounds*1

79005 1,1,2-Trichloroethane Glycol ethers*2

79016 Trichloroethylene Lead compounds*

95954 2,4,5-Trichlorophenol Manganese compounds*

88062 2,4,6-Trichlorophenol Mercury compounds*

121448 Triethylamine Fine mineral fibers3

1582098 Trifluralin Nickel compounds*

540841 2,2,4-Trimethylpentane Polycrylic Organic Matter4

108054 Vinyl acetate Radionuclides (including radon)5

593602 Vinyl bromide Selenium Compounds*

75014 Vinyl chloride

75354 Vinylidene chloride

(1,1-Dichloroethylene)

1330207 Xylenes (isomers and mixtures)

95476 o-Xylenes

108383 m-Xylenes

106423 p-Xylenes

 

 * Unless otherwise specified, these listings are defined as including any unique chemical substance that 

contains the named chemical (i.e., antimony, arsenic, etc.) as part of the chemical's infrastructure.
P-1

(03/92)

Appendix P

CONFIDENTIALITY NOTES AND DISCUSSIONS

The TSCA Notice of Inspection [Figure L-1] and Inspection Confidentiality Notice [Figure L-2] are

presented to the facility owner or agent in charge during the opening conference. These notices inform

facility officials of their right to claim as confidential business information, any information (documents,

physical samples, or other material) collected by the inspector.

Authority to Make Confidentiality Claims

The inspector must ascertain whether the facility official, to whom the notices were given, has the

authority to make business confidentiality claims for the company. The facility official's signature must be

obtained at the appropriate places on the notices certifying that he does or does not have such authority.

The facility owner is assumed too always have the authority to make business confidentiality

claims. In most cases, it is expected that the agent in charge will also have such authority.

It is possible that the officials will want to consult with their attorneys (or superiors in the

case of agents in charge) regarding this issue.

If no one at the site has the authority to make business confidentiality claims, a copy of the

TSCA Inspection Confidentiality Notice and Notice and Declaration of Confidential

Business Information form [Figure L-3] are to be sent to the chief executive officer of the

firm within 2 days of the inspection. He will then have 7 calendar days in which to make

confidentiality claims.

Notice of Inspection (Missing)

TSCA Inspection Confidentiality Notice (Missing)

Declaration of Confidential Business Information (Missing)
P-2

(03/92)

Appendix P (cont.)

The facility official may designate a company official, in addition to the chief executive

officer, who should also receive a copy of the notices and any accompanying forms.

Confidentiality Discussion

Officials should be informed of the procedures and requirements that EPA must follow in handling

TSCA confidential business information. The inspector should explain that these procedures were

established to protect the companies subject to TSCA and cover the following points during the discussion.

Data may be claimed confidential business information during the closing conference if a

person authorized to make such claims is on-site at the facility.

It is suggested that a company official accompany the inspector during the inspection to

facilitate designation (or avoidance, if possible) of confidential business data.

A detailed receipt for all documents, photographs, physical samples, and other materials

[Figure L-4] collected during the inspection will be issued at the closing conference.

An authorized person may make immediate declarations that some or all the information is

confidential business information. This is done by completing the Declaration of

Confidential Business Information form. Each item claimed must meet all four of the criteria

shown on the TSCA Inspection Confidentiality Notice.

Receipt for Samples and Documents (Missing)
P-3

(03/92)

Appendix P (cont.)

If no authorized person is available on-site, a copy of the notices, along with the Receipt for

Samples and Documents, will be sent by certified, return-receipt-requested mail to the Chief

Executive Officer of the firm and to another company official, if one has been designated.

Four copies are made of the Declaration of Confidential Information form and distributed to:

Facility owner or agent in charge

Other company official (if designated)

Document Control Officer

Inspection report
Q-1

(03/92)

Appendix Q

GLOSSARY OF TERMS AND ACRONYMS:

TOXIC SUBSTANCES CONTROL ACT SECTIONS 5 AND 8

SECTION 5. New Chemicals

(Note: TSCA does not regulate chemicals such as pesticides, drugs, cosmetics, explosives,

etc., which are regulated under separate acts.)

PMN Premanufacture Notification required for all "new" TSCA chemicals

(i.e., those not listed as TSCA Chemical Substances Inventory).

SNURs Significant New Use Rules require subsequent notification to EPA

when usage/exposure of existing chemical changes.

NOC Notice of Commencement to Agency is required before manufacture

begins (after PMN review period has expired).

TME Test Marketing Exemption from PMN requirement can be obtained

on application to and approval by EPA - usually subject to specific

restrictions.

LVE Low Volume Exemption from PMN requirement

PE Polymer Exemption from PMN requirement, a modified PMN

R & D Research and Development Exemption - automatic exemption, does

not require Agency review or approval.

Section 5(e) An administrative order limiting the manufacture, Order processing,

distribution, use and/or disposal of a chemical for which a PMN is

required because there is insufficient information to permit full

evaluation.

Bona fide Inquiry to Agency to determine whether a chemical is on the

confidential portion of the Inventory. A Bona fide should indicate

an interest or intent to commercially manufacture the subject

chemical.

Section 5(f) An administrative order or rule prohibiting/ limiting the Order/Rule

manufacture, etc., of a chemical for which a PMN is required

because there is a reasonable basis to conclude that such activities

present an unreasonable risk to health/environment.
Q-2

(03/92)

Section 8 Existing Chemicals

PAIR Preliminary Assessment Information Rules are promulgated under

Section 8(a) Level A and require reporting to Agency of production,

uses and exposure of specific chemicals or classes of chemicals.

ITC Interagency Testing Committee designates chemicals to be listed in

PAIR rules, as well as some of the chemicals in Section 8(d) rules.

ITC is established under Section 4(e) of TSCA. It also recommends

chemicals for inclusion in testing rules under Section 4(a).

CHEMICAL A listing compiled under Section 8(b) of TSCA of all chemicals

SUBSTANCES manufactured/ processed in U.S. that were manufactured, imported,

INVENTORY or processed in the period 1975-77. Chemicals for which PMN is

submitted are added to inventory when manufacturing/processing

commences (i.e., upon receipt of NOC). A major updating of the

inventory was undertaken in 1986, and will be repeated every 4

years thereafter.

CAIR Comprehensive Assessment Information Rule, a more detailed

reporting rule under Section 8(A) Level A (see PAIR