# • '1111'1'" '"'\ ,.,.1'1'" " ECOLOGY . ,"::

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POLICY 3-9 HAZARDOUS VAST! INSPECTIONS This policy applies whenever Solid and Hazardous Yaste Program staff conduct inspections at hazardous waste facilities, transporters, or generators.
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4. Hazardous Vaste Inspections Vill be Conducted to Ensure the Requirements of Chapter 173-303-VAC and Chapter 70.105 RCV are Met Hazardous Vaste Inspections Vill be Conducted by Regional Office Staff During Inspections. Primary Emphasis Vill be on Protecting the Health and Safety of Inspectors The health and safety of inspectors is a major concern of the Solid and Hazardous Yaste Program. All inspectors will receive safety training as outlined in WAC 

### 292·62-3040 before conducting inspections and a11 inspectors will participate in the medical surveillance program as described in WAC 

### 292-62-3050. Inspections will be conducted in accordance with agency and program safety plans and guidance. Inspections Vill be Conducted Pursuant to Procedure 3-9 (Chapter 8 of the Hazardous Vaste Field Employees Manual) Procedure 

### 3-9 provides guidance for:
o preinspection activities
o types of inspections
o on-site procedures
o inspection report content and format

o enforcement action format
o report filing and turnaround time
APPROVED DATE

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PROCEDURE 3-9 HAZARDOUS WASTE INSPECTIONS HAZARDOUS WASTE FIELD EMPLOYEES HANDBOOK

-- CHAPTER 8
1.0 INTRODUCTION 2.0 INSPECTIONS 2.1 Types of Inspection 1 1 1 2.1.1 2.1.2 2.1.3 2.1.4 2.1.5 2.1.6 Comprehensive Evaluatiqn Inspection (CEI) Comprehensive GroundwaterMonitoring Evaluation (CME) Operating andMaintenance Inspection (O&M) State-PriorityInspection State Drop-In Inspection Joint and Oversight Inspections 1 3 4 5 5 6 2.2 Inspection Frequency 2.3 Inspection Procedures 6 8 

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2.3.1 2.3.2 2.3.3 PreinspectionActivities On-Site Procedures Determining the Need for Sampling and Sampling Procedures 8 11 14 2.4 InspectionReport 

### 16 2.4.1 2.4.2 2.4.3 2.4.4 InspectionReport Content and Format Summary

- Enforcement Confidential Filing InspectionReports and Related Information

. .. InspectionReport PreparationTimelines and Review 

### 16 18 

### 19 19 2.5 Enforcement Process 20 2.5.1 2.5.2 Recommendations for Enforcement Enforcement Action Format
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## 7 DATE: 

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# oSOLID 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 ofhazardous waste handlers regulatedby Chapter 

### 173-303 WAC and any necessary enforcement follow-up. Section 2.1 ofChapter 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 ofAgreement (MOA) which characterizes the working relationship between the two agencies. Specific details of this relationship are further specified in the annual State/EPAAgreement (SEA). The SEA defines the number of inspections, closures, permitting work,**an~** regulatory andpolicy enhancements that Ecology will complete during the upcoming year. Additionally, Ecology develops a state annual planwhich 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 undertakenby Ecology during**agive~** year, they should be reviewedby all inspectors on an annua1.basis.

. There are several types of inspections thathazardous waste staffmay conduct. Manyof these have been definedby 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 conductedby 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- 303WAC and any permit requirements. It is intended to evaluate the handler's compliance with all applicable requirements. The inspection includes a characterization ofthe facility's activities identifying types ofhazardous and solidwastes on site and units which generate, treat, store, or dispose ofhazardous and/or solid wastes. The**inspecti~n** includes an examination ofrecords and other documents requiredby 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 shouldbe reviewed for adequacy. Closure/post-closure plans shouldbe reviewed for adequacy including cost estimates. This is particularly important when closure ofthe facility is imminent. Other documents shouldbe 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, ifa facility is a generator anda TSO, all activities at the handler mustbe evaluated and the checklists for generator andTSOmust be completed. A CEIcan result in identification ofthe need for more comprehensive inspections, sampling, or the need to review a document in greater detail. Comprehensive evaluation inspections**conduct~d** at final status facilities differ from inspections at interIm status facilities in that the inspection review is evaluated against the written permit requirements rather than the state dangerous waste regulations. It is incumbent upon the inspector to carefully review the permit requirementbefore undertaking a final status facility inspection.
Table 2.1 TSO COMPREHENSIVE EVALUATION INSPECTION (CEI) PreinspectionActivities File andpermit review, coordination, hazard identification, equipment assembly, and travel InspectionActivities Facility document/plan review Facility walk-through Post-inspectionActivities Complete checklist/report Develop compliance recommendation Lab analysis Compliance assistance to facility. eEl Total (TSO): 108 hours

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### 2.2 GENERATOR (WITH LAND BAN) COMPREHENSIVE EVALUATION INSPECTION (CEI) PreinspectionActivities File review, coordination, hazard identification, equ!pment assembly, and travel InspectionActivities Facility document/plan review Facility walk-through PostinspectionActivities 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.CME is a detailed evaluation of the adequacy of the design and operation ofa facility's groundwater monitoring system. When a CKE is conducted at a facility, a CEt should also be conducted during the same fiscal year. Evaluation of the groundwater monitoring system design shouldbe conductedby a hydrogeologist or a professional with comparable experience and should include the review ofthe owner/operator characterization of the hydrogeologybeneathhazardous and solidwaste management units (SWMUs); monitoring well placement/depth/spacing; andwell design and construction. It.is essential that the CHE ensure that the owner/- operatorhas designed an adequate groundwater monitoring system. In addition, an integral part of'the CME is the review ofthe operationof the groundwater system through an evaluation ofthe owner/operator's sampling and analysis plan and implementation. CKEs shouldbe 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 ofsafety considerations when sampling) as a random check ofgroundwater quality data and at any wells whichhave indicated releases to support enforcement for corrective action. A comparison ofEPA/state and owner/operator analytical results canbe used to assess laboratory accuracy and establish the reliability of owner/operator submitted data.

3-9-3t---- For interim status facilities, the CKE should evaluate whether a facility operating under detection monitoring shouldbe operating under assessment monitoring. For final status facilities, the CKE should evaluate whether detection monitoring, compliance monitoring, or corrective action monitoring is the appropriate approach. Ifdetermined necessary, the inspector should develop the scope ofa follow-up case development investigationwhich should include additional sampling. CKEs 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 ofthe plan.
Table 2.3 COKPREHENSIVE GROUNDWATERKONITORING'EVALUATION (CKE) PreinspectionActivities File review, coordination, hazard identification, equipment assembly, and travel InspectionActivities Inspectmonitoring wells Evaluate sampling program Collect samples PostinspectionActivities Evaluate data results Final evaluation and report' Lab analysis CKE Total: 220 hours
2.1.3 Operating and Kaintenance Inspection 

### (Q&K> AnO&Kinspection is an evaluation ofthe adequacy ofa facility's implementation of their groundwater monitoring plan and shouldbe conductedwhen no substantial deficiencies were noted in a previous CKE or no substantial changes which would affect the,hydrogeologyhave occurred since the last CKE. This evaluation shouldbe conductedby a hydrogeologist and includes a review ofthe 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 requiredby EPA, however, they are recommended for a check on,the facility's analytical results. Anevaluation ofthe condition of the monitoringwells is also part ofthis inspection. 

### An

### O&M inspection can result in the identification ofneed for a more comprehensive inspection (CKE).

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### 2.4 OPERATING AND MAINTENANCE INSPECTION (O&K) Preinspection Activities File review, coordination, hazard identification, equipment assembly, and travel Inspection Activities Inspectmonitoring wells Evaluate sampling program Review sampling procedures PostinspectionActivities Evaluate data results and prepare report Compliance Assistance to Facility O&KTotal: 200 hours
2.1.4 State-Priority Inspection Astate-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 ofhazardous and solidwaste on-site and units which generate, treat, store, or disposal ofhazardous and/or solid waste, and an on-site examination ofrecords and documents as specified in the CEI definition. Astate only inspection differs from a CEI in that (1) contingency, training, and closure, 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 inspectorhas the option ofconducting a more detailed review offacility plans iftime is available. Comprehensive evaluation**inspections~­** O&Ks, and CKEs are generally conducted to fulfill EPA requirements and maintain RCRA authorization. State-priority inspections allow the state to focus on more specific problem industries inWashington. 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 initiatedby a citizen complaint or as a**follow~up** to a previous inspection and can encompass a broad range of investigative procedures. Drop-in inspections do not generally require full length inspection reports.

3-9-52.1.6 Joint ond Oyersisht**~nspections** Aspart of the SEA requirements, the EPA and Ecology will coordinate on joint or oversight inspections. Joint inspections canbe conducted at Ecology or EPA request to facilitate information gathering or enforcement effectiveness. The EPA conducts oversight inspections for the purpose ofassessing the quality ofstate conducted inspections. The oversight includes both procedural and technical aspects ofthe on-site inspection and thorough review ofstate enforcement recommendations. 2.2 Inspection.Frequency Frequency ofCME, CEI, and O&K facility and generator inspections are mandatedby the EPA. These requirements are identified in the SEA as state commitments. The type offacilities, kind of inspection, and frequency in which they occur is outlined inTable 

### 7.1. 

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### Table 2.5 EPA Inspection Requirements (Per 

### 1990RCBA Implementation Plan) Facility Disposal Disposal (Active) Disposal (in Closure Proceedings) Disposal
Treatment Storage Type ofInspection CKE
CEI
CEI O&M


### GEl
GEl Frequency Once (unless substantial facility modifications) Once every year
Once 

### every twoyears Once every three years after CKE Once every twoyears (50\ 

### ofuniverse) Once every twoyears (50\ 

### ofuniverse) TSD Receiving CERCLAWaste Generator State Priority Generator TS Facilities Regulated by State Statute Only Federal TS facilities
State or Local Government Facilities GEl GEl GEl GEl
GEl
GEl

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### Once every sixmonths Per annual SEA/RlP As resources permit Once every twoyears (recommended) Once every**year~by** 

### Ecology or EPA) Once everyyear (by Ecology or EPA)2.3 Inspection Procedure. 2.3.1 PreinspectionActivities There are seven major preinspection activities that the inspector should undertake prior to the actual inspection:

• Define the scope of the inspection. Review files. 

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• Discuss the facility history/operationwith knowledgeable staff. Contact the facility, 'ifnecessary. Determine health and safety requirements and prepare a safety plan. Prepare an inspection outline (as necessary). Prepare equipment.

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I. Defining the Scope ofthe Inspection The critical initial step in planning an inspection is to define the scope ofthe inspection. The scope will depend largely on the purpose and objectives ofthe inspection. For example, the scope ofa routine compliance evaluation inspection will be different from the scope ofan inspection conducted to assess facility compliance with permit deadlines.**Th~refore,** the inspector must first determine the purpose and objectives of the inspection in order to define the scope. Typically, inspections maybe performed for a number ofpurposes, including:

• Routine periodic assessment ofcompliance with Chapter 173-303 WAC.

• Review offacility activities or status with respect to an administered enforcement action.

• Review offacility compliance with deadlines established in the facility's RCRApermit.

• Response to information received concerning allegedviolations at the facility. Inspections for some ofthese 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 ofall RCRA-related activities at the facility

.. File Review Facility files are perhaps the best source of information for new inspectors. They can, ifthey are complete, provide a detailed picture of the facilities industrial processes, waste handling procedures, and 3·9-8 

# cenvironmental compliance history. If available, the following specific items shouldbe reviewed:

• RCRA HSWA Permits

- types ofwaste managed, design ofunit; special conditions.

• State Waste Discharge Permit/NPDES Permit

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

• SolidWaste Permit

- types ofwaste managed, design ofunits, special conditions.

• Past Inspections

- inspection reports; hazardous, solid, water, and air. Documented past violations, complaints, spills, etc.

• Compliance History

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

• Contingency plans, training plans, closure/post closure plans, financial assurance instruments, health and safety plans, etc. StaffDiscussions Discussions with Ecology staffwhohave been to the facility canprovide information not necessarily found inwritten records. Stafffamiliarity with the facility, its personnel, and special environmental investigations all need to be determined. After staffdiscussions and file review, the inspector should determine iflocal city or county officials have any special concerns regarding the facility. The inspector's supervisor shouldbe 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 ofcomplex facilities mayrequire a substantial amount offacility workers' time. Ifthe inspection cannot·be completed in a day, it maybe desirable to schedule a return date with the facility representative to ensure that facility staffare.avai1ab1e. For inspections where groundwater sampling will be conducted (CKE and COM), the inspector mayelect to contact the facility in advance ofthe inspection to coordinate sampling.
3-9-9It is not appropriate to notify a facility suspected ofcriminal illegal dumping or other criminal violations prior to an inspection, because notification would provide the facility an opportunity to cover-up the illegal activity. Generally, it will not be appropriate to notify

.facilities in advance of inspections performedwhere violations are

knownor suspected to exist, where the purpose of the inspection is to support a specific enforcement action, and/or where a ·cover-up· is anticipated. Inspectors should consult with their supervisors'or attorneys ifthey have questions concerning advisability ofnotifying a facility ofan inspection. Methods used to notify facilities vary with inspection purpose, and include: • Anadvance phone call to the facility to notify the facility of the inspection date and make appointments to see particularpersonnel. • Anannual notification letter which establishes the authority for inspections without specifying an inspection date. • Aspecific inspection letter sent out a monthbefore the inspection informing the facility that at inspection will be conductedwithin a month. Determining Health and Safety Requirements Although routine inspections generally do not involve activfUes in which inspectors mustphysically contacthazardous wastes, there is always the potential for inspectors to be exposed to hazardous wastes or substances during the course of an inspection. Therefore, inplanning the inspection, inspectors should: 

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• Determine the nature ofthe chemical hazards thatmay be encountered during the inspection (based on the types ofmaterials handled on-site, as**identif~ed** in the fire review). Complete boilerplate site health and safety sheet. Obtain andbecome familiar with all applicable safety guidance and practices. Identify and obtainproper safety equipment. Become familiarwith the properuse ofsafety equipment (ifnot already familiarwith its use), check equipment for proper function, and conductnecessary maintenance on the equipment (if appropriate andwithin the technical abilities of the inspector). Determine any facility-specific safety requirements by contacting the facility (only in cases where the facility is beingnotified of the inspection) orby review ofprevious inspection files. Have emergency phone numbers available.

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----------**~----.**In somecases, the inspector will have limited information on the facility, or maybe inspecting an uncontrolled site. The inspector shouldbe 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 inwhich 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 orhave available standard personal equipment issuedby**Ecology~** Items that shouldbe worn during all inspections include hardhat,- safety glasses, and steel toe boots. At other times different gear may be required depending upon the circumstance. Some of these, items mayinclude rain gear, neoprene boots (steel toed), hip boots, gloves, respirator, goggles, ear plugs, and ELSA (emergency life support apparatus). Abasic sampling kit shouldbe assembledby the inspector. This kit should include pHpaper, fluorescence dye tablets, bottles, labels, collectors guide, cooler, write-in-rainbook, indelible pens, pencils, etc. These items maybe modified, as appropriate, when conducting scheduledwaste sampling or when groundwater samples are taken. The inspector should carry a copy of the current set ofhazardous 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 downthe inspection. This checklist shouldbe completed as muchas 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 beginwith an introduction and a statement ofpurpose. Ecology ID shouldbe presented at this time. Typically, this is done in the facility contact's office or in a meeting room. Anexplanation ofwhat the inspectionwill consist of, Departmental procedures, and any regulatory 3-9-11, +--. requirements that have recently changed should be discussed. This is • good opportunity to review facility maps and get clarificationon any questions about facility processes or products. The inspector should also request permission to take photographs at this time, bearing in mind that Ecology staffhave authority to take photographs germane to the inspection. Holding the opening discussion immediately after receiving access to the facility maynot be appropriate in all cases. Depending upon the objective of the inspection, the inspector maywant to seeparticular operations or locations in the facility prior to the openingdiscussion. For example, in an unannounced inspection ofa facility with a suspected violation, the inspector may want to go directly to the site ofthe suspectedviolation in order to observe the area before the owner/operator can stop, conceal, or otherwise obscure the noncomplying operation or condition. It is important that during the opening discussion, ifone is held, or other initial discussionwith the owner/operator (e.g., while walking to the location ofa suspectedviolation), the inspector establishcontrol of the inspection in a firm, professional manner. While inspectors should, ifpossible, avoid causing undue disruptions offacility operations, the inspector should remember that he or she is incharge ofthe inspection. During the on-site visit the inspector will build a working relationship with the facility representative. This relationship mustbe built on a foundation of forthrightness on Ecology's part regardless ofthe facilities position or representative's demeanor. The inspector may be asked to sign a site access and liabilitywaiver prior to beginning the inspection. On the advice ofourAttorney General (December 5, 1985), the inspector should refuse to signthis type ofdocument. Bysigning such a document, it indicates that Ecology assumes the liability for the inspector's safety, which is incumbent on the facility rather than Ecology. Furthermore, the inspectordoes not have the requisite authority to enter into such an agreementwith the facility. To date, entryhas notbeen denied an inspectoron this basis. When and ifit does occur, the procedure would include notifying the AG's office and obtaining a searchwarrant to gain access to conduct the inspection. There is a discussion on procedures to follow for denied access and use ofa warrant to gain access in the 1988 EPARCRA InspectionManual (pages 4-5 through 4-8). In general, the visual inspection ofthe facility shouldproceed in accordance with the inspectionplanor strategy developedby the inspector during inspectionplanning. The inspector may, however, determine that it is appropriate to modify the planbasedupon information obtaIned during the record review ofother factors, such as the availability of specific personnel for Interviewing or the scheduledoperations ofwaste management units to be inspected. Whenplanning andperforming the visual inspection, it is generally desirable for the inspection to proceed in a waywhIch allows the 3-9-12 

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oinspector to evaluate and understand the waste flow within the facility and to determine the compliance status ofeach 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, inbrief:

• Inspect points ofwaste generation and accumulation. Determine if the owner/operatorhas identified all hazardous wastes based on generating operations, and determine ifaccumulationpoints meet satellite storage area requirements, if applicable.

• Evaluate in-plant waste transport from generation and accumulation points to storage and treatment units. Determine ifthere is potential for**mislab~ling,** misplacing, or mishandling wastes, and

.ifwastes are adequately tracked to enable proper identification at

storage and treatment units.

• Evaluate storage and treatment units for compliance with applicable standards. Determine ifwastes in units correspond to those whose points of generationhave been inspected, and identify where any other wastes in the units come from. Determine ifanyhazardous wastes are generated in the unit (e.g., treatment sludge) and evaluate the management of suchwastes for compliance. This type of flow enables the inspector to understand the movement and control ofwastes within the facility, which is important in order to identify:

• Hazardous wastes which maynot currentlybe consideredhazardous 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 maybe mishandled or misidentified, and inwhich there are opportunities for spills or releases.

• Unusual situations which may be encountered during the inspectionwhich vary from the facility's statednormal operating procedures andwhich may indicate potential violations. During the inspection, photographs ofall violations identified should be taken. On the inspection log identify location, direction ofphoto (north, south, etc.), what is being photographed, and preliminary environmental and regulatory analysis. Care shouldbe taken to note factual information only, not impressions. The following listwas suppliedby our inspectors suggesting items to look for during the inspection in addition to items listed on checklists:

• Integrity ofcontainment (cracks in concrete, etc.).

3-9-13• Drains.

• Inspection dates on fire extinguishers.

• Stains on ground.

• Stressedvegetation.

• Proximity of ignitable wastes to power lines, propertyboundaries, etc.

• Safety equipment storage areas.

• Transformers.

• Correction.ofpast violations. Throughout the inspection, the inspectorhas the right to ask any question and go anyplace on the plant site that is germane to the inspection. All areas shouldbe inspected, especially ifan area is being avoided. Questions should always be asked in a polite and, ifnecessary, insistent manner. During discussions with faCility personnel, the inspector should focus on the facts. Special attention shouldbe taken to avoid conversations into areas ofspeculation, i.e., the extent ofa newly discoveredproblemorpossible enforcement scenarios. There will be manytimes when questions are asked directlyby the facility that do nothave answers that are readily apparent. There is nothing wrong with stating, -I do not know the answer to the question.- Simply tell the individual(s) that youwill getbackwith the information as soon as you can. This is muchbetter thanbeing inerror or providing themwithmisleading information. It is important toprovide the follow-up information as soon as possible. Ifthe facility representative cannot answer a questionmake a note of it andrequest the information in a follow-up letter. Following the on-site walk through of the facility an exitmeeting should take place. It is at this time that the inspector thanks the facility for their time and informs them ofhisfher preliminary findings. These findings do not need to be all inclusive nor should they include possible enforcement actions. Ifany immediate corrective action is required for any observedviolation, it shouldbe reviewed at this time. Ifthis is the case, and a critical or serious violation is involved, it shouldbe documentedby a field compliance letter (page 22). 2.3.3 Determining the Need-for Sampling and Sampling Procedures Sampling is conducted (1) routinely during a CKE or O&K inspection to characterize groundwaterbeneath a facility, or (2) to verify the identity of a waste or to identify potential releases ofhazardous wastes or constituents to the environment. Groundwater sampling 3-9-14 

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# ogenerally does not put the inspector at risk ofexposure to hazardous substances; however, the Solid and Hazardous Waste PrograM Safety Plan shouldbe consulted if the inspectorhas any doubts. Aside from groundwater sampling during eKE or O&M inspections, there are manypossible conditions or activities which may lead the inspector to determine that sampling maybe advisable. Examples of SOMe of these conditions include situations inwhich: - The owner/operator is handling a potentially hazardous waste as a non-hazardous waste.

- In-plant waste handling practices indicate that mislabeling/misidentification ofwaste is likely to occur. or that wastes mayvary significantly in characteristic over time andbe mismanaged as a result. -There is visible or other observable evidence ofpossible releases ofhazardous 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 ofquestionable waste management practices, the sample will be used to identify noncompliance and support case development and shouldbe handledwith appropriate care. The inspector shouldhave enough knowledge of facility processes andpotential wastes to specify a narrow range of parameters to be analyzed. thus saving the laboratory the time and expense ofa mu1tiparameter analysis. Chapter 4 ofthe Hazardous Waste Field Employees Handbook discusses use ofthe Ecology lab and sample handling. Generally, the facility representative will collect the sample under the direction ofthe inspector. The inspectormayrequest a sample split from the facility representative to verify the analytical results. The' facility representative must collect all samples from drums or other containers. Facilitypersonnel should take all samples following existing sampling and analysis protocols in the facility permit, and any changes to protocols requestedby the inspector. For unpermitted facilities, the inspector will establish the**~ampling** and analysis plan. The Solid and Hazardous Waste Program Interim Safety Plan outlines some situations where SHY staffare 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 environmentwhere level Bprotection is required. However, at this writing. the agency does not have a delineated procedure to determine that level Bconditions are present in a particular situation.

3-9-15If the inspector chooses not to have samples taken during an inspection, potentially noncomplying conditions or criminal activity should be identified with notes and photographs for possible future case development 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**p~blic** document and may be requested for review. Ifenforcement is warranted as a result ofthe inspection, the inspection report will be usedby the Department or the facility in

-the course ofa hearing. Therefore, all inspection findings mustbe

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 submittedby 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 ofthese documents sometimes takes a considerable amount oftime, e.g., closure, waste analysis, or groundwatermonitoring plans. In these cases, the report shouldbe draftedwith the available information immediately after the inspection and finalized at the conclusion ofthe additional review. The timeliness of the written report is crucial, particularly in those instances where violations were documented. It does notbenefit the agency, the facility, or the public ifthe Departmentdoes not convey the results ofan inspection to the facility in a timely manner. 2.4.1 Inspection Report Content and Format The inspection report contains a narrative description ofthe activities conducted during the inspection, the results ofthe inspection, including the violations noted and the appropriate citation, and a compliance checklist. This is a neutral documentwhich identifies.violations observed. The report mustbe objective; it should contain only relevant facts. Additional documents maybe attached ifthey apply to the

-- inspectionunder consideration. The narrative description is designed to both augment andhighlight 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" documentwhich provides a basis for enforcement action. It gives the Department a view ofconditions at the entity at the time ofthe inspection. Aletter listing the violations discovered is sent at the conclusion ofthe inspection. Handlers use inspections, inpart, to gauge their ability to manage hazardous waste in an environmentally safe manner.
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# oAlthough each inspector has hisfher ownstyle ofwriting, and each regional office has their ownprocedures, the inspection report format andbasic content shouldbe consistent statewide. The narrative of the inspection report should be in the following format. Drop-in inspections may be documented in an abbreviated format. I. Introduction (Done on a**sep~rate** sheet) A. Name and address ofentity B. EPA ID Number (WAD ) C. Date(s) and Time(s) ofInspection, and Date of Inspection Report. D. Type of inspection (i.e., CEI, CME, Record Review) More than one type of inspectionmay·be occurring

-- all types shouldbe listedbeginning with most prevalent E. Reason for evaluation F. Personnel present during inspection (list all Ecology, EPA, and entity personnel) II. Facility Description Briefdescription ofmanufacturing processing including description ofgenerator or interim status/permit activities, etc., including types, number, and capacity ofunits (ifno changes have occurred since the previous inspection, reference

.to the past report maybe adequate). Abriefdescription of

the handlers regulatory history including the status ofany permit proceeding may be included. Significant findings since the last inspectionmayalso be noted. III. Description ofInspection 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 shouldbe placed in SectionVI). 2. Violations

3-9-17C. Sampling (results maybe added a briefaddendum to report) 1. 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 relate to hazardous waste management since last inspection, ifappropriate V. Attachments A. Checklist(s) 

### B. Photographs 

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tI VI. Land Disposal Restrictions (LOR) A. Documents reviewed B. Violations. All violations shouldbe referred to the EPA for enforcement. IfEcologybecomes authorized to administer the HSWA program, Ecology staffwill conduct any necessary enforcement follow-up. 2.4.2 Summaryof Inspection Acopy ofSection I ofthe. inspection report and the information listed below shouldbe submitted to a confidential file. This is not considered a part of the inspection report, but it canprovide abasis for enforcement recommendations and it is needed to received "credit" for the inspection. A. List ofareas evaluated (see RCRIS reporting instructions) B. List ofviolations and classification

3·9-18 

# oC. 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 [ilin, 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 ofnon-confidential documentation, which mayinclude:

• Objective inspection notes.

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

• Photographs.

• Drawings andmaps. Aseparate 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 recommendationmust 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 ofthe inspection report shouldbe conductedby a dangerous waste inspector (or equivalent) other than the inspector that wrote the report and one"and only one supervisor (eitherunit leader

### or section supervisor). Whentwo or more dangerous waste inspectors inspect a facility, one of the teammembers canprovide the required peer review. Acopy ofthe inspection report shouldbe transmitted to the Hazardous Waste Development and Support Section (HWDSS). 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 programplanning activities:

• All inspection reports shouldbe submitted to the HWDS program plannerwithin 35 working days ofcompletion of the field work.

• Inspectors should enter all preliminary inspection report data into the RCRIS reporting systemwithin five working days ofcompletion 3-9-19of the field work. The RCRIS system shouldbe completely updated within five working days ofcompletion ofthe report. The inspection report contains nonconfidential information and canbe**~nt** to the facility inspectedupon request. However, completed reports should not be systematically mailed out to facilities as the inspector canbe unnecessarily burdenedwith 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 WAC. Ecology's enforcement policies were written to establish a consistent approach for the agency whenconfrontedby violations of the dangerous waste regulations. Policy 1-20 of the Agency Policy manual, "Establishing Ecology's Enforcement Policy," establishes policy for enforcement activities administeredby Ecology. This policy is further elaboratedon in the Ecology EnforcementManual: Guidelines and Procedures. The Enforcement Manual provides guidance on the following subjects:

• Formal and informal enforcement tools

• Types ofviolations

• Innovative enforcement settlement • Use ofdiscretion in determining enforcement response

• Escalation ofpenalties

• Procedures for issuing enforcement actions

• Post issuance procedures including appeals and collection of penalties The Dangerous Waste Enforcement Guidelines are a subset ofthe Ecology EnforcementManual. These guidelines provide definition in the following areas:

• Selecting enforcement options for dangerous waste program violations

• Determination ofpenalty amount

• Mitigation ofpenalties • Time frame for action issuance

• Example violations and recommended responses

3-9-20 

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o

oIn 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 inviolation·of storage requirements (Policy 3-2), and enforcement process for late Part BPermit applications (Policy 3-11). 2.5.1 Recommendations for Enforcement Recommendations for enforcement are written from the inspector to the regional office section supervisor. Anexception to this is the NWRO where recommendations for enforcement are directed to the regional enforcement coordinator. 2.5.2 Enforcement·Action Format Enforcement actions issuedby dangerous waste staffare 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 issuedbefore the inspector leaves the facility and canbe usedwhen the violation is obvious and shouldbe corrected without delay. Only experienced inspectors should issue field compliance letters. All enforcement actions mustbe written in a clear and consistent format. Recommendations for enforcement, enforcement orders, penalties, and compliance letters shouldbe in the following format. Recommendations for Enforcement 1. Introduction. 2. Background. 3. Recommendation. Enforcement Order 1. Title block (see example). 2. Briefdescription ofChapter 173-303 WAC regulatory authority. 3. Briefdescription ofhow the activities of the entity relate to this WAC. 4. Observedviolations ofChapter 173-303 WAC. 5. List oforders with timeframes for completion. 6. Describe the available penalties iforders are not followed. 7. Describe the Pollution Control Hearings Board (PCHB) appeals process.
3-9-218. Signature of ProgramManager. Penalty 1. Title block (see example). 2. Notice ofpenalty and amount ofpenalty. 3. Briefdescription ofhow the entity relates to the regulatory authority ofChapter 173·303 WAC. 4. Observedviolations ofChapter 173·303 WAC. S. 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 inresponding to application for relief. 6. Describe the PCHB**app~als** process:
a. Address ofPCHB 

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b. Thirty-day time limit.



# t I 7. Signature ofProgramManager. 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. S. Describe any follow-up activities Ecology will take. 6. Signature of inspector.

3-9-22 

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