•

'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.

1.

2.

3.

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 pre inspection 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-----'-----''''-----------
'111""" 11111

II' ••"'" II ECOL 0 C Y

:;"':'. . : . . .

Solid and Hazardcue W~ste·Prograin.·· . ... .:'. P·roc·edure·: "':'..'::

PROCEDURE 3-9 HAZARDOUS WASTE INSPECTIONS

HAZARDOUS WASTE FI ELD 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 Groundwater Monitoring

Evaluation (CME)

Operating and Maintenance Inspection (O&M)

State-Priority Inspection

State Drop-In Inspection

Joint and Oversight Inspections

1

3

4

5

5

6

2.2 Inspection Frequency

2.3 Inspection Procedures

6

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2.3.1

2.3.2

2.3.3

Pre inspection Activities

On-Site Procedures

Determining the Need for Sampling and

Sampling Procedures

8

11

14

2.4 Inspection Report 16

2.4.1

2.4.2

2.4.3

2.4.4

Inspection Report Content and Format

Summary - Enforcement Confidential

Filing Inspection Reports and Related

Information . ..

Inspection Report Preparation Timelines

and Review

16

18

19

19

2.5 Enforcement Process 20

2.5.1

2.5.2

Recommendations for Enforcement

Enforcement Action Format . 21

21

./ . I. y' __ .-.-;--- APPROVED BY: /f.l!!f;,· b'~ t.l;·'"

7

DATE: -7 - ~i'; - ~. c' .

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o
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, an~ 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 agive~ year, they should

be reviewed by all inspectors on an annua1.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 inspecti~n 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,

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training 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 TSO, all activities at the

handler must be evaluated and the checklists for generator and TSO must

be completed. A CEI can result in identification of the 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 requirement before undertaking a final status facility inspection.

Table 2.1

TSO COMPREHENSIVE EVALUATION INSPECTION (CEI)

Pre inspection Activities

File and permit review, coordination, hazard

identification, equipment assembly, and travel

Inspection Activities

Facility document/plan review

Facility walk-through

Post-inspection Activities

Complete checklist/report

Develop compliance recommendation

Lab analysis

Compliance assistance to facility.

eEl Total (TSO): 108 hours

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Table 2.2

GENERATOR (WITH LAND BAN) COMPREHENSIVE EVALUATION INSPECTION (CEI)

Pre inspection Activities

File review, coordination, hazard identification,

equ!pment 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.CME is a detailed evaluation of the adequacy of the design and

operation of a 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 should be

conducted by a hydrogeologist or a professional with comparable experience and should include the review of the owner/operator characterization of the hydrogeology beneath hazardous and solid waste management

units (SWMUs); monitoring well placement/depth/spacing; and well design

and construction. It .is essential that the CHE ensure that the owner/-

operator has designed an adequate groundwater monitoring system. In

addition, an integral part of'the CME is the review of the operation of

the groundwater system through an evaluation of the owner/operator's

sampling and analysis plan and implementation.

CKEs 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.

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For interim status facilities, the CKE should evaluate whether a

facility operating under detection monitoring should be 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. If determined

necessary, the inspector should develop the scope of a follow-up case

development investigation which 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 of the plan.

Table 2.3

COKPREHENSIVE GROUNDWATER KONITORING' EVALUATION (CKE)

Preinspection Activities

File review, coordination,

hazard identification,

equipment assembly, and travel

Inspection Activities

Inspect monitoring wells

Evaluate sampling program

Collect samples

Postinspection Activities

Evaluate data results

Final evaluation and report'

Lab analysis

CKE Total: 220 hours

2.1.3 Operating and Kaintenance Inspection (Q&K>

An O&K inspection is an evaluation of the adequacy of a facility's

implementation of their groundwater monitoring plan and should be

conducted when no substantial deficiencies were noted in a previous CKE

or no substantial changes which would affect the, hydrogeology have

occurred since the last CKE. This evaluation should be conducted by a

hydrogeologist and includes a review of the 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. An evaluation of the condition of

the monitoring wells is also part of this inspection. An O&M inspection

can result in the identification of need for a more comprehensive

inspection (CKE).

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Table 2.4

OPERATING AND MAINTENANCE INSPECTION (O&K)

Pre inspection Activities

File review, coordination, hazard identification,

equipment assembly, and travel

Inspection Activities

Inspect monitoring wells

Evaluate sampling program

Review sampling procedures

Postinspection Activities

Evaluate data results and prepare report

Compliance Assistance to Facility

O&K Total: 200 hours

2.1.4 State-Priority 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 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

inspector has the option of conducting a more detailed review of facility plans if time 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 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. Drop-in inspections do not generally require

full length inspection reports.

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2.1.6 Joint ond Oyersisht ~nspections

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 CME, CEI, and O&K 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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Table 2.5 EPA Inspection Requirements

(Per 1990 RCBA Implementation Plan)

Facility

Disposal

Disposal (Active)

Disposal (in Closure

Proceedings)

Disposal

Treatment

Storage

Type of Inspection

CKE

CEI

CEI

O&M

GEl

GEl

Frequency

Once (unless substantial

facility modifications)

Once every year

Once every two years

Once every three years

after CKE

Once every two years

(50\ of universe)

Once every two years

(50\ of universe)

TSD Receiving CERCLA Waste

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 six months

Per annual SEA/RlP

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:

• Define the scope of the inspection.

Review files.

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•

•

•

•

•

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 equipment.

I

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I.

Defining the Scope of the Inspection

The critical initial step in planning an inspection is to define the

scope of the inspection. The scope will depend largely on the purpose

and objectives of the inspection. For example, the scope of a routine

compliance evaluation inspection will be different from the scope of an

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 may be performed for a number of purposes, including:

• Routine periodic assessment of compliance with Chapter 173-303 WAC.

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

• Review of facility compliance with deadlines established in the

facility's RCRA permit.

• Response to information received concerning alleged violations at

the facility.

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

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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, and 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 may be desirable to schedule a return date with the facility

representative to ensure that facility staff are .avai1ab1e.

For inspections where groundwater sampling will be conducted (CKE and

COM), the inspector may elect to contact the facility in advance of the

inspection to coordinate sampling.

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It 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 opportunity 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, and/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:

• An advance phone call to the facility to notify the facility of the

inspection date and make appointments to see particular personnel.

• An annual notification letter which establishes the authority for

inspections without specifying 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 generally do not involve activfUes in

which inspectors must physically contact hazardous wastes, 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, inspectors should:

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•

•

•

•

•

•

Determine the nature of the chemical hazards that may be encountered during the inspection (based on the types of materials

handled on-site, as identif~ed in the fire review).

Complete boilerplate site health and safety sheet.

Obtain and become familiar 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 facility 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).

A basic sampling kit should be assembled by the inspector. This kit

should include pH paper, fluorescence dye tablets, bottles, labels,

collectors guide, cooler, write-in-rain book, 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

3-9-11
,

+-- .

requirements that have recently changed should be discussed. This is •

good opportunity to review facility maps and get clarification on any

questions about facility processes or products. The inspector should

also request permission to take photographs at this time, 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 facility prior to the opening discussion.

For example, in an unannounced inspection of a facility with a suspected

violation, the inspector may want to go directly to the site of the

suspected violation 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, if one is held, or

other initial discussion with the owner/operator (e.g., while walking to

the location of a suspected violation), the inspector establish control

of the inspection in a firm, professional manner. While inspectors

should, if possible, avoid causing undue disruptions of facility operations, 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 relationship must be built on a

foundation of forthrightness on Ecology's part regardless of the

facilities position or representative's demeanor.

The inspector may be asked to sign a site access and liability waiver

prior to beginning the inspection. On the advice of our Attorney

General (December 5, 1985), the inspector should 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 is incumbent on

the facility rather than Ecology. Furthermore, the inspector does not

have the requisite authority to enter into such an agreement with the

facility. To date, entry has not been denied an inspector on this

basis. When and if it does occur, the procedure would include notifying

the AG's office and obtaining 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 to gain access in the 1988 EPA RCRA

Inspection Manual (pages 4-5 through 4-8).

In general, the visual inspection 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

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inspector 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.

• Evaluate in-plant waste transport from generation and accumulation

points to storage and treatment units. Determine if there is

potential for mislab~ling, 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.

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:

• 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.

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.

Throughout the inspection, the inspector has the right to ask any

question and go anyplace on the plant site that is germane to the

inspection. All areas should be inspected, especially 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 focus on 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 are asked directly by the

facility that do not have 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 you will get back with the information as soon as you can. This is much better than being in error or

providing them with misleading information. It is important to provide

the follow-up information as soon as possible. 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 hisfher preliminary findings. These findings do not need to be all inclusive nor should they

include possible enforcement actions. If any immediate 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 should be documented by 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 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

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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 eKE 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 mislabeling/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 questionable 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 mu1tiparameter analysis. 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 ~ampling and analysis plan.

The Solid and Hazardous Waste Program Interim Safety Plan outlines some

situations where SHY 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.

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If 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. 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 of a hearing. 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 the 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 timely 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 citation, and a compliance

checklist. This is a neutral document which identifies. violations

observed. The report must be objective; it should contain only relevant

facts. Additional documents may be attached if they apply to the --

inspection under consideration. 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. A letter 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.

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Although each inspector has hisfher 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 an abbreviated format.

I. Introduction (Done on a sep~rate sheet)

A. Name and address of entity

B. EPA ID 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)

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 (if 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.

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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C. Sampling (results may be added a brief addendum 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, if appropriate

V. Attachments

A. Checklist(s)

B. Photographs o

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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

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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 [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 of non-confidential documentation,

which may include:

• Objective inspection notes.

• Documents relating to sampling, as appropriate (e.g. , 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 (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 program planning activities:

• All inspection reports should be submitted to the HWDS program

planner within 35 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

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of 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 WAC. Ecology's enforcement policies were written to

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 for enforcement activities

administered by Ecology. This policy is further elaborated on 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 enforcement settlement

• Use of discretion in determining enforcement response

• Escalation of penalties

• Procedures for issuing enforcement actions

• Post issuance procedures including appeals and collection of

penalties

The Dangerous Waste Enforcement Guidelines are a subset of the Ecology

Enforcement Manual. These guidelines provide definition in the following areas:

• Selecting enforcement options for dangerous waste program

violations

• Determination of penalty amount

• Mitigation of penalties

• Time frame for action issuance

• Example violations and recommended responses

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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 Enforcement

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

enforcement coordinator.

2.5.2 Enforcement·Action Format

Enforcement actions issued by dangerous waste staff a re 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 letters.

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 WAC.

4. Observed violations of Chapter 173-303 WAC.

5. List of orders with timeframes for completion.

6. Describe the available penalties if orders are not followed.

7. Describe the Pollution Control Hearings Board (PCHB) appeals

process.

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8. Signature of Program Manager.

Penalty

1. Title block (see example).

2. Notice of penalty and amount of penalty.

3. Brief description of how the entity relates to the regulatory

authority of Chapter 173·303 WAC.

4. Observed violations of Chapter 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 in responding to application for

relief.

6. Describe the PCHB app~als process:

a. Address of PCHB

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b. Thirty-day time limit.

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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.

S. Describe any follow-up activities Ecology will take.

6. Signature of inspector.

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