SOLID AND HAZARDOUS WASTE PROGRAM HAZARDOUS WASTE FIELD EMPLOYEES HANDBOOK CHAPTER 8 1.0 INTRODUCTION The primary purpose of this chapter is to provide procedural and technical guidance for conducting inspections of hazardous waste handlers regulated by Chapter 173-303 WAC and any necessary enforcement follow-up. Section 2.1 of Chapter 8 contains information on the different types of inspections hazardous waste personnel conduct; Section 2.2 discusses inspection frequency; Section 2.3- contains inspection procedure information; Section 

### 2.4 gives direction for preparing inspection reports; and Section 2.5, Enforcement Process, describes enforcement procedures and enforcement action format. 2.0 INSPECTIONS Ecology and the EPA adhere to a Memorandum of Agreement (MOA) which characterizes the working relationship between the two agencies. Specific details of this relationship are further specified in the annual State/EPA Agreement (SEA). The SEA defines the number of inspections. closures. permitting work. and regulatory and policy enhancements that Ecology will complete during the upcoming year. Additionally, Ecology develops a state annual plan which not only includes those elements of the SEA, but additional "state only" objectives. Since the above documents establish the framework for all dangerous waste management activities undertaken by Ecology during a given year, they should be reviewed by all inspectors on an annual basis. There are several types of inspections that hazardous waste staff may conduct. Many of these have been defined by EPA and are required at the state level to maintain authorization.- Generally,

-numbers and types of facility inspections are specified in the SEA and state annual plan. The major types of inspections conducted by Ecology are as follows: 2.1 Types of Inspection 2.1.1 Comprehensive Evaluation Inspection (CEl) A CEl is an evaluation of the handler's (generator, transporter, or treatment, storage, or disposal facility) compliance with Chapter 173- 303 WAC and any permit requirements. It is intended to evaluate the handler's compliance with all applicable requirements. The inspection includes a characterization of the facility's activities identifying types of hazardous and solid wastes on site and units which generate, treat, store, or dispose of hazardous and/or solid wastes. The inspection includes an examination of records and other documents required by the rules. This should include manifests, waste analysis plans. groundwater sampling and analysis plans, well system sampling data where applicable, assessment monitoring plans where applicable, 3-9-1training plans, contingency plans, closure/post-closure plans, and compliance with land disposal restriction requirements. Contingency and training plans should be reviewed for adequacy. Closure/post-closure plans should be reviewed for adequacy including cost estimates. This is particularly important when closure of the facility is imminent. Other documents should be reviewed ·to assure at least the significant requirements of the regulations are met. All applicable checklists, must be filled out for each inspection. For example, if a facility is a generator and a TSD, all activities at the handler must be evaluated and the checklists for generator and TSD must be completed. A CEI can result in identification'of the need for more ccmprehenstve inspections,**sampling~** or the**n~ed** to review, a docUment in gre'ater detaiL " ;' Comprehensive evaluation inspections conducted at final status facilities differ:'from .inspections at**'int~rim' st.it~s**  facUities in that the

, ". 1·. '," , " : inspection review is evaluated against the written permit requirements racher ichan the state dangerous waste regulatLcns, It,is incumbent upon the inspector to carefully review the permit requirement before undertaking a final status facility inspection.
Table 

### 2.1 , I TSD COMPREHENSIVE EVALUATION INSPECTION (CEI) Pre1nspection Activities .", File and permit: review', coordination, hazard 'identification;'equipment assembly, and travel 1",.

. Inspection Activities' ",' Facility document/plan review Facility**walk~through** \ .**~.' Post-inspect~on**  Activities Complete checklist/report Develop compliance recommendation Lab analysis Compliance assistance to facility, CEl Total (TSD): 108 hours

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e ! Table 2.2 GENERATOR (WITH LAND BAN) COMPREHENSIVE EVALUATION INSPECTION (CEI) Preinspection Activities File review, coordination, hazard identification, equipment assembly, and travel , Inspection Activities Facility document/plan review Facility walk-through Postinspection Activities Complete checklist/report Develop compliance recommendation Lab analysis Compliance assistance to facility CEI Generator Total: 60 hours
2.1.2 Comprehensive Groundwater Monitoring Evaluation (CME) A,CKE is a detailed evaluation of the adequacy of the design and operation of a facility's groundwater monitoring system. When a CME is conducted at a facility, a CEI should also be conducted during the same fiscal year. Evaluation of the groundwater monitoring system design should be conducted by a hydrogeologist'or a' professionalwithcomparabte experience and should include the review of the owner/operator characterization of the hydrogeology beneath hazardous and solid waste management units (SYMUs); monitoring well placement/depth/spacing; and well design and construction. It is essential that the CME ensure that the owner/- operator has designed an adequate groundwater monitoring system. In addition, an integral part of'the CME is the rev'iew of the operation of the groundwater system through an evaluation of the owner/operator's sampling and analysis plan and implementation. CMEs should be scheduled, when possible, to coincide with owner/operator sampling events to permit the field evaluation of'sampling techniques. Inspectors should collect splits or conduct independent state sampling (page 15 has a discussion of safety considerations when sampling) as a random check of groundwater qualitY data and at any wells which have indicated releases to support enforcement for corrective action. A comparison of EPA/state and owner/operator analytical results can be used to assess laboratory accuracy and establish the reliability of owner/operator submitted data.

3-9-3For interim status facilities, the CME should evaluate whether a facility operating under detection monitoring should be operating under assessment**monit~ring.** For final status facilities, the CME should evaluate whether detection**monitoring~** compliance monitoring, or corrective action monitoring is the appropriate approach. If determined necessary, the inspector should develop the scope of a follow-up case development investigation which**sh~uld** include additional sampling. CMEs at assessment monitoring facilities include, in addition to the aforementioned evaluations, a detailed examination of the owner/operator's assessment monitoring plan and field implementation of the plan.
'Table 2.3' COMPREHENSIVE GROUNDWATER MONITORING' EVALUATION (CME) Preinspection Activities' File review, coordination, hazard identification, equipment**assemb~y,** "and travel Inspection Activities Inspect monitoring wells Evaluate sampling program Collect samples

. Postinspection Activities Evaluate data results Final evaluation and report Lab'anaiysis ' , " CME Total: 220 hours

, , 2;1.3 Operating and Maintenance Inspection (04K) An O&M. inspection is

### anev~iuation of the

### ade~~cy,:of a facility's implementation of their groundwater**mon:it~ring** plan 'and should be conducted when'no substantial de'ficienc'ies were 'noted in,a previous CME or no substantial changes**~hfch** would affect**th~,hydrogeology** have occurred since the last CKE. ' This evaIuacLcn should'be conducted by a hydrogeologist and includes a review of**th~** sampling-and analysis plan and its operation. The inspector should observe the facility during a sampling event in order to evaluate their sampling technique. No split samples are required by EPA, however, they are recommended for a,check on ,the facility's analytical results. Anevaluation of the condition of the monitoring wells is also part of this inspection. 

### An O&K inspection can result in the identification of need for a'more comprehensive inspection (CME).

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# • Table 2.4 OPERATING AND MAINTENANCE INSPECTION. (O&M)**P~einspection** Activities File review, coordination, hazard identification, equipment assembly, and travel Inspection Activities· .' Inspect monitoring wells Evaluate sampling program Review sampling**p~ocedures** Postinspection Activities Evaluate data results and prepare report Compliance Assistance to Facility O&M Total: 200 hours
2.1.4**State-P~io~ity** Inspection A state-priority inspection is a review of a handler's compliance with Chapter 173-303 WAC. The inspection is very similar to a CEI and includes a preinspection file review, a facility/generator walk-through to characterize types of hazardous and solid waste on-site and units which generate, treat, store, or disposal of hazardous and/or solid waste, and an on-site examination of records and documents as specified in the CEI definition. A state only inspection differs from a CEI in that (1) contingency, training,. and.closura,.post-closure plans are reviewed only for**~resence** or absence, and (2) the inspection is documented only with a report; a completed checklist is not necessary. The inspector has the option of conducting 

### a more detailed review of facility plans if time is available. Comprehensive evaluation**inspections~'** O&Ms, and CMEs are generally conducted to fulfill EPA requirements and maintain RCRA authorization. State-priority inspections allow the state to focus on more specific problem industries in Washington. 2.1.5 State Drop-In Inspection The state drop-in inspection is also conducted to review a handlers compliance with Chapter 173-303 WAC. Like the state-priority inspection, the drop-in inspection is not an EPA priority inspection. Drop-in inspections are typically initiated by a citizen complaint or as a follow-up to a previous inspection and can encompass a broad range of investigative procedures.**D~op-in** inspections do not generally require full length inspection reports
.

3-9-52.1.6 Joint and Qyersiiht Inspections As part of the SEA requirements, the EPA and Ecology will coordinate on joint or oversight inspections. Joint inspections can be conducted at Ecology or EPA request to facilitate information gathering or enforcement effectiveness. The EPA conducts oversight inspections for the purpose of assessing the quality of state conducted inspections: The oversight inclUdes both procedural and technical aspects of the on-site inspection and thorough review of state enforcement recommendations. 2.2 Inspection. Frequency Frequency-of CHE, CEl, and O&M facility and generator inspections are mandated by the EPA. These requirements are identified in the SEA as state commitments. The type of facilities, kind of inspection, and frequency in which they occur is outlined in Table·-7.1.

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QTable 2.5 ,EPA Inspection Requirements (Per 

### 1990 RCBA Implementation Plan)
EacH!ty Disposal Disposal (Active) Disposal (in Closure Proceedings) Disposal

. Treatment Type of Inspection CME
CEI
CEt OOM
CEl Frequency Once (unless substantial facility modifications) Once every year
Once every two years Once every three years after CME Once every two years (50% of universe)



# •
i Storage CEI
TSD Receiving CERCLA Waste CEl Generator CEl State Priority Generator CEl TS Facilities Regulated CEl by State Statute Only Federal IS facilities CEl
State or Local CEl Government Facilities

3-9-7 Once every two years (50% of universe) Once every six months Per annual SEAjRlP As resources permit Once every two years (recommended) Once every year (by Ecology or EPA) Once every year (by Ecology or EPA)2.3 Inspection Procedure. 

### ,2.3.1 Preinspection Activities

There are seven major preinspection activities that the inspector should undertake prior to'the actual inspection:'

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• Define the scope of the inspection. Review files. Discuss the facility history/operation with knowledgeable staff. Contact the facility, if necessary. Determine health and safety requirements and prepare a safety plan. Prepare an inspection outline (as necessary). Prepare**equipm~nt.** Defining the Scope of the Inspection

. . The critical' initial step in planning an inspection is to define the scope 9f**~he** inspection. The scope will depend largely on the purpose and objectives of the inspection. For example, the scope of a routine compliance evaiuation inspection will be different from the scope of an**insp~ct.ion** conducted to assess facility ,compliance with permit deadlines.**Th~refore,** the inspector must first determine the purpose and objectives of**t~e** inspection in order to.define the scope. Typically, inspections 'may be performed for a number of purposes, including:

•**Ro~tine** periodic,assessment of compliance with Chapter 

### 173-303 WAC.

• Review of, facility activities or status with respect to an'adrilinistered enforcement action.

• Review.of facility compliance with deadlines established in the facility's RCRA permit.

• Response to. information received concerning alleged violations at the facLlLtry, Inspections for some of these purposes will be broad in scope. For example, routine compliance inspections or inspections conducted in response to complaints will generally be comprehensive in scope, and involve a detailed evaluation of all RCRA-related activities at the facility. File Review Facility files are perhaps the best source of information for new inspectors. They can, if they are complete, provide a detailed picture of the facilities industrial processes, waste handling procedures, and 

### 3-9-8 

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# (-e environmental compliance history. If available, the following specific items should be reviewed: RCRA HSWA Permits

- types of waste managed, design of unit, special conditions. State Waste Discharge Permit/NPDES Permit

- sewers, waste water process, discharge limits, special waste handling'procedures.

• Solid Waste Permit

- types of waste managed, design of units, special conditions.

• Past Inspections· inspection reports; hazardous, solid, water, and air. Documented past violations, complaints, spills, etc.

• Compliance History

- identify all regulatory orders and penalties issued pursuant to all environmental laws. Includes all county, state, and federal agencies. • Compare dangerous waste annual reports with facility processes, Part A application, notification of dangerous waste facilities (Form 2), historic waste amounts, etc.

• Contingency plans, training plans, closure/post closure plans, financial assurance instruments, health and safety plans, etc. Staff Discussions Discussions with Ecology staff who have been to the facility can provide information not necessarily found in written records. Staff familiarity with the facility, its personnel,**an~** special environmental investigations all need to be determined. After staff discussions and file review, the inspector should determine if local city or county officials have any special concerns regarding the facility. The inspector's supervisor should be able to provide the local contact's name and telephone number.

" Contacting the Facility Inspections are conducted to determine facility (or generator) compliance with state dangerous waste regulations. As such, unannounced inspections will generally provide the most accurate information on compliance status and are the preferred approach in the Solid and Hazardous Waste program. Long inspections of complex facilities may require a substantial amount of facility workers' time. If the inspection cannot-be completed in a day, it maybe desirable to schedule a return date with the facility representative to ensure that facility staff are ,available. For inspections where groundwater sampling will be conducted (CME and O&M), the inspector may elect to contact the facility in advance of the inspection to coordinate sampling.3-9-9It is not appropriate to notify a facility suspected of criminal illegal dumping or other criminal violations prior to an inspection, because notification would provide the facility an**opport~nity** to cover-up the illegal activity. Generally, it will not be appropriate, to notify facilities in advance of inspections performed where violations are known or suspected to exist. where the purpose of the inspection is to support a specific enforcement action, arid/or where a ·cover-up" is anticipated. Inspectors should consult with their supervisors 'or attorneys if they have questions concerning advisability of notifying a facility of'an inspection. Methods used to notify facilities vary with inspection purpose, and include: 

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• An advance phone call to**.th~,** facility to notify the facility of the inspection date and make**appointmen~s** to see particular personnel. An annual notification letter which establishes the authority for inspections without**spe~ifying** an inspection date. A specific inspection letter sent out a 'month before 'the inspection informing the facility that at inspection will be conducted within a month. Determining Health and Safety' Requirements Although routine inspections**ge~erally** do not involve activities in which inspe'ctors must physically contact hazardous was'tes, there is always the potential for inspectors to be exposed to hazardous wastes or substances during the course of an inspection. Therefore, in planning the inspection,**inspe~t~rs** should: 

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•

•

•

•

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### •**Det~rmine** the nature of the chemical hazards that may be encountered during the InspectLon (based on the types of materials handled on-site, as**identif~ed** in'the fire review). Complete boilerplate site health and safety,sheet,

. .... ' . ' ,. _... -"

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.**~.** Obtain and becomefamilia,r with all applicable safety guidance and practices. Identify and obtain proper safety equipment. Become familiar with the'proper use of safety equipment (if not already familiar with its use), check equipment for proper function, and conduct necessary 'maintenance on'the equipment"(if appropriate and within the technical abilities of the inspector). Determine any facility-specific safety requirements by contacting the facility (only in cases where the**faci~ity** is being notified of the inspection) or by review of previous inspection files. Have emergency phone numbers available.

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# • In some·cases, the inspector will have limited information on the facility. or may be inspecting an uncontrolled site. The inspector should be prepared to encounter the worst conditions in such cases. Inspectors should never proceed with inspections involving site conditions for which they are not prepared and do not have the proper safety equipment. The Solid and Hazardous Waste Program Safety Plan (1990) provides guidance for use of safety equipment such as respirators and air monitoring equipment. At present, Solid and Hazardous Waste Program policy does not allow inspectors to enter an environment where level B protection is required. Preparing an Inspection Outline Based on the scope of the inspection, the file and staff review, and the health and safety concerns, the inspector should prepare an inspection outline. The outline will list the operations the inspector intends to inspect and the tentative order in which the inspection will proceed. In order to develop an effective outline, the inspector will need to have accurately assessed the facility processes and potential hazards. The outline will vary in complexity depending on the type of facility being inspected. Equipment Preparation During an inspection the inspector should use or have available standard personal equipment issued by Ecology. Items that should be. worn during all inspections include hard hat" safety glasses, and steel toe boots

. At other times different gear may be required depending upon the circumstance. Some of these items may include rain gear, neoprene boots (steel toed), hip boots, gloves, respirator, goggles, ear plugs, and ELSA (emergency life support apparatus). Abasic sampling kit should be assembled by the inspector. This kit should include pH paper, fluorescence dye tablets, bottles,labels, collectors guide, cooler, ·write-in-rainbook,' indelible pens, pencils, etc. These items may be modified, as appropriate, when conducting scheduled waste sampling or when ground water samples are taken. The inspector should carry a copy of the current set of hazardous waste regulations on all inspections. Facility/generator representatives may request an updated copy. The inspection checklist should also be carried, but completing it during the inspection will probably unduly slow down the inspection. This checklist should be completed as much as possible prior to the inspection. Reference to the checklist immediately after the inspection for summary purposes is suggested, 2.3.2 On-Site Procedures During the on-site inspection, Ecology personnel must always be polite, be objective, and act in a professional manner. The inspection should first begin with an introduction and a statement of purpose. Ecology ID should be presented at this time. Typically, this is done in the facility contact's office or in a meeting room. An explanation of what the inspection will consist of, Departmental procedures, and 'any regulatory 3-9-11requirements that have recently changed should be discussed, This is a good opportunity to review facility maps and get clarification on any questions about facility processes or products. The**inspec~or** should also**requesi~permission** to take photographs at this**ti~e,** bearing in mind that Ecology staff have authority to take photographs germane to the inspection. Holding the opening discussion immediately after receiving, access to the facility may not be appropriate in all cases. Depending,upon the objective of the inspection, the inspector may want to see particular operations or locations in the faci'Uty prior to**t~e** opening discussion. For example. in

# an**unanno~nced** inspection of a facility with a**susp~cted** violation, the inspector may want to go directly to the site of the suspected violation in order to observe the**are~** before the owner/operator can stop, conceal. or otherwise obscure the noncomplying operation or condition. It is important that during**th~** Qpening discussion. if one is held, or other initial diScussion with the owner/operator (e.g.**,~hi1e** walking to the location ofa suspected violation), the inspector establish control of the'inspection in a firm, .p'rofesslonal manner. T.Jhile' Inspeccoxs should, if possible, avoid**~a~sing und~e**  disruptions of !acilityoperations. the inspector should remember that he or she is in charge of the inspection. During the on-site visit the inspector will build a working relationship with the facility representative',This x:elationship must be built on a 'foundation of forthrightness 

## on 'Ecology's part .regardl.ess of the ,facilities position**orrepre~entative'sdemeanor<**

## Th~ inspector maybe asked,

## t~ Sign-'a

## si'tea~ce~s i.and Uabii"ity wai-yer prior'to,beginning the inspection:' "On th'e advice of our Attor:ney General (December 5, 1985),**th~** fnspector' 'sh,ould refuse to sign this type of document. By signing such a'docUment; it indicates that Ecology assumes the liability for the inspector's safety, which isincumbent,on the facility rather**tha~ E~ology~**  ,Furthermore, the inspector ,does not have the 'requisite authority to enter into,**su~h~n** agreement with the faciUty. To date,entry has not b'een'**denie~** an Lnspector'on,tl:tis !' basis,' T.Jhen and if it does occur,theprocedure would include notifying the AG's office and obt.iinin.g'a search warrant to 'gain access to conduct the inspection. There is a discussion on procedures to.follow for denied access and use of a warrant**t~** gain access in the'1988 

### EPA RCRA Inspectiori ,Manual (pages 4-5 through"4-8)., In general, the visual Lnspect.Lcn 

## of the facility should proceed in accordance with the**inspection~plan** or strategy developed by the inspector during inspection planning. The inspector may, however, determine that it is appropriate to modify the plan based upon information obtained during the record review of other factors, such as the availability of specific personnel for interviewing or the scheduled operations of waste management units to be inspected. When planning and performing the visual inspection, it is generally desirable for the inspection to proceed in a way which allows the 3-9-12 j-----------------------

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# Qinspector to evaluate and understand the waste flow within the facility and to determine the compliance status of each segment of the facility's waste management system. For example, in a plant which generates hazardous waste, stores waste for off-site disposal, and treats some waste on-site, the inspection could proceed as follows, in brief: Inspect points of waste generation and accumulation. Determine if the owner/operator has identified all hazardous wastes based on generating operations, and determine if accumulation points meet satellite storage area requirements, if applicable.

This type of flow enables the inspector to understand the movement and control of wastes within the facility, which is important in order to identify:

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•

•

• Evaluate in-plant waste transport from generation and accumulation points to storage and treatment units. Determine if there is potential for mislabeling, misplacing, or mishandling wastes, and if wastes are adequately tracked ,to enable proper identification at storage and treatment units. Evaluate storage and treatment units for compliance with applicable standards. Determine if wastes in units correspond to those whose points of generation have been inspected, and identify where any other wastes in the units come from. Determine if any hazardous wastes are generated in the unit (e.g., treatment sludge) and evaluate the management of such wastes for compliance.

Hazardous wastes which may not currently be considered hazardous by the owner/operator. Non-complying procedures or management practices which are part of the facility's routine operations. Steps in the management process during which wastes may be mishandled or misidentified, and in which there are opportunities for spills or releases. Unusual situations which may be encountered during the inspectionwhich vary from the facility's stated normal operating procedures and which may indicate potential violations. 

# t. During the inspection, photographs of all violations identified should be taken. On the inspection log identify location, direction of photo (north, south, etc.), what is being photographed, and preliminary environmental and regulatory analysis. Care should be taken to note factual information only, not impressions. The following list was supplied by our inspectors suggesting items to look for during the inspection in addition to items listed on checklists:

• Integrity of containment (cracks in concrete, etc.).

3-9-13• Drains.

• Inspection dates on fire extinguishers.

• Stains on ground.

• Stressed vegetation.

• Proximity of ignitable wastes to power lines, property boundaries, etc.

• Safety equipment storage areas.

• Transformers.

• Correction of past violations. ,.

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- . ,-- Throughout the inspection, the inspector has the riSht to ask any question and go anyplace on the plant site that is ,germane to the inspection. All areas should**b~** inipected.**espec~ally** if an area is being avoided.

.- Questions should always be asked in a polite and. 'if necessary. insistent manner. DUring discussions;with facility personnel, the inspector should focusoh the'facts. Special attention should be taken to avoid conversations into areas of speculation" i.e.•. the.extent,of a newly discovered problem or possible enforcement scenarios:' ' There will be many times when questions**ar~** asked directly by the facility that do not have answers that are readily apparent. There is nothing- wron'g with stating; "I'do not know the answer 't6, the question." Simply tell the individual(s) that you will get, back with theinformation as soon as you can. This is much better than being in erro,r or providing them with miSleading lnformation: It'is important to provide the follow-up information as soon'as'po'ssIbIe, If'the facilitY representative cannot answer a question make a note of it and request the information in'a 'follow-up letter.--,- - .',
. . . . Following the on-site walk through of the facility an exit meeting should take place. It is at this time that the inspector thanks the facility for their time and informs them' of**his/he~** preliminary findings. These findings do 'notrteed to be all irtclusive nor**shoul~** they include possible enforcement'actions. If any**imm~diate** corrective action is required for any observed violation. it should ,be reviewed at this time. If this is the case, and;a critical or serious violation is involved, it**sho~ld** be documented by a field compliance letter (page 22). c 2.3.3 Determining the Need for'Sampling and Sampling Procedures Sampling is conducted (1) routinely during a CME or O&M inspection to characterize groundwater beneath a facility, or (2) to verify the identity of a waste or to identify potential releases of hazardous wastes or constituents to the environment. Groundwater sampling 3-9-14

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, generally does not put the inspector at risk of exposure to hazardous substances; however, the Solid and Hazardous Waste Program Safety Plan should be consulted if the inspector has any doubts. Aside from groundwater sampling during CME or O&M inspections, there are many possible conditions or activities which may lead the inspector to determine that sampling may be advisable. Examples of some of these conditions include situations in which: • The owner/operator is handling a potentially hazardous waste as a non-hazardous waste.

• In-plant waste handling practices indicate that mislaheling/misidentification of waste is likely to occur, or that wastes may vary significantly in characteristic over time and be mismanaged as a result.

• There is visible or other observable evidence of possible releases of hazardous wastes from waste management units, satellite storage areas, waste generating areas, etc.

• Wastes may be managed improperly, i.e., in an inappropriate treatment or disposal unit. When the inspector conducts investigative sampling because of question-. able waste management practices, the sample will be used to identify noncompliance and support case development and should be handled with appropriate care. The inspector should have enough knowledge of facility processes and potential wastes to specify a narrow range of parameters to be analyzed, thus saving the laboratory the time and expense of a multiparameter**analy~is.** Chapter 4 of the Hazardous Waste Field Employees Handbook discusses use of the Ecology lab and sample handling. Generally, the facility representative will collect the sample under the direction of the inspector. The inspector may request a sample split from the. facility representative to verify the analytical results. The· facility representative must collect all samples from drums or other containers. Facility personnel should take all samples following existing sampling and analysis protocols in the facility permit, and any changes to protocols requested by the inspector. For unpermitted facilities, the inspector will establish the sampling and analysis plan. The Solid and Hazardous Waste Program Interim Safety Plan outlines some situations where SHW staff are permitted to conduct sampling because exposure to hazardous substances is minimal. As noted in the health and safety requirement section, current Solid and Hazardous Waste Program safety policy does not allow inspectors to knowingly enter an environment where level B protection is required. However, at this writing, the agency does not have a delineated procedure to determine that level B conditions are present in a particular situation.

3-9-15If the inspector chooses not to have samples taken during an inspection, potentially**non~omplying** conditions or criminal activity should be identified with notes and photographs for possible future case**develop~** ment evaluations. 2.4 Inspection Report The inspection report is the official document describing the findings of the on-site inspection and record review. The report must be written in a clear logical manner, be factual, and comprehensive and should never contain speculation or enforcement recommendations. When enforcement is considered, a separate addendum or document containing recommendations is prepared for departmental use. The documents are separated because the inspection report is a public document and maybe requested for review. If enforcement is warranted as a result of the inspection, the inspection report will be used by the Department or the facility in the course.iofv.a .hearLng, "Therefore"all, inspection.findings must be accurate and defensible by the agency. The inspection report is completed as soon as possible after the inspection. Many times documents or other information will ,be submitted by the facility after the inspection. Information, such as sampling results, may be added to the inspection aS,an addendum at a later date. In addition, review of these documents sometimes takes a considerable amount of time, e.g" closure, waste analysis, or ground water monitoring plans. In these cases, the report should be drafted with the available information immediately after the inspection and finalized at the conclusion of the additional review. The timeliness**of~he** written report is crucial. particularly in those instances where violations.were documented. It does not benefit the agency. the facility. or the public if the Department does not convey the results of an inspection to the facility in a tJmely manner. 2.4.1 Inspection Report Content and Format The inspection report contains a narrative description of the activities conducted during" the.'inspection',' the-results-of the-"inspection', including the violations .noted and the appropriate cLnatiLon i vand acomptiance checklist. Tqis is a neutral document which**ide~tifies,violations** observed. The report must be objective; it should contain only**relev~~t** facts. I Additional documents maybe attached if they apply to the inspection under**consid~ration.** The.narrative description is designed to both augment and highlight the information found in the inspection checklist. Enforcement actions are not discussed in the inspection report. The inspection report is viewed as a "stand-alone" document which provides a basis for enforcement action. It gives the Department a view of conditions at the entity at the time of the inspection. Aletter listing the violations discovered is sent at the conclusion of the inspection. Handlers use inspections, in part, to gauge their ability to manage hazardous waste in an environmentally safe manner.

3-9-16Although each inspector has his/her own style of writing, and each regional office has their own procedures, the inspection report format. and basic content should be consistent statewide. The narrative of the inspection report should be in the following format. Drop-in inspections may be documented in aF abbreviated format. I. Introduction (Done on a separate sheet) A. Name and address of entity B. EPA 10 Number (WAD ) C. Date(s) and Time(s) of Inspection, and Date of Inspection Report. D. Type of inspection (i.e., CEI, CME, Record Review) More than one type of inspection may·be occurring

-- all types should be listed beginning with most prevalent E. Reason for evaluation F. Personnel present during inspection (list all Ecology, EPA, and entity personnel) 

# (-e II. Facility Description Brief description of manufacturing processing including description of generator or interim status/permit activities, etc., including types, number, and capacity of units**(i~** no changes have occurred since the previous inspection, reference to the past report may be adequate). A.brief description of the handlers regulatory history including the status of any permit proceeding may be included. Significant findings since the last inspection may also be noted.



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t III. Description of Inspection A. On-site walk through 1. Units 2. Physical violations 3. Other items of significance B. On-site record review 1. Documents reviewed, including time frame of records reviewed, manifest records

- 1988-1990 (land disposal/restriction evaluation should be placed in Section VI).
. 2. Violations

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3-9-17C. Sampling (results may be added a brief addendum to report) l. 

### 2. 3. Methodology Proposed analysis Violations (sampling or proposed analysis) 

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D.**Off~site** record/plan review (not required for state priority inspection) 1. Documents reviewed 2. Violations'
a. Financial requirements b. Other IV. Special Considerations A. Cross Media Issues B. Other C. Changes in operations which**~elate** to hazardous waste management since last inspection, if appropriate V. Attachments A. 

### B. Checklist(s) Photographs 

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VI. Land Disposal Restrictions (LOR) A. Documents reviewed B. Violations

. All violations should be referred to the EPA for enforcement. If Ecology

...becomes authorized to administer the HSWA program, Ecology staff will conduct any necessary enforcement follow-up. 2.4.2 Summary of Inspection A copy of Section I of the inspection report and the information listed below should be submitted to a confidential file. This is not considered a part of the inspection report, but it can provide a basis for enforcement recommendations and it is needed to received "credit" for the inspection. A. List of areas evaluated (see RCRIS reporting instructions) B. List of violations and classification

3-9-18

### C. Other (i.e., entity actions since prior inspection, need for further investigation, other pertinent subjective information) (as necessary) , .



# • D. High priority/significant violator (Yes/No) 2.4.3 Filing Inspection Reports and Related Information Upon completion of the inspection report, inspectors should organize the report notes and other documentary information into a non-confidential inspection file. The non-confidential inspection file should contain the inspector's report and all forms of non-confidential documentation, which may include:

• Objective inspection notes.

• Documents relating to sampling, as appropriate (e.g. I custody records, analytical results).

• Photographs.

• Drawings and maps. A separate confidential or internal file must be used for all confidential business information (CBI)"enforcement recommendations, and any subjective information about the entity, including the summary of inspection listed above (2.4.2). When an enforcement action is issued, the enforcement action becomes non-confidential information, however, the enforcement recommendation must still be maintained in a confidential file (Assistant Attorney General opinion, March 9, 1990). Chapters 42.17.260 RCW and 42.17.310 specify documents that state agencies must maintain in confidential files. 2.4.4 Inspection Report Preparation Timeline and Review Internal review of the inspection report should be conducted by a dangerous waste inspector (or equivalent) other than the inspector that wrote the report and one'and only one supervisor (either unit leader or section supervisor). When two or more dangerous waste inspectors inspect a facility, one of the team members can provide the required peer review. A copy of the inspection report should be transmitted to the Hazardous Waste Development and Support Section (ffi1DSS). The hazardous waste program planner reviews the report for quality control and is responsible for keeping the program manager, the EPA, and Ecology's Comprehensive Planning Section informed about the status of the program planning commitments. To expedite these program planning activities:

• All inspection reports should be submitted to the ffi1DS program planner within 3S working days of completion of the field work

.

• Inspectors should enter all preliminary inspection report data into the RCRIS reporting system within five working days of completion 3-9-19of the field work. The RCRIS system should be completely updated within five working days of completion of the report. The inspection report contains nonconfidential ,information and can be**~nt** to the facility inspected upon'request. However, completed reports should not be systematically mailed out to facilities as the inspector can be unnecessarily burdened with insignificant questions or complaints.

. 2.5 Enforcement Proce•• The inspection'report and enforcement confidential file. are developed to document the compliance status of inspected'facilities with respect to Chapter 173-303 \JAC.' Ecology'.s enforcement policies were .writtento establish a consistent approach for the agency when confronted by violations of the dangerous waste regulations. Policy 1-20 of the Agency Policy manual, "Establishing Ecology's Enforcement Policy," establishes policy.f9r, enforcement activities administered by Ecology. This policy is**fu~the~:elaboratedon** in the Ecology Enforcement Manual: Guidelines and Procedures. The Enforcement Manual provides guidance on the following subjects:

• Formal and informal enforcement tools

• Types of violations

• Innovative

### enforcem~~t**se~tlement** Use of discretion in determining enforcement**~esponse**

• Escalation of penalties

.

• Procedures for issuing enforcement actions

• Post issuance procedures including appeals and collection of penalties

. 

# Q

The Dangerous Yaste Enforcement Manual. ing areas:**Enforc~ment** Guidelines are,a**.subset.of~heEcology** These**guideli~es** provide**~efinition i~.**  the follow-

•

•

• I Selecting enforcement options for dangerous waste program violations Determination**o~** penalty amount Mitigation of penalties Time frame for action issuance Example violations and recommended responses

3-9-20

# • In addition to the preceding policies, the SHW Program Policy and Procedure Manual contains specific guidance on enforcement process for public entities (Policy 3-1), dangerous waste generators in violation of storage requirements (Policy 3-2), and enforcement process for late Part B Permit applications (Policy 3-11). 2.5.1 Recommendations for Enforcemept Recommendations for enforcement are written from the inspector to the regional office section supervisor. An exception to this is the NWRO where recommendations for enforcement are directed to the regional eriforcement; coordinator. 2.5.2 Enforcement"Action Format" Enforcement actions issued by dangerous waste staff are generally either compliance letters, administrative orders, or administrative orders plus penalties (see dangerous waste enforcement guidelines for appropriate use of these actions and signature authority). Field compliance letters are compliance letters issued before the inspector leaves the facility and can be used when the violation is obvious and should be corrected without delay. Only experienced inspectors should issue field compliance fetters. " All enforcement actions must be written in a clear and consistent format. Recommendations for enforcement, enforcement orders, penalties, .and compliance letters should "be in the following format. Recommendations for Enforcement 1. Introduction. 2. Background. 3. Recommendation. Enforcement Order 1. Title block (see example). 2. Brief description of Chapter 173·303 WAC regulatory authority. 3. Brief description of how the activities of the entity relate to this TJAC. 4. Observed violations of Chapter 173·303 TJAC. 5. List of orders with timeframes for completion. 6. Describe the available penalties if orders are not fot"lowed. 7. Describe the Pollution Control Hearings Board (PCHB) appeals process.
3-9-218. Signature of Program Manager. 

### hn,lU 1. Title block (see example). 2. Notice of penalty and amount of penalty. 3. Brief description of how the entity relates to the**re~latory** authority of Chapter 173-303 WAC. 4. Observed violations of Chapter 173-303 WAC. 5. Describe the penalty process:
a. When penalty is due. b. Where to pay.
c. Provision for submitting an application for relief. d. Ecology's responsibility in responding to application for relief. 6. Describe the PCHB appeals process:
a. Address of PCHB b. \1

.Thirty-day time limit.

## c~"'-..

.. 7. Signature of Program Manager. 8. Application for relief form. Compliance Letter 1. Review date and time of**inspection~** 2. Summarize Chapter 173-303 WAC authority. 3. List violations. 4. List measures to correct noncompliance with timeframes. 5. Describe any follow-up activities Ecology will take. 6. Signature of inspector.

3-9-22

### DATE: 

### December 1,1993 PAGE: 

### 1OF3 

### CANCELS: NEW

# O\t~f1 SEEALSO: PRO 

### 3-27 APPROVED BY:



# ----- POLICY



# •

• POL3-27COSTRECOVERY

### USINGMTCA ALTERNATIVEAUTIlORIlY


### RCW 70.105D.050(3) requiresthatthe departmentseekto recover the amounts spentfor investigative andremedialactions and orders from the owner/operator (0/0). 

### Itis the department'sintentionto recover those costs which are reasonablyattributableto sites. While timing of cost recovery for individual sites will be consideredon a case-by-case basis, thedepartmentexpects payment of costs as they are incurred. When the owner andoperatorare separateindividuals orcorporations, bothwillbe sent billing statements. 1. ForThe PurposeOf This Policy. Costs Are 

### Defined In The FollowinKWay: 

### Remedial corrective action costs are those reasonablyattributableto the site and mayinclude costs of direct activities, support costs of direct activities and interest charges for delayed payments. The departmentshall charge an hourly rate based ondirectstaffcosts plus support costs. The departmentshall use the following formulafor computing hourly rates: Hourlyrate = 

### DSC 

### + DSC(ASCM) 

### + DSC(pSCM),WHERE DSC = 

### DirectStaff Costs defined in (a) below: ASCM = 

### Agency Support CostMultiplierdefined in(b) 

### below: PSCM = 

### ProgramSupport Cost Multiplier defined in (c) below: (a) Costs of directactivities are all 

### relatedcosts of direct activities and shall includeboth direct staff costs (DSC) andotherdirect costs (ODC). DSC's are the costs of hours worked directly on acontaminatedsite and include salary, retirementplan, social security, health care, leave and holiday.-and otherbenefitrequired by law to be paid to, or onbehalfof, employees. ODe's are costs incurred as a direct result ofdepartmentstaff working on acontaminatedsite and include goods and services, equipment, travel, contractualand laboratory services. If

### under one hour, direct staffcosts will not be charged as such. (b) 

### Agency Support Costs are the costs offacilities, communications, personnel, fiscal, andotherstate-wide and agency-wide services. The Agency Support CostMultiplier(ASCM) used shall be the agency indirect rate approvedby the agency's cognizant federal agency for each fiscal year. J

HWTR 

### 3-27 December 1, 1993

### DATE: December 1, 1993 PAGE: 20F3 CANCELS: NEW SEE ALSO: PRO 3-27 (c) ProgramSupport Costs are the costs ofadministrative (i.e.,non-DSC) time spentby site managers and otherstaffwho work directly on sites anda portionof the cost ofmanagement, clerical, policy,computer, financial, and othersupportprovidedbyotherprogramstaffto sitemanagers and other staffwho workdirectlyon sites. Examples ofotheractivities notincluded inProgramSupportCosts include policydevelopment, DWRegulation development, andaportionofnon-sitecompliance, managment, computer, financial and othersupportstaff. TheProgramSupportCostMultiplier (PSCM) used shallbe thatestablishedby the ToxiesCleanup Program. (TCP). The PSCMwascalculatedby dividingactualTCP Program. SupportCostsby allDirectStaffCostschargedto site-relatedwork. 

# o

t----- 2. 

### AllConsent Decrees.Aueed Orders.AndUnilateral Orders Shall Contain Provisions ForCost RecoveQ'. The HWTR and TCPProgramCost Recovery Coordinators shall insure that each consentdecree or orderincludes aprovisionfor cost recovery.
3. The CostRecoveQ'UnitofEcolo2,Y'sFiscal OfficeShallMaintain Documentation OfCorrectiveActionCosts. Ecology's FiscalCostRecoveryUnitisresponsiblefor maintainingsite files which documentall agency costs associatedwith theinvestigativeandremedialactions at eachsite.
4. The CostRecoveQ'UnitofEcolo2,Y'sFiscal OfficeShallProvide Itemized Statements Documentin2Costs Incurred. TheFiscalCostRecoveryUnitshallpreparebilling statementsin the time frame specifiedin the decree/order. Statements shall include costdocumentationsuch as copies ofTimeAccounting Reports, AgencyFinancialReportingSystem(AFRS)reports, calculationof Program. Supportand Agency indirectrates and costs, and otherdocumentation appropriate to the specific site.

HWfR 

### 3-27 December 1, 1993

### DATE: 

### December 1, 1993 

### PAGE: 

### 3 OF3 CANCELS: NEW SEE ALSO: PRO 3-27


# s. Qnly Approved InvoicesShallBeIssuedTo TheOwner/Operator(0/0). TheHWIRProgramCostRecoveryCoordinatorand the Site Managershall approve all invoices before theyare sentto the 0/0. The SiteManagershall signifyapprovalof all direct chargesby signing the invoice covermemo (see PRO 3-27).


### 6. InterestShallBeChar'iedIn TheFollowin2Way;
Interestshallbe charged at the maximum allowable rate (atleast 12%) 

### on invoices notpaidwithinthirty (30) 

### days as specified in the decree ororder. If

### the interestrateis specified in the decree/order, it shall be followed accordingly; otherwisetheinterestcharged shall be simpleinterestat arate of twelvepercent (12%)

### perannumor the maximum allowable rate at the time, according to RCW's 4.56.110

### and 19.52.020.
. 

### 7. The HWfR

### Pro2famCostRecoveaCoordinatorShallReportCost Recovea DataToTheHWfR

### Mana2ementTeam, at Least Quarterly. Reports shallincludethetotalamountof costs billed duringthe quarter, the total amountofpayments received, andproblemareas whichneedthe attentionof the ManagementTeam.

HWTR 

### 3-27 

### December 1, 1993

### DATE: December 1, 1993 PAGE: 1 of 4 CANCELS: NEW SEE ALSO: POL 3-27 APPROVED BY:



# ------- PROCEDURE 

# o PRO 3-27 COST RECOVERY OF CORRECTIVE ACTION EXPENDITURES USING STATE ALTERNATIVE AUTHORITY (HTCA) Definitions: Quarterly billings: The billing cycle will be established with the initial billing. Billing will normally be quarterly (every three months), but may be on a staggered schedule to provide a manageable workload.
Action 

### by: Action: site Manager, working with an Assistant Attorney General

Negotiation Review Team Representatives 2.

3. 

### Documents all necessary cost recovery stipulations in consent decrees and orders with these cost recovery provisions: payment schedule (generally quarterly); clear name and address for billings; whether past costs are included or excluded, if excluded, then start date.
Submits draft decree/order to the Negotiation Review Team Representatives, as required by Policy SOOA, for review and advice. Complete reviews within the timeframe requested (minimum of five days). Discuss comments with Site Manager. 

# o

4. Elevate any major unresolved issues, after discussion with the Site Manager and Section Manager involved, in accordance with POL SOOA. site Manager S. 

### When decree/order is final, summarizes cost recovery information on a Cost Recovery and Final Document Form (Attachment A). 6. Sends three copies of the final consent decree/order and one copy of the Cost Recovery and Final Document Cover Form (Attachment A) through the Regional Supervisor to the Negotiation Review Team Coordinator.

---

### --**-~** --**-~-----** -------- 

### - ---- Negotiation Review Team 7. I 

### Coordinator 

# :-------------------------

-------- ----- ------

, 

### Enters the final decree/order in the central file of decrees and orders. 

# CJ

HWl'R 

### 3-27 December 1, 1993

### DATE: December 1, 1993 PAGE: 2 of 4



# e· CANCELS: NEW



### HWTR Cost Recovery Coordinator

Fiscal Cost Recovery unit

HWTR Cost Recovery Coordinator 

### SEE ALSO: POL 3-27
8. 

### Transmits 2 copies of the final decree/order and the Cost Recovery and Final Document Cover Form to the HWTR Cost Recovery Coordinator. 

### 9. Transmits a copy of the final decree/order and the Cost Recovery and Final Document Cover Form to the Fiscal Cost Recovery Unit.
10. Prepares the billing package, which includes:
a. a cover memo with signature block for the site Manager to approve costs; b. an invoice which includes direct staff charges, other direct charges, support charges and interest charges;
c. copies 9f time accounting reports for the site for the billing period which include hourly charge-out rates for employees who direct charge; d. copies of the statewide Accounting Information and Retrieval System (STAIRS) reports for the billing period, and a memo explaining any anomalies;
e. other documentation appropriate for the specific invoice or required by the decree/order. 11. Transmits billing package for each eligible site to the HWTR Cost Recovery Coordinator on the schedule established with the first invoice. The first invoice also includes a "Uniform Chart of Accounts" or other explanatory information on AFRS. 12. Reviews billing packages for reasonableness.

13A. Transmits billing packages to appropriate site Managers (Billing package may be faxed to regional office for faster turn around, with original hard copies to**follo~),** 

### and notifies

HWTR 

### 3-27 December 1, 1993·

### DATE: December 1, 1993 PAGE: 3 of 4 CANCELS: NEW



### HWTR Cost Recovery Coordinator
site Manager SEE 

### ALSO: POL 3-27 section Manager of transmittal, or: 13B. Notifies Fiscal and/or other appropriate staff of problems with the documentation within three days of identification of a problem. 14A. Reviews billing package for accuracy, signs (if accurate), and transmits to the HWTR Cost Recovery Coordinator, or: 14B. If errors or questions are noted, discusses problem with HWTR Cost Recovery Coordinator immediately, and returns unsigned cover letter (NOTE: Cover letter may be signed and conditioned by changes), invoice, documentation, and memo explaining problem. 

# o

HWTR Cost Recovery Coordinator

Fiscal Cost Recovery Unit 15A. Transmits signed invoices to Fiscal Cost Recovery Unit, or: 15B. Prepares Memo to Fiscal Cost Recovery Unit explaining necessary corrections (and Fiscal approved correction form if changes involve charges by a program 

# 0 other than HWTR)
. 16. Transmits billing to the party identified on the approved invoice. Notifies the Site Manager before sending any documentation to the % 

### that is different from what the Site Manager has already seen. (NOTE: When a current invoice exceeds $100,000, the invoice is sent "return receipt registered" mail.) 17. If changes have been made, prepares corrected invoice and returns to Step Number 11. 18. Notifies HWTR Cost Recovery Coordinator when payment is received, or a second notice is sent to an 0/0.


### Periodically, but not less frequently than quarterly, reports payments made by 0/0 

### and any delinquency notices which have been sent to**th~** 0/0.

1 

### HWTR Cost Recovery Coordinator

HWTR 

### 19.

3-27 

### December 1, 1993 

# oDATE: 

### December 1, 1993 PAGE: 4 

### of 4 CANCELS: NEW SEE ALSO: 

### POL 3-27 20. Tracks cost recovery revenue of individual sites through AFRS reports or HWTR Accounting System PERIODICALLY, AND WHEN INVOICE PAYMENTS ARE DELINQUENT:
Fiscal Cost Recovery Unit HWTR Cost Recovery Coordinator site Managers

HWTR Cost Recovery Coordinator Fiscal Cost Recovery Unit 21. Sends report of delinquent invoices to HWTR Cost Recovery Coordinator. 22. Sends report to HQ Corrective Action Team and portions of report to site Managers in Regions for Review. 23. Note % 

### who should'be exempted from delinquency notices and reasons why; return report to HWTR Cost Recovery Coordinator. 24. Returns list to Fiscal Cost Recovery Unit.
.25. 

### Sends delinquency notice to % 

### who has not been excluded by site Managers.

HWTR 

### 3-27 December 1, 1993

### TO: December 1, 1993

_________,HWfRSiteManager,

_ 

# c
TIIROUGH: AlanJennings, 

### HWfRCost Recovery Coordinator FROM: Renee Dieckman, Supervisor FederalGrants/CostRecovery SUBJECT: CostRecoverySite Invoice Review Attachedare the expenditurereports for theperiod for the following site: SiteName: Order#: through

Reports includedin thispacketare the following: 1. 

### DraftInvoice 2. AgencyFinancialReportingSystem(AFRS) Reports 

### 3. AgencyOverheadWorksheet(s) 4. 

### StatewideAccounting,Information& 

### Retrieval (STAIRS) Reports 

### ·5. SummaryofAccounts Payable Report(s)
.

6. TimeAccountingReport(s) Thefirst three items aresummaryreports. Forreviewpurposes, concentrationshould be placedonitems four thru 

### six. Thepurpose ofall 

### reports is explainedinattachment#1 

### to assist you inyourreview. Pleasereview these reports to determine

### iftheyreflectappropriatechanges to this project. Uponcompletionof this review,pleasesign and returnthe packedin its entiretyto your CostRecoveryCoordinator. If

### you have any questions, needadditional information, or detecterrors, call your Coordinatorimmediately. 

### All approvedpackets shouldbereturnedto: AlanJennings, Cost Recovery Coordinator HWTRProgram P.O. Box47600 

### MS: 7600 

### Olympia, WA98503 Onceyou have completedyourreview of these reports, andhavedeterminedthat they reflectappropriate charges, please sign and datebelow. As 

### Site Manager, for the above-mentionedCorrectiveAction Cleanupsite, I have reviewedthe attachedfinancialreports and findthemtobereasonable. 

# o

I I



# .. I
I Signature Date

------ 

# o

--------CABUOGET.xLS
DATE



# ----- 

# e CORRECTIVEACTION
- eUDGETESTIMATINGWORKSHEET

CA SITE NAME START DATE PROJ DESCRPTlON END DATE

_ PIC



# ---

AGENCYINDIRECT (.2987

### x(PERSONNEL» TOTALESTIMATEDCOST

* EMPLOYEE POSITIONSARECLASSIAED INTODIFFERENiCATEGORIESTHATCARRYTHEIR OWN HOURLYRATE. NOTE: PERSONNELCOSTSARE BASEDONESTlMATEDHOURS ATTHEESTABUSHEDHOURlYRATE.**~.** --.::.-7

### DATE: December 1, 1993 PAGE: 1 of 6 CANCELS: NEW
POLICY POL 3-29 NEGOTIATION REVIEW TEAK APPROVED BY:



# ------ 

# c

will The from

2. 

### The Negotiation Review Team is established to provide agency-wide quality assurance 

### in the cleanup of hazardous waste corrective action sites. It provides a clearinghouse for the implementation of the Model Toxics Control Act (MTCA) and a focal point for policy and technical issues. It is advisory 

### in nature and will elevate to management any major program issues needing resolution. The Negotiation Review Team Consists of Four Persons. The Negotiation Review Team will be made up of a technical reviewer; policy reviewer, cost recovery reviewer and an Assistant Attorney General. Each will focus their review to issues appropriate to their expertise. The cost recovery and policy reviewers be assigned by the TCP and HWTR Program Managers. technical reviewer is selected by the site manager the established list (Attachment A). The policy reviewer will be the Review Team Contact. Alternates to the review team will be designated. The Following Documents Shall Be Submitted To The Review Team Prior To External Distribution. (a) All corrective action (CA) draft orders and decrees proposed by HWTR, TCP and Industrial section staff shall be submitted. This would include orders (excluding emergency orders) or decrees prepared pursuant to RCW/s 70.1050 and 70.105. At least one copy of any pertinent technical document needed to understand the requirements of the order or decree should be attached. (b) Significant amendments to all previously signed orders and decrees prepared pursuant to RCW/s 70.1050 and 70.105 that are proposed by HWTR, TCP and Industrial section staff shall be submitted. At least one copy of any pertinent technical document should be attached. (c) Draft corrective action plans using MTCA. (d) Draft cleanup standards or levels whenever they are being set for a site specific action. (e) Prepayment agreements. 

# o



# o

---------- HWTR 

### 3-29

### DATE: December 1, 1993 PAGE: 2 of 6 CANCELS: NEW APPROVED BY:

_ 3. 

### The site Manager Shall Submit 4 Copies Of The Document with Completed Cover Form. The site manager will submit a completed cover form (Attachment B) with four (4) copies of the document to the Review Team Contact before sending the documents to the owner/operator(s). One copy each of pertinent technical documents shall also be attached. 4. The Review Team will Generally Provide Review within 5 Working Days From The Date Of Receipt Of Documents. The Review Team, when necessary, will review documents within five (5) working days; however, if the documents can be submitted for a longer time period, that should be indicated. The Review Team will attempt to provide quicker review under some circumstances. The request for a quicker review time must be discussed and cleared with the Review Team Contact. If, on receipt, the Review Team Contact is aware of other time commitments such that the team cannot meet the normal deadline, the site manager will be notified immediately. 5. 

### The Review Team will Contact The site Manager with Comments. If any member of the Review Team has comments on the document(s) being reviewed, he/she will notify the site manager directly or submit comments to the Review Team Contact to be forwardea. Generally, the comments will be relayed orally unless written comments are requested by the site manager. If the site manager does not hear from or receive written comments from the Review Team by the agreed upon date, he/she is free to proceed. 6. The Review Team will Elevate Major Issues To Management. If, during the course of the review, a major policy or technical issue is discovered that requires resolution, the Review Team Contact will elevate the issue through the Policy section Supervisor. Only major issues will be elevated and only after discussion with involved staff and supervisors.

HWTR 

### 3-29 December 1, 1993

### DATE: December 1, 1993 PAGE: 3 of 6 CANCELS: NEW APPROVED BY:



# ------ 7. 

### If, During The Negotiations, The Document Is Substantively Changed, Then The Review Team Contact Shall Be Apprised Of changes. If, during the negotiations, elements of the document have changed. SUbstantively, then the site manager shall notify the Review Team Contact. Of particUlar concern to the Review Team are significant changes in the Cost Recovery provisions or cleanup levels. The Review Team will provide immediate feedback if any problems are perceived. The Review Team will not participate in negotiations but may be relied on to provide technical assistance throughout the process. 

# o

8. Final Documents Shall Be Submitted To The Review Team Contact For The Central File. Two copies of all final consent decrees, orders, corrective action plans, and all SUbsequent amendments shall be submitted to the Review Team Contact within 15 days of finalization of the document. A copy of the "Cost Recovery Information Form" (Attachment C) must be completed and submitted with the document.
9. 

### The Management Team will Review The ongoing Need For And Membership Of The Negotiation Review Team On A Yearly Basis. 

# c



# o t

----- ----- -------- --- ------------------ ------- HWTR 

### 3-29 December 1, 1993

### DATE: December 1, 1993 PAGE: 4 of 6 CANCELS: NEW 

### APPROVED BY:

_ Attachment B

# ~\

# ()«(.~ NEGOTIATION REVIEW TEAK COVER PORK 

### Date



## ---------- TO: Curtis Dahlgren Alan Jennings Technical Reviewer FROM: , Policy

., HWTR 

### Cost Recovery

, Ast Attorney General (Site Manager) Assigned Assistant Attorney general Date Comments Needed (5 

### day minimum) Site PIC (if known) Type of Document: Agreed Order [ ] 

### Emergency Order [ ] 

### Enforcement Order [ ] 

### Consent Decree [ ] 

### Fed Fac Agreement [ ] 

### Phase of Work:
RCRA Fac Assessment [ ] 

### Routine Action [ ] 

### Remedial Action [ ] 

### Other Information: RCW 90.48 [ ] RCW 

### 70.105 [ ] state MOA [ ] Other [ ]

Feasibility study [ ] Interim Action [] Cleanup Action []

NOTE: Please attach one copy of any pertinent, technical document to the technical reviewer's copy.

HWTR 

### 3-29 December 1, 1993

### DATE: December 1, 1993 PAGE: 5 of 6 CANCELS: NEW 

### APPROVED BY:

_ 

# c TECHNICAL REVIEWERS Attachment A

# ~~~. The site manager is responsible for routing one copy of the document, with any technical appendices necessary, idrectly to the appropriate Technical Reviewer. It is only necessary to send the document to one of the technical reviewers for each particular phase of work. The decision of which technical reviewer should look at document is left to the discretion of the site manager. following table lists the technical reviewers available the different phases of work. the The for

Phase of Work Technical Reivewer(s) Routine Corrective Action H 

### Steeley or E 

### McManus Remedial Investigation H 

### Steeley or E 

### McManus Feasibility Study H 

### steeley or E 

### McManus Interim Action H 

### Steeley or E 

### McManus Corrective Action Plan H 

### Steeley or E 

### McManus 

# 0 Engineering Design Report H 

### Steeley Detailed Plans & 

### specifications H 

### Steeley Operations 

### &Maintenance Plan H 

### Steeley

- ----_._-**--~** - --**--~-** -------- ------- -- - ---- HWTR 

### 3-29 December 1, 1993

### DATE: December .1, 1993 PAGE: 6 of 6 CANCELS: NEW

# .1Q~~<i~aChment C 

### APPROVED BY:

_

COST RECOVERY INFORMATION FORK
TO: FROM: 

### HWTR Cost Recovery Coordinator

SUBJECT: Final Document DATE: WAD # 

### site PIC site Name: Site Register 

### # Project 

### # Owner/Operator Name Site Manager Office Location (Cost Recovery Coord Provides)

Phone

Type of Document: Agreed Order [ ] 

### RCW 90.48 

### Emergency Order [ ] 

### RCW 70.105 

### Enforcement Order [ ] 

### State MOA Consent Decree [ ] 

### Other Fed Fac Agreement [

. ] 

### Effective Date of Document: Assistant Attorney General Is % 

### Address Shown in Document? Yes No (If No, Put Address Here) [ ] [ ] [ ] [ ]



### Are Past Costs Included? (If Yes, Include Time Period) Prepayment Agreement? (If Yes, Describe Here) Yes

Yes No

No

HWTR 

### 3-29 December 1, 1993

### DATE: December 1, 1993 PAGE: 1 OF 3 CANCELS: 

### NEW

# 'Q~tf.\ APPROVED BY: POLICY POL 3-31 

### PREPAID CLBANOP OVERSIGHT Due to limited resources, Ecology cannot work on every contaminated Corrective Action (CA) site. However, an owner/operator (0/0) may wish to begin remedial action at a facility, or several facilities, under its jurisdiction, before Ecology is ready to proceed with any such action. In these situations, the % 

### may also desire Ecology's oversight of their remedial actions. If requested, Ecology may enter into an agreement with the % 

### to oversee their remedial actions, provided the 0/0 agrees (1) to pay in advance for the department's costs and (2) the terms of the proposed agreement are acceptable to both parties. This policy outlines the requirements and limitations of such an agreement. This policy is not intended to address IndependentCA Cleanups where the % 

### is not seeking Ecology Oversight. 1. Prepayment Shall Be Required. If an % 

### has a site which is not prioritized for immediate action by the department, and wants to clean it up with the department's advice and oversight, then he/she may request an agreement with the department to pay for such oversight. Prepayment of such costs will be required. Prepayment methods shall be written into such agreement, and shall include a requirement that deposits be made before work is begun. Such deposit shall remain in the account until the last billing. All interest earned on that deposit will remain with the State of Washington.
2. owner/Operator [Respondent] Agree(s) To Negotiate"" A Consent Decree. The O/O(s) agree(s) to enter into negotiations on a Consent Decree or Agreed Order covering the anticipated actions on the site in which Owner/Operator(s) will be referred to as "Defendant(s)". 

# o

o

HWTR 

### 3-31 December 1, 1993 

# c

### DATE: CANCELS: December 1, 1993 NEW 

### PAGE: 2 OF 3



### 3. The Agreement Shall Address All Phases of Work. In order for the department to commit to an agreement the % 

### must be willing to address all phases of work within the prepayment agreement. This agreement shall estimate the direct and indirect costs the department will expend to oversee all phases of the CA cleanup from initial investigation through long-term monitoring.


### 4. Preoavment will Be Accomplished Through Formal Agreements. The formal agreement for prepayment of the department's technical assistance will take the form of either an Interagency Agreement (I/A) when the entity is pUblic or a Memorandum of Agreement (MOA) when the entity is private. These agreements shall cover all anticipated costs (through all phases). These agreements shall not replace, but be preliminary to, or work in conjunction with, any Consent Decrees or Agreed Orders which occur to effect the CA cleanup. When a Consent Decree or Agreed Order is in place to cover remaining anticipated costs, the Consent Decree or Agreed Order may replace the original agreement, provided the Consent Decree or Agreed Order includes all costs covered by the original agreement. 

### 5. Prepayment Agreement Shall Include the Full Cost of Hiring and Maintaining Additional staff. Because all new employees require extensive training and supervision, and experienced employees require continued training and direction to remain effective, it is essential that the costs of a proportional share

_ of the training and management activities be covered 

### oy· the prepayment agreement. It is necessary for employees working on prepayment agreements to be able to charge a proportionate share of that time to the prepayment projects, and not be an excessive drain on current funding which is dedicated to work on priority activities. It is the intent of this policy to allow work on CA projects which are not a high priority for the department with resources (including employees) hired specifically for prepayment project(s), and without the use of resources (including employees) dedicated to current program plan activities.

HWTR 

### 3-31 December 1, 1993

### DATE: CANCELS: 

### December 1, 1993 NEW PAGE: 

### 3 OF 3



### This does not preclude other Hazardous Waste 

### &Toxics Reduction (HWTR) Program or other agency staff from charging to this Agreement, provided they follow Site Log Policy (3-37) and Procedures.
6. Public Notice Shall Be Required For All such Agreements. 

### The department shall provide public notice on all agreements consistent with WAC 173-340-600. This includes notice to those who have made a timely request, those residing in the potentially affected vicinity, the newspaper of largest circulation and a public comment period. Notice will also be provided in the site Register maintained by the Toxics Cleanup Program.
7. Agreements Shall Be Amendable. 

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Anytime the department estimates that advice and oversight will require more staff time, more dollars, or a longer period of time, the agreement shall be amended to reflect the new estimate.
8. 

### Amendments To These Agreements Will Also Have Public Notice. 

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All substantive changes to these agreements shall receive pUblic notice and comment.
9. This Policy Shall Be Reviewed By The HWTR program Management Team At Least Once Every Two Years. 

### At least once every two years, the HWTR Program Management Team shall consider the status of the Prepayment program, comments and concerns expressed since the last revision, and consider the need for further revision.

HWTR 

### 3-31 December 1, 1993DATE: December 1, 1993 PAGE: 1 of 2 CANCELS: NEW'

PROCEDURE SEE ALSO: Approved by

__

PRO 3-33 Action by: REQUESTING APROGRAM INDEX CODE Action: Project/Site Manager

Regional Supervisor

HWTR Cost Recovery Coordinator 1.



### 2.
3.

4.



## s. Determines corrective action site is a candidate for cost recovery under the MICA alternative authority. Prepares Conceptual Approval Form (CAF) and Workplan Amendment Forms. Signs and submits CAF and Workplan Amendment Forms to the Regional Supervisor. If approves, signs forms and sends them to the HWTR Cost Recovery Coordinator. a. If denies request, returns unsigned forms to Project/Site Manager.
Reviews the CAF for impact on the Program workplan and budget.

Program Manager

HWTR Cost Recovery Coordinator

3-33 

### 6. Submits the CAF to the Program Manager. 

### 7. Informs Regional Supervisor of any delay beyond three days after receipt. 

### 8. ,Approves or denies CAF. 9. Returns signed form to Cost Recovery Coordinator OR: 

### 10. Returns unsigned form to Regional Supervisor and informs Cost Recovery Coordinator of the decision. 

### 11. Retains original CAF and Distributes copies to:

December 1, 1993DATE: December 1,1993 PAGE: 2 of 2 CANCELS: NEW
Action by;
HWTR Cost Recovery Coordinator
12. SEE ALSO: Action;

a. Project/Site Manager b. Regional Supervisor c. HWTR Central File Notifies HWTR Program Planner who modifies planning database. 

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13. Obtains new PIC and Project 

### # from Budget Analyst. 14. Updates Program/Section PIC List with the new PIC and ProJect 

### fl.



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o
3-33 December 1, 1993

# 0 HAZARDOUS VASTE 

### &TOXICS REDUCTION CLEANUP PROGRAM CONCEPTUAL APPROVAL FORM (CAF) [] PIC REQUEST 

## * [ ] CA SITE REQUEST

## * [ ] New (CHECK ALL APPROPRIATE) [ ] Additional $
CORRECTIVE ACTION SITE DESCRIPTION (If in workplan, site name is sufficient) NAME VAD 

### II

PROPOSED BEGIN DATE END DATE COST RECOVERY ESTIMATE

-- TOTAL $ THRU BIENNIUM $ SITE MANAGER

-- CLASS TOTAL HRS THRU BIENNIUM (HRS) OTHER STAFF

-- CLASS TOTAL HRS THRU BIENNIUM (HRS) LAB ESTIMATES

-- TOTAL $ , THRU BIENNIUM $ OTHER ESTIMATES

-- TOTAL $ THRU BIENNIUM $ IS THIS OWNER/OPERATOR VILLING TO MAKE PRE-PAYMENT? "[] YES [] NO

SITE MANAGER DATE (signature) REGIONAL SUPERVISOR DATE (signature) -"- COST RECOVERY COORD DATE (signature) [] PIC CODE [ ] APPROPRIATION CODE [] FUND INDEX CODE 

# IPROGRAM MANAGER DATE 

# I (signature)

3-33 December 1, 1993DAXE: December 1, 1993 PAGE: 1 of 2 CANCELS: NEW SEE ALSO: EIM 411 POLICY Approved by 3-35 SIXE FILE'S

-- CREATIOH, MAINTENAHCE " BXEMPTIOH

The Site File Is A Formal Record Of All**Ac~ivi~ies.** a. Site files correspond to a specific corrective action site. They are maintained separately from working files. b. Originals of all incoming documents/correspondence will be timely (within 20 working days) labelled and filed.
c. A copy of all documents sent out of the office will be timely labelled and filed in the site file. d. No comments will be written on original documents.
e. Site·files will be kept in a central location of each regional/field office.
2. The Manager Of Each Site Is Responsible For Site Files. The site manager ensures that the site file is properly set up (with a file index) and maintained; an ID number in pencil will be placed in the upper**righ~** corner· of each document. 

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3. Regional Office Public Records Coordinators**Assis~** Site Managers In Setting Up and Maintainig Site Files. 4. The HWTR headquarters' Public Records**Coordina~or** will provide the following to site managers and their designeeCs):
a. A uniform filing schema for sites. b. Training on the filing schema. c. Labels for site headings and subheadings. d. Training on Public Disclosure Laws Re: Exempt Status 

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5. Site managers/designees are responsible for identifying documents to be exempt.
a. The AG Staff are the fina·l authority on exempt designation. b. A separate, parallel file will be created for exempt documents. c. An index will be created and maintained for the exempt file.

3-35 December 1, 1993 

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### DATE: December 

### 1, 1993 PAGE: 1 of 

### 1**c~cns:** 

## Nn 

# '.**~~ ~~**  POL 3-36 SEE ALSO: POL 3-35 APPROVED BY:

__ POLICY EXEMPT DOCUMENTS
This policy applies whenever a site manager or Public Records Coordinator determines a document in a corrective action site file is exempt from pUblic disclosure.


### 1. The site Manager (Or Designee) Is Responsible For Determining Documents As Exempt From Public Disclosure. 2. The Public Records Coordinator Provides Training To site Managers On Public Disclosure Laws Regarding Exempt Status Of Documents. 3. The Attorney General Division staff ARE The Final Authority On Exempt Designation Of Documents. 4. Exempt Documents Are Placed In An 

### Exempt File Parallel To The site File Located In The Regional Office. 5. The Regional Public Records Coordinator Maintains The Exempt site File.


### a. An 

### index of the exempt. file is placed in the front of the site file.

HWTR 

### 3-36 December 

### 1, 1993

### DATE: December 1, 1993 

### PAGE: 1 of 

### 2 CANCELS: NEW SEE ALSO: POL 3-37 APPROVED BY:



# ------- PROCEDURE SITE LOG PROCEDURE FOR TRACKING SITE ACTIVITIES IN SITE LOGS 

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DEFINITION: site Log -Information recorded on a Site Log Form (see attached) to record work done by Ecology employees that can be reasonably attributable to a hazardous waste cleanup site. ACTION BY': Ecology employee incurring costs reasonably attributable to a hazardous waste cleanup site

First Line Ecology Supervisor ACTION: 1. Completes a separate site Log for each site-specific PIC shown on Time Sheet for the reporting period. 2. Each Site Log shall be filled out, signed and dated in ink; in increments no smaller than 0.1 hr.; and shall be consistent with the time sheet. (See the note in Section 3 on consistency and Section 1 on administrative time in Policy 

### 3-37.) 3. Submits the completed Site Log to supervisor for review along with the original Time Sheet. 4. Reviews the Time Sheet.and Site Log for accuracy and consistency. (Refer to note in Section 3 of Policy 3-37.) 5. Signs the Site Log to verify site Log is accurate and consistent with Time Sheet. 6. Submits the original Time Sheet/Site Log in a stapled packet to the Time Accounting section of the Fiscal Office. 

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HWTR 

### 3-37 December 1, 1993 

# oDATE: 

### December. 1, 1993 PAGE: 

### 2 of 2 CANCELS: NEW


### Time Accounting

Federal Grants/ Cost Recovery Section

Toxics Cleanup Program Cost Recovery Coordinator

Federal Grants/ Cost Recovery Section section SEE ALSO: 

### POL 3-37
7. Logs receipt of original Time Sheet/Site Log packet and forwards to the Federal Grants/cost Recovery Section.

8. Verifies receipt of a site Log for each site-specific PIC shown on the Time Sheets. 9. Contacts Toxics Cleanup Program Cost Recovery Coordinator .if a site Log is missing or hours shown on the Site Log are less than hours shown on the Time Sheet. 10. Contacts First Line Supervisor and obtains necessary information. Forwards response to Federal Grants/Cost Recovery Section. 11. Verifies information and files in Fiscal site files.

HWTR 

### 3-37 December 1, 1993WAD 

### /1 WASHINGTON STATE DEPARTMENT OF ECOLOGY HAZARDOUS WASTE 

### &TOXICS REDUCTION PROGRAM SITELOG SITE NAME, ---'- MONTH YEAR,

_ NAME PAYROLL 1-15**:I@IHtt::Ml?:::::TU~P.Jii!&~!:~** 

### PERIOD 16

-31

----- PIC

_

DATE HOURS ACTIV ACTIVITY DESCRIPTION WORKED ITY (SEE REVERSE FOR TYPICAL ACTIVITIES)

I

### EMPLOYEE'S SIGNATURE DATE,

_ DATA ON THIS FORM IS INAGREEMENT THE EMPLOYEE TIMESHEETS 

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o

SUPERVISOR'S SIGNATURE

3-37 DATE

_
December 1, 

### 1993 

# oDepartmentof Ecology, Toxies Cleanup Program Staff Rates

Hourly rate schedule based on:

15.5%leave/holiday 83.0%program support 29.3%agency indirect

1 Administrative 2 Entry-Level Professional 3 Journeyman Professional 4 Staff Professional 5 Project Professional 6 Senior Project Professional 7 Staff Management 8 Senior Management $34 $42 $48 .$55 E 3

$63 ep3 $70 $n $94 

# DRAFT

costs.wk1,29-Nov-93costs.wk1,29-Nov-93 

# oDepartmentof Ecology, ToxicsCleanup Program Staff Rates 

# e Hourly Cost of TCP Employees Projected Pay Charge-out Cateqory Classification Orade Rate 5 Computer Infor. Consultant3 54 $63 5 Environmental Engineer 2 54 $63 5 Environmentalist4 55 $63 5 Industrial Hygienist3 55 $63 5 EcologySupervisor 2A 55 $63 5 Environmental Planner 3 55 $63 5 Hydrogeologist3 55 $63 5 ContractSpecialist 3 56 $63 5 EcologySupervisor 28 57 $63
6 EcologySupervisor 3A 59 $70 6 EcologySupervisor 2C 59 $70 6 Environmental Planner 4 59 $70 6 Environmental Engineer 3 60 $70 6 Environmental Engineer 3a 62 $70
7 Environmental Planner 5 63 $n 7 EcologySupervisor 38 63 $n 7 Environmental Engineer 4 64 $n 7 EcologySupervisor 3C 65 $n
8 EcologySupervisor 48 69 $94 8 AlD Waste Management 74 $94

costs.wk1,29-Nov-93

### CANCELS: New DATE: December 1, 1993 Page: 1 

### of3 See

### Also: 

# c

POL 3-39 Approved by:



# --------- POLICY FINANCIALASSURANCEFORCORRECTIVEACfION Thispolicyis 

### toprovideguidance on financial assurancefor correctiveaction (F

### ACA). RCRASection3004(u) requires facilities receivingor applying for permits afterNovember8, 

### 1984 toprovideforfinancial assurancefor the costs of completingcorrectiveaction(CA). Detailedrequirements forFACAwere proposedon October24, 1986 (54FR37854); however, to date there are no final financial regulatoryprocedures, requirements, or acceptablefinancial mechanisms. 1. 

### FinancialAssuranceis RequiredToEnsureCompletionofCACleanup.



### 2. FACAisrequiredinordertoensurethatowners and operators ofRCRA treatment, storageand disposal (TSD) facilities undergoing CA have the means to complete remedialobligations. Accordingly, this policy requires financial assurance andprovidesfor two allowable financial mechanisms: theTrustfund and FinancialTest. CACostEstimates Are 

### ReguiredAsPartOf The CleanupActionPlan. The cost estimate, preparedaspartofthe CAEngineeringDesignReport, serves as the basis for FACA The costestimatemustinclude annualremedialCA costs as well as theirtotalcosts. Annualcostestimates should accountfor allproposed corrective actionactivities to beundertakenduring agivenyear. Cost estimates must be basedon third-partycosts. 

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3. The CACostEstimates Are 

### To BeAdjusted/RevisedAnnually. Corrective actioninflationadjustments, unlike post-closure care estimates, must be adjusted annuallythroughoutthe correctiveactionperiodeven if

### CA continue afterotherwaste managementactivities have ceased. Annualrevisions are requiredwhenthere are changes in the measures or durationof the corrective actionandfor inflation. Adjustmentsforinflationarebasedon the Implicit Price Deflatorfor GNP. Inflationadjustments are due 60 dayspriorto the anniversary ofestablishmentof a financial assurance trust or 30 days afterthe close of the owner /operator's fiscalyearwhen the financial test isused. Correctivemeasure estimate adjustments are due 30 daysafterthe modificationapproval. 3-39 December 1, 1993 

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### 5. FACAFinancialTest Ensures AdequateResources Exist toFinanceCA.

6. 

### FACATrustFundEnsuresThatAdequateAssetsWill

### BeAccumulatedForCA. 

### 4. FACA Is To BeIncludedIn The En2ineerin2DesiwAtTIme OfCA Remedy. FACAmustbe included aspartof the CAEngineeringDesignandbe inplace at the timeofCAremedyand approvaloftheoperations andmaintenanceplan. FACA

### isimplementedthroughthe permitprocess and/orthroughthe corrective actionorderorconsentdecree as providedfor in WAC 173-340-440(6). 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 

### 1 1 1 1 

# ,
1 December I, 1993 

### Page: 2 

### of3 

### See Also: Approvedby:

_

3-39 

### December 1, 1993 DATE: CANCELS: New 

# .,,-,
-X·**~;'** 

### ,

.**r~;;.** ;i

..'Ill>



### The structureof the FACAtrust fund differs from thatused forclosure andpost-closure carebythe amountoffinancial assuranceprovided (basedon CA costestimates occurring afterashortpay-inperiod), by the pay-in period, and by the paymentformula. TheFACAtrust willcoverthatportion(i.e., notall 

### costs) of CAremedial costestimates occurring afterthe pay-in-period. Thereasonfor this isthatfacilityowner/operatorwill 

### be paying for currentcorrective actioncosts during the pay-in-period. The owner/operatorwill 

### also be funding the FACAtrustduring this same pay-in-period. Thepurposeof the FACAfinancial testis to ensurethatthe owner/operatorofthe RCRATSD facilityundergoingCA has adequateresources tofinance it. Pleasenote thatthe Bond, LetterofCredit, Insurance CertificateorCorporateGuaranteeisnot includedas an allowablefinancial mechanismfor FACA TSD's selectingthe financial testmechanismfor FACAwill 

### add the CAestimatedcosts forremediationto those closure and post-closurecostrequirements alreadyincludedintheirfinancial test. The owner/operatormustmeetall the financial testrequirements for the accumulative amounts of closure, post-closure and CAestimatedcosts.

Thepurposeof the FACAtrustfund is to ensurethattherewill

### be adequatefunds accumulatedto finance the CAremediationafterashortpay-in-period. Thetrustfund is a pay-as-you-go financial mechanism. It isnotedthatduring thepay-in-period, the TSD facilitywill

### be financing currentperiodCAcosts along with funding the trust.

HWTR 

# e

### CORRECTIVEACI10NTRUST FUND EXAMPLE CostEstimate 

# c
Year 1 Year 2 Year3 Year4 Year5 $2,000,000 2,000,000 1,500,000 1,500,000 1,000,000 Year 6 Year7 Year8 Year9 Year 10 $1,000,000 800,000 800,000 600,000 400,000
TotalCorrectiveactioncosts ...... $11,600,000 Assumption: Apermithas beenissued for 10 years, the annual inflationrateholds steady at 3% peryear, the annualtrust fund earnings rateis 5%, and that there are no otherchanges in 

### the annual estimatedCAremediationcosts. The pay-in-period(Y), therefore, wouldbefive (5) years. The balancerequired(BR) forYear 1 would be $3,600,000(Cost offundingfor Years 6-10), the estimatedcostafterthe pay-in-period. The requiredfirstannualpaymentP(Year 1) would be computedasfollows: P(Yr 1)

## =(3,600,000 - 0)/(5 - 0); P (Yr 1)

## =**~720.000.** 

### P(Yr2) = 

### ([3,600,000 X 1.03] - [720,000 XLOS])/ (5-1) P(Yr2)

## =(3,708,000 - 756,000) / 4

## =$738.000. P(Yr3) = 

### ([3,708,000 X 1.03] - [{756,OOO 

### +738,OOO} X 1.05]) / (5-2) P(Yr3) = 

### (3,819,240 - 1,568,700) / 3 =**~750.180.** 

### P(Yr4) ([3,819,240 X 1.03] - [{1,568,700 

### + 750,180} X 1.05]) / (5 -3) P(Yr4) 

## =(3,933,817 - 2,434,824) / 2

## =$749,496. P(Yr 5) = 

### ([3,933,817 X 1.03] - [{2,434,824 

### + 749,496} X 1.05]) / (5-4) P(Yr5) 

## =(4,051,832:- 3,343,536) / 1

## =**~708,296.** 

### P(Yr6) = 

### ([4,051,832 X 1.03]

- [{3,343,536 

### + 708,296} X 1.05]) / 1 P(Yr6)

## =(4,173,387 - 4,254,424) / 1

## =lQ*,
• Because the earnings rate (5%) isgreaterthanthe inflationrate (3%), the Yr 6 computedannualpaymentamountdue is negative; therefore,no annual trust payment would be required afterYear5,Financingfor theremainingCAplannedremediation activities afterYr 5 would come from distributionof the trust fund assets. 

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I**I~** HWrR 3-39 December 1, 1993 

# G