CHAPTER 3 – INSPECTIONS

3.2. Hazardous Waste Inspections (Revised 12/11)

Purpose
The purpose of this section is to describe the different types of hazardous waste inspections and to establish a uniform process for conducting inspections at small quantity generators, large quantity generators, used oil generators, resource recovery facilities, registry sites, E-scrap facilities and Conditionally Exempt Small Quantity Generators, or CESQGs. Additionally, as the U.S. Environmental Protection Agency considers compliance assistance visits an inspection type, they are also included and will replace environmental assistance visits for the Hazardous Waste Program. This section also provides information regarding inspection report writing, report submittal and procedures for completing Handler Evaluation Logs.

Application
This procedure is applicable to all department personnel conducting hazardous waste generator inspections, used oil generator inspections, resource recovery facility inspections, registry site inspections, E-scrap facility inspections and Conditionally Exempt Small Quantity Generator inspections. This procedure will be followed as closely as possible during inspections.

3.2.1 Inspection Types

Introduction
EPA requires all inspections of hazardous waste generator facilities be entered into a national database known as RCRAInfo. EPA has established nationally defined values for different types of inspections. The type of inspection conducted by department inspectors must be identified on each Handler Evaluation Log for entering into RCRAInfo. Following are the different types of inspections.

Compliance Assistance Visit
A compliance assistance visit does not include evaluation events that would qualify as another inspection type such as a compliance evaluation inspection. Compliance assistance visits include technical site-specific compliance assistance and are conducted without the threat of enforcement unless there is the discovery of a high priority violation or an acute violation.

Compliance assistance visits may be performed at conditionally exempt and small quantity hazardous waste generators, large quantity generators that have come under new management or have never been inspected before, or new businesses that have never registered. Compliance assistance visits may also be conducted when there are transfers of ownership; a change in manager, operator or other key persons at a facility; or significant changes in operational status (e.g., moving from small to large quantity hazardous waste generator). Typically, compliance assistance visits are conducted upon request from the facility; however, at times there may be compliance assistance initiatives proposed by the department to address emerging waste streams (e.g., pharmaceutical wastes).

Case Development Inspection
A case development inspection is an on-site inspection conducted for the sole purpose of gathering additional information that supports the evidence (e.g., samples, on-site record review or interview) for a potential or pending enforcement case. A case development inspection is performed only after an initial evaluation has resulted in the observation of potential violations.

Compliance Evaluation Inspection
A compliance evaluation inspection is primarily an on-site evaluation of the compliance status of the site with regard to applicable Missouri hazardous waste management laws and regulations. Although portions of a compliance evaluation inspection evaluation may be conducted in an agency office setting, such “office” evaluations are considered an integral part of a compliance evaluation inspection in terms of completing an evaluation. The overall evaluation of a site’s compliance status may take place over multiple days necessitating multiple site visits and activities. The entire set of activities and associated effort is considered a single compliance evaluation inspection.

The major function of a compliance evaluation inspection is an overall review of the site’s performance. The inspection includes an on-site examination of records and other documents maintained by the site and an evaluation of the site’s compliance with all applicable requirements and adequate sampling, when necessary.

Compliance evaluation inspections may be performed at small quantity hazardous waste generators, large quantity hazardous waste generators, conditionally exempt small quantity generators and at facilities assigned an administrative number.

Special Facilities Unit inspectors conduct compliance evaluation inspections at permitted treatment, storage or disposal facilities. The compliance evaluation inspection is conducted after consultation with permits staff and other programs as necessary, reviewing all relevant file material (e.g., letters, other correspondence, permits, modifications, applications, modification requests). No inspection is conducted without communication with permit engineers and regional office staff about concerns related to the facility’s operations. Permits, regional office or EPA staff may accompany the inspector on the on-site inspection.

Compliance Schedule Evaluation
A compliance schedule evaluation is an evaluation conducted to verify compliance with an enforceable compliance schedule associated with a formal enforcement action.

Focused Compliance Inspection
A focused compliance inspection in the majority of cases is an on-site inspection that addresses only a specific portion or subpart of the Missouri hazardous waste management law and regulations. On-site focused compliance inspections pertain to the following focus areas:

  • E-scrap recycler inspections, used oil generator inspections and universal waste rule inspections.
  • Compliance and Enforcement case managers also perform Financial Ability to Pay record reviews in the office and not on-site. Permits staff also perform closure verification inspections and resource recovery facility inspections which are also counted as focused compliance inspections.

Financial Record Review
A financial record review is an extensive detailed review of a site’s compliance with financial responsibility requirements. Financial record reviews are conducted in the office and not on-site.

Follow-Up Inspection
A follow-up inspection is a partial on-site inspection conducted to verify the status of violations cited during a previous evaluation. A follow-up inspection code value should only be used if the effort involved, or the extent of areas inspected, are insufficient to qualify as one of the more comprehensive evaluation types. A follow-up inspection include inspections following up to formal or informal actions where an enforceable compliance schedule has been established. It does not include any inspections involving an enforceable compliance schedule associated with a formal enforcement action. When a follow-up inspection is conducted as part of another inspection type (e.g., compliance evaluation inspection), a separate follow-up inspection entry should be made for the follow-up inspection component.

Non-financial Record Review
A non-financial record review is an evaluation conducted in the office involving a detailed review of non-financial records.

3.2.2 Compliance Assistance Visits

Compliance Assistance Visits, or CAVs, may be performed at conditionally exempt and small quantity hazardous waste generators, large quantity generators that have come under new management or have never been inspected before, or new businesses that have never registered. Compliance Assistance Visits may also be conducted when there are transfers of ownership; a change in manager, operator or other key persons at a facility; or significant changes in operational status (i.e., moving from small to large quantity hazardous waste generator status).

Typically, Compliance Assistance Visits are conducted upon request from the facility; however, at times there may be compliance assistance initiatives proposed by the department to address emerging waste streams (i.e., pharmaceutical wastes).

Normal steps are as follows:

  • If at all possible, first attempt to schedule an appointment with the facility prior to the visit. This will improve your working relationship with the regulated community and allow more time for the facility staff to be better prepared for your visit.
  • Establish locational data at the gate or main entrance of the site if data has not previously been collected and record on the generator checklist.
  • Meet with the owner or manager. Explain your intention to perform a walk-through inspection with the purpose of helping the business to understand the hazardous waste management laws and regulations. Inform them they will receive a report of your inspection findings and a request to correct any violations noted. Provide a business card at this time to the owner or manager as well.
  • Explain unless you see Acute or High Priority Violations, or HPVs, (see descriptions below), your inspection will remain an assistance visit, and you will not need to issue a letter of warning or notice of violation for violations.
  • Answer questions and provide guidance regarding the management of hazardous waste. Discuss appropriate regulatory requirements, explain how to obtain copies of the regulations and guide the facility to the fact sheets on the Web or provide appropriate fact sheets to assist the generator with compliance issues if they do not have Web access.
  • Conduct a walk-through inspection of the facility using the appropriate checklist to evaluate the generator’s hazardous waste management practices and note any violations.
  • If you discover an acute violation or high priority violation during the compliance assistance visit, invoke inspection authority and proceed with the inspection in accordance with inspection procedures as described in Sections 3.2.3 Small Quantity Generators| 3.2.4 Large Quantity Generators | 3.2.5 Resource Recovery | 3.2.6 Used Oil. If a hazardous substance release is observed or suspected, inform the potentially responsible party of their reporting requirements and call the Environmental Emergency Response Section spill reporting line (573-634-2436). Proceed to conduct a Compliance Evaluation Inspection, or CEI, and discontinue further Compliance Assistance Visit procedures.
  • In the event of discovery of non-acute significant violations (see descriptions below), explain the violation, why significant and provide assistance regarding possible remedies. Note the violation in the Compliance Assistance Visits form as an area of concern. If you have questions or are unsure what to do, make a note, explain it to the facility representative and state you will get back with them. You may call the appropriate enforcement staff in the Hazardous Waste Program office for assistance.

    Note: One of the examples identified in the list of acute violations below is also identified in the non-acute significant violations list (hazardous waste not compatible with the containers hold them). The reason for this is the possibility an inspector is unable to determine whether or not a container is truly being adversely affected by its contents. For example: In one instance an inspector observes a Gaylord container has extensive staining the entire extent of its bottom along with bulging and loss of contents. In this situation the inspector would make the determination this is an Acute Violation, “Hazardous waste is not compatible with the containers that hold them”, as the container integrity has been compromised and loss of content has occurred. Further, the inspector could site the facility was not operated and maintained to minimize the possibility of an emergency. In another example the inspector observes a Gaylord container has light staining at one corner of the container. Closer inspection does not reveal any bulging, deterioration or loss of contents. In this instance the inspector may elect to note this as a Non-Acute Significant Violation and proceed to explain the violation, why it is significant and provide assistance regarding possible remedies.

Meet with the owner or manager following the Compliance Assistance Visit. Discuss findings and provide general guidance with the facility representative on what is needed for the generator to achieve compliance, using a copy of the company’s Notification of Regulated Waste Activity, or NORWA. Note any status (or other) changes that need to be made, sign and date the form, and send it to Hazardous Waste Program's Compliance and Enforcement Section, or CES, who will forward it to the Budget and Planning Section, or BPS. Inform the generator of the need to submit a revised Notification of Regulated Waste Activity for any changes. Explain and document the violation of failure to update the registration form any time the information changes. Provide the generator with a copy of the inspection checklist, the corrected Notification of Regulated Waste Activity and any written guidance as needed. If the facility has access to the Internet, direct them to the Notification of Regulated Waste Activity website. If the facility does not have Internet access, leave a blank Notification of Regulated Waste Activity with the facility representative with instructions on how to contact the Budget and Planning Section with any questions on updating the facility registration.

  • Send a copy of the completed checklist, to the Hazardous Waste Program’s Compliance and Enforcement Section. Send a Handler Evaluation Log, or HEL, to the Compliance and Enforcement Section with the inspection type noted as a Compliance Assistance Visit.
  • If the Compliance Assistance Visit was conducted at a facility that has never registered, the inspector must request an Environmental Protection Agency identification number (EPA ID) from the Hazardous Waste Program’s Budget and Planning Section. The EPA ID will be necessary for filling out the Handler Evaluation Log .

Acute or High Priority Violations
Acute violations are imminently or immediately harmful to human health or the environment. High Priority Violations cause actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous constituents. Both types of violations are major deviations from the regulations and warrant issuance of a notice of violation, or NOV. Note: The items listed below are examples. Other situations may warrant these classifications. If the inspector or case manager is unsure about whether a situation warrants a NOV, consult the program’s enforcement unit chief or section chief for guidance.

Examples of acute violations include:

  • Visible evidence that hazardous waste is released onto the ground.
  • Hazardous waste released into waters of the state.
  • Hazardous waste burned on-site.
  • An ignition source in area that stores ignitable characteristic hazardous waste.
  • Incompatible hazardous wastes stored in the same container, tank or secondary containment structure.
  • Hazardous wastes not compatible with the containers that hold them.

Examples of High Priority Violations include:

  • Violation of any agreement condition or schedule (i.e., consent decree, settlement agreement, court judgment, enforcement compliance schedule).
  • Treatment, storage or disposal of hazardous waste at or by an unauthorized facility.
  • Violation of the “substantial” conditions of a permit or certification (i.e., facility capacity, unauthorized waste streams, unauthorized treatment/disposal methods or capacities, management in unauthorized areas).
  • Any situation where actual “imminent hazard” of fire, explosion or release concerning hazardous waste or hazardous constituents can be documented in a hazardous waste management area (i.e., unsafe condition or operation of storage tank or impoundment, open flames or sparks around ignitable waste).

Non-acute Significant Violations

  • Generated a regulated amount of hazardous waste but did not register as a hazardous waste generator.
  • Did not determine if the facility's waste was hazardous.
  • Did not use a licensed hazardous waste transporter to ship hazardous waste.
  • Shipped hazardous waste to a treatment, storage, disposal or resource recovery facility that is not authorized to receive hazardous waste.
  • Operated as a treatment, storage or disposal facility without first obtaining a permit.
  • Stored hazardous waste for more than 90 days, or 180/270 days if facility accumulates > 1,000 kg.
  • Hazardous waste containers in poor condition.
  • Hazardous wastes not compatible with the containers that hold them.
  • Open hazardous waste containers.
  • Storage of more than 1,000 kg of liquid hazardous waste without providing a containment system.
  • Accumulated more than 55 gallons of hazardous waste (one quart of acutely hazardous wastes) in a satellite area.
  • Did not move satellite containers to a storage area within three days of filling.
  • Did not minimize the possibility of an emergency.
  • Did not use the manifest system.
  • Did not determine if the waste was restricted from land disposal.
  • Diluted waste to meet Land Disposal Requirement, or LDR, treatment standards.
  • Did not manage used oil properly, or disposed of it into the environment.
  • Used oil containers in poor condition.
  • Leaking used oil containers.
  • Burn used oil other than facility's used oil or used oil from Do-It-Yourselfers, or DIY'ers, or exempt farmers.
  • Burned used oil in a space heater with design capacity > .5 million BTU/Hr.
  • Did not vent combustion gases from the heater to the ambient air.
  • Did not use licensed transporter to ship used oil or meet alternate requirements.
  • Did not obtain valid resource recovery certification for energy recovery or reclamation of hazardous waste.
  • Did not properly dispose of still bottoms or resource recovery residues.
  • Did not ensure manifests were used for hazardous waste received from off-site.
  • Spill prevention controls on hazardous waste tanks were not operating.
  • Overfill prevention controls on hazardous waste tanks were not operating.
  • Uncovered hazardous waste tanks did not have sufficient freeboard to prevent overtopping.
  • Waste or treatment method was not compatible with tank.
  • Ignitable or reactive wastes were not treated/stored in accordance with National Fire Protection Association’s, or NFPA’s. buffer zone requirements.
  • Volatiles with vapor pressure greater than 78 mm @ 25 degrees Celsius were placed in open tanks.
  • Hazardous waste tanks were not properly cleaned and decontaminated upon closure or waste was not managed appropriately.

3.2.3 Small Quantity Generators

Introduction
Small quantity generator inspections are conducted at facilities that generate in one month or accumulate at any one time more than 100 kilograms (220 pounds), but less than 1,000 kilograms (2,200 pounds) of non-acute hazardous waste and less than one kilogram (2.2 pounds) of acutely hazardous waste.

Many of the procedures for conducting small quantity generator inspections are similar to other types of inspections the department conducts. This chapter is intended to give instructions specific to small quantity generator inspections. For procedures related to pre-inspection preparations, site entry, introductory and exit briefings, post-inspection procedures and denial of access procedures please refer to Chapter 3.1 General Inspection Procedures.

Facility Information
After completing the introductory briefing, the inspector should provide the facility representative with a copy of the Notification and Waste Stream Information form printout from the Fees and Taxes database and a blank Small Quantity Generator Checklist.

The inspector should ask the facility representative to review the notification form to verify:

  • The facility’s current generator status.
  • Company name.
  • Mailing address.
  • Contact person and position.
  • Phone number.
  • Owner information.
  • Registered EPA Hazardous Waste Codes.

The inspector should document any information that needs to be changed on a copy of the Notification and Waste Stream Information form as well as on the inspection checklist, sign and date the form and send it to the Hazardous Waste Program’s Compliance and Enforcement Section who will forward it to the program’s Budget and Planning Section.

Inform the generator of the need to submit a revised Notification of Regulated Waste Activity for any changes. Explain and document the violation of failure to update the registration form any time the information changes. Provide the generator with a copy of the inspection checklist, the corrected Notification of Regulated Waste Activity and any written guidance as needed. If the facility has access to the Web, direct them to the Notification of Regulated Waste Activity website. If the facility does not have Web access, leave a blank Notification of Regulated Waste Activity with the facility representative with instructions on how to contact the Budget and Planning Section with any questions on updating the facility registration.

The inspector should collect specific information about the facility, including:

  • Owner of the facility.
  • Number of years at the current site.
  • Number of employees and shifts worked.
  • Number of employees involved in handling hazardous waste.
  • Size of the facility and property boundaries.
  • Adjacent properties and their uses.
  • A facility map, if available.
  • A description of the facility’s operations.
  • A description of all processes at the facility (especially those processes and units generating and storing hazardous waste).
  • Process flow sheets, if available.
  • Raw materials used in the operations.
  • Products that are manufactured.
  • Hazardous wastes generated from each process.
  • Written waste profiles if available.
  • Waste codes and description of each waste stream.
  • Generation rate of each waste stream.
  • Destination for each waste stream (including recycling facilities and disposal facilities).
  • Number and location of all satellite accumulation points.
  • Type and size of each satellite container.
  • How the waste from satellite areas is transferred to the storage area.
  • How the waste is stored on-site.
  • Where the waste is stored on-site.
  • Type and size of containers used to store the waste.
  • How often waste is shipped off-site.
  • Who transports the waste off-site.
  • Name and location of the destination facility.
  • Any used oil generated from the facility.
  • Generation rate of used oil.
  • Name and location of the used oil transporter and receiving facility.
  • Any universal waste generated from the facility.
  • Generation rate of universal waste.
  • How the universal waste is managed and the receiving facility.
    Note: The inspector should determine how the facility manages the broken or leaking material that may be considered as hazardous waste.
  • Any special waste generated from the facility.
  • How the special waste is managed and disposal location.
  • Any resource recovery operations at the facility.
  • Information pertaining to the facility’s waste minimization plan.
  • Information on any wastewater pretreatment operations.

After all the information concerning the facility’s operations and hazardous waste management activities has been collected, the inspector can begin to review the pertinent records or begin the visual inspection of the facility.

Note: Depending on what is observed during the pre-inspection drive around (from public access) or based upon past history (open containers or delays in entry), the inspector may elect to go straight to the storage area(s) and then obtain the information referenced in this section.

Records Review
The inspector will review all applicable records related to hazardous waste management activities at the facility, including but not limited to:

  • Waste analysis plans or sample results used for waste identification.
  • Material Safety Data Sheets for materials used resulting in waste generation.
  • Hazardous waste manifests for waste shipments for the past three years along with “Bill of Lading” that indicate hazardous waste shipments. Alternatively the inspector may wish to verify three years of manifests are being retained, and then obtain copies of the last 15-20 manifests, or three years whichever is less, and do the review back at the office as it can consume a large period of time.
  • The corresponding Land Disposal Restriction notifications.
    Note: Notifications should be reviewed at a minimum back to the date of the last inspection. If the facility has never been inspected, all notifications should be reviewed.
  • Annual Hazardous Waste Generator Summary Reports.
    Note:
    The inspector may wish to access the Fees and Taxes Database and print out at least the last three years and review ahead of inspection for types of wastes, etc., as this may take up a large period of time if performed during the inspection.
  • Tolling agreements.
  • Emergency coordinator contact information.
  • Documentation of arrangements with local emergency agencies.
  • Documentation on the location of fire extinguishers and spill control equipment.
  • Weekly inspection records for waste storage areas, if maintained.
  • Daily inspection records for areas subject to spills, if maintained.
  • Any permits for discharge to a Publicly Owned Treatment Works.
  • Documentation for special waste disposal.

The inspector should review the hazardous waste manifests, Land Disposal Restriction notices, and generator summary reports to ensure the facility is in compliance with all applicable requirements of Section E – “Manifests” of the Small Quantity Generator Inspection Checklist. Reviewing these records is also important to verify the waste streams generated, waste generation rates, waste stream descriptions, EPA waste codes and to ensure the waste is being shipped to an authorized facility.

The inspector should verify all emergency contact information is properly posted as required under Section D – “Preparedness, Prevention and Emergency Procedures” of the Small Quantity Generator Inspection Checklist.

Additional Records
In addition to the records above, some small quantity generators have operations requiring additional documentation. Examples are resource recovery and used oil generation. For procedures related to records review and visual inspection of facilities with the above-mentioned operations, please refer to and .

Some small quantity generators may be storing hazardous waste in excess of 1,000 kilograms (2,200 pounds) or more than one kilogram (2.2 pounds) of acutely hazardous waste. In these circumstances, the facility is still considered a small quantity Generator; however, they are required to comply with the additional requirements for containment of liquid hazardous waste, and to maintain both a written contingency plan and a written training plan and follow additional safety procedures. In this case, the inspector should use a Small Quantity Generator Supplemental Inspection.

Some small quantity generators may store hazardous waste in tanks. This requires additional documentation. The inspector should use the Small Quantity Generator Checklist – Used Oil Generator, Resource Recovery and Tank Attachment to evaluate the facility’s compliance with all applicable requirements for hazardous waste storage in tanks.

Visual Inspection
After the inspector is satisfied all relevant facility information has been gathered and all applicable documents have been reviewed, the inspector may proceed to visually inspect the facility. However, the visual inspection may be conducted prior to the records review at the inspector’s discretion. If the inspector performs the walk through prior to the document review, the inspector has a better evaluation of the facility’s normal practice of managing and storing hazardous waste on-site.

Note: The paperwork is typically the same as the Fees and Taxes Database summary report information that is reviewed prior to the day of the inspection.

When conducting the visual inspection, the inspector should make every effort to start at the beginning of each process and walk through the entire process, noting the materials used and all waste streams generated from the process. The inspector should take careful note of all step cans, trashcans, bins, floor drains, sumps, drums, or any other type of container where waste is being placed. The inspector should never handle any waste without the appropriate personal protection equipment and the inspector should make every attempt to request the facility staff to handle the container or waste, as it is their waste and they should be trained to better handle it. The inspector should ask the facility representative if a hazardous waste determination has been made on each waste stream that is observed. The inspector should also inquire about any inline filters or absorbents that might be generated during the process and how the filters and absorbents are managed.

When the inspector observes any hazardous waste satellite accumulation area, the area and satellite containers should be evaluated to ensure compliance with Section C – “Satellite Accumulation” of the Small Quantity Generator Inspection Checklist. When possible, the inspector should talk to facility employees who are directly managing the satellite containers, taking note of each employee’s name and title. The inspector should ask the employee or facility representative about the waste being placed in the container, the generation rate and how the waste is transferred from the satellite accumulation area to the hazardous waste storage area.

If any violations are observed, the inspector should point out the violations to the facility representative and the corresponding requirements on the inspection checklist. The inspector should be considerate and not interrupt the other employees or prevent the facility staff from working with their clients or customers. The inspector should note details regarding the nature and location of any violations in the comment section of the checklist. The inspector should obtain photographic documentation of any violation if it is practical and does not pose a physical hazard. The inspector should make note if the violation is immediately corrected.

It is important for the inspector, when noting violations, to fully document the conditions related to the violation and all relevant details. For example, the inspector should note:

  • The type of waste (e.g., liquid, solid, ignitable, corrosive).
  • The estimated volume of waste and number of containers in violation.
  • Situations that may pose additional hazards (e.g., close to an ignition source, in an area accessible to the public).
  • The length of time the violation has been occurring, if known.
  • Any other situation or condition that may exacerbate the actual or potential danger, or threat to human health and the environment.

After the inspector is finished observing each process and satellite accumulation point at the facility, the inspector should ask to see the hazardous waste storage area(s). When inspecting the hazardous waste storage area(s), the inspector should use Section B – “Pretransport, Containerization and Storage” of the Small Quantity Generator Inspection Checklist to ensure compliance with all applicable requirements.

The inspector should note the type, size and number of the containers located in the storage area(s) and what they contain. If the inspector questions whether waste is what is marked on the container, he or she may request the appropriately trained facility representative open the container to observe the contents. In some instances, the facility may use tanks for the storage of hazardous waste. The inspector should refer to Section J of the Small Quantity Generator Inspection Checklist – Used Oil Generator, Resource Recovery and Tank Attachment to ensure compliance with all applicable requirements.

The inspector should not let the facility representative lead them through the inspection. Instead, the inspector should ensure all areas of the facility have been inspected, including any product storage areas, maintenance areas, quality assurance/quality control laboratories, detached storage buildings, trailers or other exterior storage containers. The inspector should conduct a complete inspection of the ground outside of the facility looking for stains on the ground, recently disturbed areas and signs of distressed vegetation. All dumpsters and other trash receptacles should be visually inspected. The inspector should ask enough questions to gain a full understanding of the facility’s operations and waste management and disposal practices.

When the inspector is satisfied all areas of the facility have been evaluated, the inspector should request to return to the office or conference room where the introductory briefing took place. The inspector may ask for time in private to go over all information gathered during the inspection. Once the inspector is satisfied all necessary information has been gathered and all areas of the facility have been evaluated, the inspector should conduct an exit briefing with the facility representative. Please refer to “Exit Briefing found in Section 3.1.8 Site Inspection Procedures of Chapter 3.1 General Inspection Procedures for exit briefing procedures.

Report Write-up
The inspector should follow the procedures for report writing and transmittal outlined in Section 3.2.10 Report Writing.

3.2.4 Large Quantity Generators

Introduction
Large quantity generator inspections are conducted at facilities that generate in one month or accumulate at any one time more than 1,000 kilograms (2,200 pounds) of non-acute hazardous waste, or more than one kilogram (2.2 pounds) of acutely hazardous waste, or generate one gram or more of dioxin waste (2,3,7,8-tetrachlorodibenzo-p-dioxin).

Many of the procedures for conducting large quantity generator inspections are similar to other types of inspections the department conducts. This chapter is intended to give instructions specific to large quantity generator inspections. For procedures related to pre-inspection preparations, site entry, introductory and exit briefings, post-inspection procedures and denial of access procedures refer to Chapter 3.1 General Inspection Procedures.

Most of the procedures for conducting large quantity generator inspections are the same as those for small quantity generator inspections. However, large quantity generators have some additional requirements with which they must comply. This section will describe the additional procedures the inspector must follow when conducting an inspection at a large quantity generator or at a small quantity generator storing a large quantity of hazardous waste on-site.

Facility Information
The type of information the inspector needs to collect for a large quantity generator is the same as for a small quantity generator. Refer to for the type of facility information that needs to be collected.

Afer all the information concerning the facility’s operations and hazardous waste management activities has been collected, the inspector can begin to review the pertinent records or begin the visual inspection of the facility.

Records Review
The inspector will review all applicable records related to hazardous waste management activities at the facility including but not limited to:

  • Hazardous waste manifests for waste shipments for the past three years.
  • The corresponding Land Disposal Restriction notifications.
  • Quarterly and Annual Hazardous Waste Generator Summary Reports
    Note: The inspector may wish to access the Fees and Taxes Database and print out at least the last three years and review ahead of inspection for types of wastes, etc., as this may take up a large period of time if performed during the inspection.).
  • Waste analysis plans or sample results used for waste identification.
  • Material Safety Data Sheets for materials used resulting in waste generation.
  • Personnel training plan.
  • Documentation of training completed by personnel.
  • Contingency plan.
  • Weekly inspection records for waste storage areas.
  • Daily inspection records for areas subject to spills.
  • Biennial Reports.

The inspector should review the hazardous waste manifests, Land Disposal Restriction notices and generator summary reports to ensure the facility is in compliance with all applicable requirements of Section E – “Manifests” of the Large Quantity Generator Inspection Checklist. The review of these records is also important in order to verify the waste streams generated, waste generation rates, waste stream descriptions, EPA waste codes, and to ensure the waste is being shipped to an authorized facility.

Note: The inspector may wish to verify three years of manifests are being retained and then obtain copies of the last 15 to 20 manifests, or three years whichever is less, and do the review back at the office as it can consume a large period of time.

The inspector should also verify the facility has all the documentation required under Section G – “Personnel Training” and Section H – “Contingency Plan” of the Large Quantity Generator Inspection Checklist.

Additional Records
In addition to the records above, some large quantity generators have operations requiring additional documentation. Additional activities such as resource recovery activities and used oil generation will require the facility to retain additional documentation. For procedures related to records review and visual inspection of facilities with the above mentioned operations, refer to and .

Also, some large quantity generators may store hazardous waste in tanks, requiring additional documentation. The inspector should use the Large Quantity Generator Checklist – Tank Attachment to evaluate the facility’s compliance with all applicable requirements for hazardous waste storage in tanks.

Certain equipment that may be associated with hazardous waste management at large quantity generators may also be subject to the RCRA air emission standards under 40 CFR Part 264/265, Subpart BB. If the facility has equipment (such as valves, pumps, compressors, pressure relief devices, sampling connection systems, flanges and open-ended valves or lines) that contact hazardous waste greater than 10 percent organics and the equipment is used more than 300 hours per year, the facility may be subject to Subpart BB. The inspector should ask the facility representative if they have made a determination as to whether they are subject to Subpart BB. If the facility is regulated under Subpart BB then the inspector should also use the Subpart BB Checklist to evaluate the facility’s compliance with Subpart BB standards.

Large quantity generators that store hazardous waste in tanks and containers may also be subject to the RCRA air emission standards under 40 CFR Part 264/265, Subpart CC. The inspector should ask the facility representative if they have made a determination as to whether they are subject to Subpart CC. If the facility is regulated under Subpart CC then the inspector should also use the Subpart CC Checklist to evaluate the facility’s compliance with Subpart CC standards.

Visual Inspection
The procedures for conducting the visual inspection at a large quantity generator are the same as the procedures for small quantity generators. Refer to for visual inspection procedures.

In addition to the requirements for small quantity generators, large quantity generators are required to have a containment system if storing more than 1,000 kilograms (2,200 pounds) of liquid hazardous waste. When inspecting the hazardous waste storage area, the inspector should ensure the facility is in compliance with all containment system requirements found in Section B – “Pretransport, Containerization & Storage” of the Large Quantity Generator Inspection Checklist.

Report Write-up
The inspector should follow the procedures for report writing and transmittal outlined in Section 3.2.10 Report Writing.

3.2.5 Resource Recovery

Introduction
Resource Recovery Inspections are conducted at facilities that reclaim or reuse hazardous wastes or transform hazardous wastes into new products that are not hazardous wastes. Facilities that conduct resource recovery activities are required to obtain a Resource Recovery Facility Certificate from the department. In many instances, resource recovery inspections will be conducted in conjunction with hazardous waste generator inspections.

A resource recovery facility is exempt from most requirements if the facility reclaims or reuses less than 1,000 kilograms (2,200 pounds) of hazardous waste from on-site in a calendar month. However, exempt facilities must notify the department of their resource recovery activities. This notification shall identify the owner/operator, the name and location of the facility, an identification of the wastes recovered, methods of recovery and an approximate annual quantity of waste recovered. The facility should retain a copy of the notification with their records.

Many of the procedures for conducting Resource Recovery Inspections are similar to other types of inspections the department conducts. This chapter is intended to give instructions specific to resource recovery inspections. For procedures related to pre-inspection preparations, site entry, introductory and exit briefings, post-inspection procedures and denial of access procedures, please refer to Chapter 3.1 General Inspection Procedures.

Facility Information
After completing the introductory briefing, the inspector should provide the facility representative with a copy of the Notification and Waste Stream Information form from the Fees and Taxes database and a blank copy of the appropriate resource recovery checklist attachment.

The inspector should ask the facility representative to review the notification form to verify:

  • The facility’s current generator status.
  • Company name.
  • Mailing address.
  • Contact person and position.
  • Phone number.
  • Owner information.
  • Registered EPA Hazardous Waste Codes.

The inspector will collect specific information about the facility’s resource recovery activities, including:

  • Waste codes and description of each waste stream being reclaimed.
  • The quantity of waste being reclaimed.
  • How the waste is stored prior to reclamation.
  • A description of the reclamation process.
  • A description of still bottoms or residue resulting from the reclamation process and the associated waste codes.
  • How the still bottoms or residue are managed on-site.
  • The type and size of containers used to store the still bottoms or residue.
  • How often the still bottoms or residue is shipped off-site.
  • Who transports the still bottoms or residue off-site.
  • The name and location of the destination facility.

After all the information concerning the facility’s resource recovery operations has been collected, the inspector can begin to review the pertinent records or begin the visual inspection of the facility.

Records Review
The inspector will review all applicable records related to resource recovery at the facility including but not limited to:

  • A copy of the Resource Recovery Facility Certification.
    Note: The inspector may wish to review the certification ahead of time as part of the office inspection preparation).
  • A copy of the written operating record for resource recovery operations.
  • Hazardous waste manifests for any waste received from off-site.
  • Sampling and analysis plan for any incoming shipments of hazardous waste.
  • A copy of the written closure plan.
  • A copy of the financial assurance mechanism, if required.
  • Hazardous waste manifests for shipments of still bottoms or residue, if applicable.
  • The corresponding Land Disposal Restriction notifications.
    Note: Notifications should be reviewed at a minimum back to the date of the last inspection. If the facility has never been inspected, all notifications should be reviewed).
  • Quarterly and Annual Hazardous Waste Facility Summary Reports.
    Note: The inspector may wish to access the Fees and Taxes Database and print out at least the last three years and review ahead of inspection for types of wastes, etc., as this may take up a large period of time if performed during the inspection).
  • A copy of the notification to the department, if the facility is an exempt resource recovery facility.

Certain resource recovery units, such as distillation units that have process vents, may also be subject to the RCRA air emission standards under 40 CFR Part 264/265, Subpart AA. The inspector should ask the facility representative if they have made a determination as to whether they are subject to Subpart AA. If the facility is regulated under Subpart AA, then the inspector should also use the Subpart AA Checklist to evaluate the facility’s compliance with Subpart AA standards.

Visual Inspection
Once the inspector is satisfied all relevant facility information has been gathered and all applicable documents have been reviewed, the inspector may proceed to visually inspect the facility.

The inspector should use a copy of the process flow sheet from the certification to ensure the entire process, from the point of generation of the waste through the reclamation process, is being conducted in accordance with the certification.

The inspector should ensure all hazardous waste being stored prior to reclamation is in compliance with all applicable hazardous waste regulations. The inspector should check to make sure only those wastes and quantities identified in the certification are being reclaimed. Any modifications or deviations from the process as described in the certification should also be noted.

If any still bottoms or residue from the reclamation process are generated, the inspector should ensure a proper waste identification has been performed and the material is being properly managed, transported and disposed at an authorized facility.

Report Write-up
The inspector should follow the procedures for report writing and transmittal outlined in Section 3.2.10 Report Writing.

3.2.6 Used Oil

Introduction
Used Oil Inspections are generally conducted at any facility that generates used oil. The inspections are usually conducted in conjunction with Hazardous Waste Generator Inspections or as a result of a citizen concern. However, Used Oil Inspections are also conducted at used oil aggregation point facilities, used oil burners, used oil collection centers, used oil fuel marketers, used oil processors and re-refiners and used oil transporter and transfer facilities. Checklists and fact sheets are available online.

Facilities that commonly generate used oil include:

  • Machine shops.
  • Automobile repair shops.
  • Automobile dealers.
  • Salvage yards.
  • Trucking companies.
  • Power plants.

Used oil generators are not required to notify the department or obtain an EPA Identification number. However, used oil aggregation points and used oil collection centers are required to notify the solid waste district in which they operate or the department of their activities. The notification must be by letter and must include the name and location of the facility, the name and telephone number of the owner and operator, and a description of the facility’s operations.

Used oil burners, used oil marketers, used oil processors and re-refiners and used oil transporters and transfer facilities are required to register with the department and obtain an EPA Identification Number. Used oil transporters are also required to obtain a Missouri Hazardous Waste Transporter License.

Many of the procedures for conducting Used Oil Inspections are similar to other types of inspections the department conducts. This chapter is intended to give instructions specific to Used Oil Inspections. For procedures related to pre-inspection preparations, site entry, introductory and exit briefings, post-inspection procedures and denial of access procedures, refer to Chapter 3.1 General Inspection Procedures.

Facility Information
After completing the introductory briefing, the inspector should provide the facility representative with a copy of the Notification and Waste Stream Information form printout from the Fees and Taxes database, if they have registered with the department, and a blank copy of the appropriate used oil checklist or checklist attachment.

The inspector should ask the facility representative to review the notification form to verify:

  • The facility’s current generator status.
  • Company name.
  • Mailing address.
  • Contact person and position.
  • Phone number.
  • Owner information.
  • Registered EPA Hazardous Waste Codes.

The inspector should document any information that needs to be changed on a copy of the Notification and Waste Stream Information form as well as on the inspection checklist, sign and date the form, and send it to the Hazardous Waste Program’s Compliance and Enforcement Section who will forward it to the Budget and Planning Section.

Inform the generator of the need to submit a revised Notification of Regulated Waste Activity for any changes. Explain and document the violation of failure to update the registration form any time the information changes. Provide the generator with a copy of the inspection checklist, the corrected Notification of Regulated Waste Activity and any written guidance as needed. If the facility has access to the Internet, direct them to the Notification of Regulated Waste Activity website. If the facility does not have Internet access, leave a blank Notification of Regulated Waste Activity with the facility representative with instructions on how to contact the Budget and Planning Section with any questions on updating the facility registration.

The inspector will collect specific information about the facility’s used oil activities, including:

  • Number of years at the current site.
  • Number of employees and shifts worked.
  • Description of the facility’s operations.
  • Hours of operations.
  • Description of all processes at the facility.
  • Process flow sheets if available.
  • Products that are manufactured.
  • Description of the used oil activity at the facility (e.g. used oil generator, aggregation point, collection center, marketer).
  • Description of each process or activity that generates used oil.
  • Description of the management of any used oil filters or other oil-contaminated waste that may be generated.
  • Used oil generation rate.
  • How the used oil is stored on-site.
  • Where the used oil is stored on-site.
  • The type and size of containers used to store the used oil.
  • How often used oil is shipped off-site.
  • Who transports the used oil off-site.
  • The name and location of the destination facility.
  • Specifications of space heaters, furnaces or boilers, if used oil is burned on-site.
  • Means of controlling access to the used oil storage area, if required.
  • Information pertaining to the receipt of any used oil from off-site such as the source of used oil, and quantities accepted.

After all the information concerning the facility’s used oil activities has been collected, the inspector can begin to review the pertinent records or begin the visual inspection of the facility.

Note: Depending on what is observed during the pre-inspection drive around (from public access) or based upon past history (open containers or delays in entry), the inspector may elect to go straight to the storage area(s) and then obtain the information referenced in this section.

Records Review
The inspector will review all applicable records related to used oil activities at the facility, including but not limited to:

  • Receipts or other shipment records for shipments of used oil off-site.
  • Tolling arrangement for used oil reclaimed under a contractual agreement.
  • Records of analysis or other information used to determine the used oil is not a PCB or hazardous waste if conditions or management make that determination necessary, based on the evidence.
  • Records of analysis or other information used to determine if the used oil is on-specification or off-specification, if required.
  • A copy of the notification or registration, if required.
  • Shipment records for used oil received from off-site, if applicable.
  • Written operating record, if required.
  • Contingency plan, if required.
  • The Missouri Hazardous Waste Transporter License, if required.
  • Shipment records for used oil accepted for transportation, if applicable.

Visual Inspection
After the inspector is satisfied all relevant facility information has been gathered and all applicable documents have been reviewed, the inspector may proceed to the visual inspection of the facility. However, the visual inspection may be conducted prior to the records review at the inspector’s discretion. If the inspector performs the walk through prior to the document review, the inspector has a better evaluation of the facility’s normal practice of managing and storing hazardous waste on-site.

When conducting the visual inspection, the inspector should make every effort to start at the beginning of each process and walk through the entire process noting where used oil is generated, burned, processed or otherwise managed. The inspector should inquire about any oil filters generated at the facility and note the draining process and disposal methods for the used oil filters.

The inspector should take careful note of areas where used oil is commonly generated, such as:

  • Cutting fluids from machining equipment.
  • Hydraulic lines on equipment.
  • Maintenance shops.
  • Compressors and pumps on equipment or in boiler rooms.
  • Automotive salvage operations.
  • Automotive repair or maintenance operations.

The inspector should examine all containers used to store used oil ensuring they are in good condition, not leaking, and are properly marked “Used Oil.” Any fill pipes used to transfer oil to underground storage tanks must also be marked “Used Oil.”

The inspector should observe all used oil storage or management areas to ensure the used oil is properly managed and not disposed of in the environment. The inspector should ensure any leaks or spills have been cleaned up per the department’s “Used Oil Cleanup Packet.” Any containers that are exposed to rainfall are required by regulation to be kept closed.

For used oil transporters and transfer facilities, used oil burners and used oil processors and re-refiners, the inspector should ensure the used oil is stored in a secondary containment system. The inspector should ensure the secondary containment system is impervious to used oil and the containment system has adequate capacity.

If any violations are observed, the inspector should point out the violations and the corresponding requirements on the inspection checklist to the facility representative. The inspector should note the nature and location of any violations in field notes and in the comment section of the checklist. The inspector should obtain photographic documentation of any violation, if it is practical and does not pose a physical hazard. The inspector should make note if the violation is immediately corrected.

When the inspector is satisfied all areas of the facility have been evaluated, the inspector should request to return to the office or conference room where the introductory briefing took place. The inspector may ask for time in private to go over all information gathered during the inspection. Once the inspector is satisfied all necessary information has been gathered and all areas of the facility have been evaluated, the inspector should conduct an exit briefing with the facility representative. Please refer to the exit briefing in Section 3.1.8 Site Inspection Procedures for the exit briefing procedures.

Report Write-up
The inspector should follow the procedures for report writing and transmittal outlined in Section 3.2.10 Report Writing.

3.2.7 Registry Sites

Introduction
Registry Site Inspections are conducted annually for sites listed on the Registry of Confirmed Abandoned or Uncontrolled Hazardous Waste Disposal Sites in Missouri. The purpose of the inspections is to ensure no major changes have occurred at the sites without department approval and to relay the current physical conditions at the sites to the Hazardous Waste Site Assessment Committee. The inspections also serve as a means to help update the Missouri Registry Annual Report.

Facility Information
Much of the information about the site may be obtained by reviewing the Missouri Registry Annual Report and the file for the site. However, in the event the site use has changed or access to the site is restricted, the inspector may need to contact a facility or site contact person prior to conducting the inspection, to establish a time and date to conduct the inspection and to gain access to the site.

After completing the introductory briefing, the inspector should provide the facility or site contact person, if one is present, with a copy of the site description from the Missouri Registry Annual Report.

The inspector will collect specific information about the registry site, including:

  • The site name and location.
  • Directions to the site.
  • Owner and site/facility contact information.
  • Current physical conditions of the site.
  • The site’s current use, if any.
  • Any change in use of the site from the previous inspection.
  • Any site restrictions, such as fences and gates.
  • Any posted warning signs.

Records Review
The inspector will review all applicable records related to the registry site including, but not limited to:

  • The site description from the Missouri Registry Annual Report.
  • Previous annual registry site inspection reports and photographs.
  • Any correspondence between the department and the site owner, or contact concerning approval of changes in site usage, or changes to the physical conditions at the site.

Visual Inspection
After the inspector is satisfied all relevant facility information has been gathered and all applicable documents have been reviewed, the inspector may proceed to the visual inspection of the site.

The inspector should observe any fencing and gates (though not always required) to ensure site access is restricted and the fence and gate are in good repair. Some sites have other institutional controls such as a cap over contaminated soil. The inspector should inspect the cap to ensure there is no potential for exposure to contaminants.

Photographs of the site should be taken so the overall physical condition of the site can be accurately documented. The photographs should be taken from the same location and vantage point as previous inspections so as to best demonstrate any changes in the site’s condition. The inspector should document any environmental problems at the site, such as erosion that may be causing the cap to deteriorate.

Once the inspector is satisfied all necessary information has been gathered and all areas of the site have been evaluated, the inspector should conduct an exit briefing with the facility representative, if one is present. Refer to the Exit Briefing in Section 3.1.8 Site Inspection Procedures for the exit briefing procedures.

Report Write-up
The inspector should complete the Annual Registry Site Inspection form and photographs for transmittal as per the instructions in the Annual Registry Site Inspection Request Memorandum from the Hazardous Waste Program.

3.2.8 Electronic Scrap

Introduction
Electronic Scrap Recycler inspections are Focused Compliance Inspections that must be conducted at facilities that have registered with the department’s E-Cycle Missouri program prior to being listed on the department’s website. E-Scrap inspections are also conducted at any facility that collects, recycles or demanufactures end of life electronics scrap.

Many of the procedures for conducting Electronic Scrap Recycler inspections are similar to other types of inspections the department conducts. This chapter is intended to give instructions specific to Electronic Scrap Recycler inspections. For procedures related to pre-inspection preparations, site entry, introductory and exit briefings, post-inspection procedures and denial of access procedures please refer to Chapter 3.1 General Inspection Procedures.

Facility Information
After completing the introductory briefing, the inspector should provide the facility representative with a copy of the Notification and Waste Stream Information form printout from the Fees and Taxes database, or a copy of the most recent Host Site Registration, Form--MO 780-1981, Host Site Self-Audit, Form--MO 780-1980, and a blank Electronic Scrap Recycler Inspection Checklist.

In cases where E-Scrap facilities have never been listed the inspector should verify:

  • The facility’s current generator status
  • Company name
  • Mailing address
  • Contact person and position
  • Phone number
  • Owner information
  • Registered EPA Hazardous Waste Codes

The inspector should document any information that needs to be changed on a copy of the Notification and Waste Stream Information form as well as on the inspection checklist, sign and date the form and send it to the Hazardous Waste Program’s Compliance and Enforcement Section who will note the change and follow up with a file correction.

Inform the recycler of the need to submit a revised Host Site Registration, Form--MO 780-1981 and Host Site Self-Audit, Form--MO 780-1980 for any changes. If changes are required, document the changes and explain that failure to update the registration form could result in removal from the E-Cycle Mo listing. Provide the recycler with a copy of the inspection checklist and any written guidance as needed.

The inspector should collect specific information about the facility, including:

Electronics Materials Management Checklist Questions:

  • Tell me about your business.
  • Approximately how many square feet is your operation?
  • From where do the electronics come? Collection events, drop-offs, business accounts, etc.? Estimate the percentage of business versus household electronics.
  • What type of electronics do you take? TVs? VCRs? DVDs? Printers? Copiers? Appliances? Medical equipment? Ink or printer cartridges? Cell phones?
  • How do you handle your electronics? Repair and resale, dismantling for parts, or total dismantle for recycling? Estimate the percentage of each type of handling.
  • What methods or processes are used to perform the dismantling or processing operations? Mechanical, Chemical, Thermal?
  • Do you sell your electronics in a physical store, on an eBay® type website, in an online store of your own, or through another store front?
  • Where do your recycled materials go?
  • Does your business offer data destruction, and if so, what kind? Is there a charge for the service?
  • Do you intentionally break color CRTs?. What actions are staff instructed to prevent or minimize breakage?
  • What actions are taken once a CRT is broken?
  • Is heat or chemical processes used to recover metals?
  • How do you handle mercury switches and batteries?
  • Do you have any questions for me?
  • Is there any way that we can be of assistance?
  • How have the recent changes in the recycling markets and the economy affected your business?

In addition to the Electronics Materials Management Checklist Questions above, the standard Compliance Evaluation Inspection questions should also be addressed:

  • Owner of the facility.
  • Number of years at the current site.
  • Number of employees and shifts worked.
  • Size of the facility and property boundaries.
  • A facility map, if available.
  • A description of the facility’s operations.
  • A description of all processes at the facility.
  • Process flow sheets, if available.
  • Raw materials used in the operations.
  • Products that are demanufactured.
  • Materials/wastes generated from each process.
  • Generation rate of each process stream.
  • Destination for each process stream (including recycling facilities and disposal facilities).
  • How the material/waste from accumulation areas is transferred to the storage area.
  • How the material/waste is stored on-site.
  • Where the material/waste is stored on-site.
  • Type and size of containers used to store the material/waste.
  • How often material/waste is shipped off-site.
  • Who transports the material/waste off-site.
  • Name and location of the destination facility.
  • Any used oil generated from the facility.
  • Generation rate of used oil.
  • Name and location of the used oil transporter and receiving facility.
  • Any universal waste generated from the facility.
  • Generation rate of universal waste.
  • How the universal waste is managed and the receiving facility.
    Note: The inspector should determine how the facility manages the broken or leaking material/waste that may be considered as hazardous waste.
  • Any special waste generated from the facility.
  • How the special waste is managed and disposal location.
  • Any resource recovery operations at the facility.
  • Information pertaining to the facility’s waste minimization plan.
  • Information on any wastewater pretreatment operations.
  • See also Electronics Materials Management Checklist Questions below.

After all the information concerning the facility’s operations and electronics scrap management activities has been collected, the inspector can begin to review the pertinent records or begin the visual inspection of the facility.

Note: Depending on what is observed during the pre-inspection drive around (from public access) or based upon past history (open containers or delays in entry), the inspector may elect to go straight to the storage area(s) and then obtain the information referenced in this section.

Records Review
The inspector will review all applicable records related to electronics scrap management activities at the facility, including but not limited to:

  • Waste analysis plans or sample results used for waste identification.
  • Downstream vendor information for all materials
  • Material Safety Data Sheets for materials used resulting in material processing.
  • Hazardous waste manifests for waste shipments for the past three years along with “Bill of Lading” that indicate material/waste shipments. Alternatively the inspector may wish to verify three years of manifests are being retained, and then obtain copies of the last 15 to 20 manifests, or three years whichever is less, and do the review back at the office as it can consume a large period of time.
  • The corresponding Land Disposal Restriction notifications.
    Note: Notifications should be reviewed at a minimum back to the date of the last inspection. If the facility has never been inspected, all notifications should be reviewed.
  • Annual Host Site Self-Audit, Form--MO 780-1980.
    Note: The inspector may wish to access the Fees and Taxes Database and print out at least the last three years generator information and review ahead of inspection for types of wastes, etc., as this may take up a large period of time if performed during the inspection. The inspector may also wish to review the Host Site Registration, Form--MO 780-1981 and Host Site Self-Audit, Form--MO 780-1980 available on the Registered Electronics Recycling Businesses List.
  • Documentation about the location of fire extinguishers and spill control equipment.
  • Weekly inspection records for waste storage areas, if maintained.
  • Daily inspection records for areas subject to spills, if maintained.
  • Any permits or approvals for discharge to a Publicly Owned Treatment Works.
  • Documentation for special waste disposal.

The inspector should review the hazardous waste manifests, Land Disposal Restriction notices, and generator summary reports to ensure the facility is in compliance with all applicable requirements of Section A – “General” and Section B—“Labeling, Containerization, Storage and Export” of the Electronic Scrap Recycler Inspection Checklist. Reviewing these records is also important to verify the material/waste streams generated, material/waste generation rates, material/waste stream descriptions, EPA waste codes and to ensure the waste is being shipped to an authorized facility.

Additional Records
In addition to the records above, some recyclers have operations requiring additional documentation. Examples are resource recovery and used oil generation. For procedures related to records review and visual inspection of facilities with the above-mentioned operations, please refer to Section 3.2.5 Resource Recovery and Section 3.2.6 Used Oil.

Some recyclers may generate universal wastes on-site. This requires additional documentation. The inspector should use the Universal Waste Small Quantity Handler Checklist to evaluate the facility’s compliance with all applicable requirements for universal waste management.

Visual Inspection
After the inspector is satisfied all relevant facility information has been gathered and all applicable documents have been reviewed, the inspector may proceed to visually inspect the facility. However, the visual inspection may be conducted prior to the records review at the inspector’s discretion. If the inspector performs the walk through prior to the document review, the inspector has a better evaluation of the facility’s normal practice.

Note: The paperwork is typically the same as the Fees and Taxes Database summary report and Host Site information that is reviewed prior to the day of the inspection.

When conducting the visual inspection, the inspector should make every effort to start at the beginning of each process and walk through the entire process, noting the materials used and all material/waste streams generated from the process. The inspector should take careful note of all trashcans, bins, floor drains, sumps, drums, or any other type of container where material/waste is being placed or collected. The inspector should never handle any material/waste without the appropriate personal protection equipment and the inspector should make every attempt to request the facility staff to handle the container or material/waste, as it is their material/waste and they should be trained to better handle it. The inspector should ask the facility representative if a hazardous waste determination has been made for each waste stream that is observed. The inspector should also inquire about any inline filters or absorbents that might be generated during the process and how the filters and absorbents are managed.

If any violations are observed, the inspector should point out the violations to the facility representative and the corresponding requirements on the inspection checklist. The inspector should be considerate and not interrupt the other employees or prevent the facility staff from working with their clients or customers. The inspector should note details regarding the nature and location of any violations in the comment section of the checklist. The inspector should obtain photographic documentation of any violation if it is practical and does not pose a physical hazard. The inspector should make note if the violation is immediately corrected.

It is important for the inspector, when noting violations, to fully document the conditions related to the violation and all relevant details. For example, the inspector should note:

  • How the waste is generated and from what source materials.
  • The type of waste (e.g., liquid, solid, ignitable, corrosive).
  • The estimated volume of waste and number of containers in violation.
  • Situations that may pose additional hazards (e.g., close to an ignition source, in an area accessible to the public).
  • The length of time the violation has been occurring, if known.
  • Any other situation or condition that may exacerbate the actual or potential danger, or threat to human health and the environment.

After the inspector is finished observing each process and accumulation point at the facility, the inspector should ask to see the material/waste storage area(s). When inspecting the material/waste storage area(s), the inspector should use Section B –“Labeling, Containerization, Storage and Export” of the Electronic Scrap Recycler Inspection Checklist to ensure compliance with all applicable requirements.

The inspector should note the type, size and number of the containers located in the storage area(s) and what they contain. If the inspector questions whether waste is what is marked on the container, he or she may request the appropriately trained facility representative open the container to observe the contents.

The inspector should not let the facility representative lead them through the inspection. Instead, the inspector should ensure all areas of the facility have been inspected, including any product storage areas, maintenance areas, quality assurance/quality control laboratories, detached storage buildings, trailers or other exterior storage containers. The inspector should conduct a complete inspection of the grounds outside of the facility looking for stains on the ground, recently disturbed areas and signs of distressed vegetation. All dumpsters and other trash receptacles should be visually inspected. The inspector should ask enough questions to gain a full understanding of the facility’s operations and waste management, recycling, and disposal practices.

When the inspector is satisfied all areas of the facility have been evaluated, the inspector should request to return to the office or conference room where the introductory briefing took place. The inspector may ask for time in private to go over all information gathered during the inspection. After the inspector is satisfied all necessary information has been gathered and all areas of the facility have been evaluated, the inspector should conduct an exit briefing with the facility representative. Refer to “Exit Briefing found in Section 3.1.8 Site Inspection Procedures of Chapter 3.1 General Inspection Procedures for exit briefing procedures.

Report Write-up
The inspector should follow the procedures for report writing and transmittal outlined in Section 3.2.10 Report Writing.

3.2.9 Handler Evaluation Logs

Introduction
The inspector or case manager completes a Handler Evaluation Log to translate inspection and enforcement information into computer data. The information from the Handler Evaluation Log form is entered into the Fees and Taxes state database and the RCRAInfo national database. EPA Region 7, EPA Headquarters and Congress use RCRAInfo as their primary source for information on hazardous waste activity, facility status and compliance in the state. They also use RCRAInfo when evaluating our inspection and enforcement performance. The Hazardous Waste Program’s Budget and Planning Section and Compliance and Enforcement Section personnel use the Fees and Taxes database to determine reporting amounts and annual charges as well as tracking inspections and enforcement actions.

Complete Handler Evaluation Log forms for all hazardous waste inspection and enforcement activities. Because the data is for federal Performance Partnership Grant determination purposes Handler Evaluation Log forms are required only for hazardous waste inspections, not for resource recovery inspections.

Handler Evaluation Log forms are required for:

  • Compliance assistance visits.
  • Compliance Evaluation Inspections.
  • Case Development Inspections.
  • Focused Compliance Inspections. These include the following focus areas:
  • Closure/Post Closure Inspections.
  • E-Scrap Recycler Inspections.
  • Used Oil Inspections.
  • Universal Waste Rule Inspections.
  • Non-financial record reviews.
  • Follow-up inspections.
  • Financial record reviews.
  • Documenting various enforcement actions such as:
  • Assignment to enforcement.
  • Letters of warning.
  • Notices of violation.
  • Penalty negotiation letters.
  • Referrals to the Attorney General’s Office.
  • Civil actions (settlements and orders).
  • Final consent decrees.
  • Judicial orders.
  • Referrals to EPA.

Anytime a facility returns to compliance after being notified of noncompliance, a new Handler Evaluation Log must be completed that places a return to compliance date in the right column on a copy of the original Handler Evaluation Log. The return to compliance date should be the date the department verified compliance by visual assessment or date stamped on the return to compliance letter if compliance is verified by correspondence from the facility.

Provide a Handler Evaluation Log form with the inspection report you send to the Hazardous Waste Program. Also provide a Handler Evaluation Log form with a copy of the return to compliance letter when compliance has been achieved to close out any letter of warning or notice of violation previously submitted for those violations. If compliance was verified by correspondence from the facility, submit the facility’s correspondence as well.

Note: See C. Evaluation Section, Type for complete evaluation descriptions.

Instructions

A. General
Provide accurate and complete information.

Complete a Handler Evaluation Log form each time you complete a compliance evaluation inspection, focused compliance inspection, follow-up inspection or compliance assistance visit. All inspections need to be recorded for Performance Partnership Grant reporting.

For all inspections, include actual compliance dates for those violations corrected during the inspection. If violations are corrected without the need for Hazardous Waste Program Enforcement action, complete a follow-up Handler Evaluation Log as described. The Hazardous Waste Program will complete follow-up Handler Evaluation Log forms for violations corrected after referral to Hazardous Waste Program Compliance and Enforcement Unit. All boxes on a Handler Evaluation Log form must be completed prior to submitting it for data entry.

Department staff also document enforcement actions such as Notices of Violation, referrals for legal action, and Settlement Agreements. In each of these cases, the person who is currently responsible for the enforcement action completes a Handler Evaluation Log form to document the action that has been taken and documents a return to compliance when it occurs. Make sure the violations which led to the enforcement action are also included on the Handler Evaluation Log form.

Handlers that have at least one high priority violation and are recalcitrant or negligent in returning to compliance are designated in RCRAInfo as significant non-compliers. Consequently, in addition to completing Handler Evaluation Logs for notices of violation and Handler Evaluation Logs for letters of warning, the Compliance and Enforcement Section will need to complete the Handler and Evaluation sections on a separate Handler Evaluation Log to indicate a handler is a Significant Non-Complier, when appropriate and with supervisor approval. As with other entries in RCRAInfo, when the handler is no longer a significant non-complier, the person who is currently responsible for the case must complete the Handler and Evaluation sections on a separate Handler Evaluation Log and enter SNN (e.g., not a significant non-complier) to indicate this change.

When completing a Handler Evaluation Log to show a handler has returned to compliance, please use the same type code as was used on the original Handler Evaluation Log for the inspection. This will ensure the return to compliance is tied to the proper inspection.

Complete Handler Evaluation Log forms for subsequent enforcement actions using the Microsoft Excel version of the form. Directions follow.

B. Handler Section

  • Date Prepared – Enter the date (mm/dd/yy) the Handler Evaluation Log is being prepared.
  • EPA Identification Number - Enter the 12-digit EPA identification number (three digits per box). If there is no number assigned, verify this fact by phone with the Hazardous Waste Program Budget and Planning Section, Fees and Taxes Unit by checking both the name and address. If no number exists, submit a Request for Administrative Identification Number Form by email to the Budget and Planning Section within ten days of the inspection. Budget and Planning will provide a number to you to enter on the Handler Evaluation Log or an explanation for the proper course of action for obtaining one.
  • Missouri Identification Number - Enter the six-digit Missouri identification number. If there is no number assigned, verify this fact by phone with the Hazardous Waste Program Budget and Planning Section, Fees and Taxes Unit by checking both the name and address. If no number exists, submit a Request for Administrative Identification Number Form by Email to the Budget and Planning Section within ten days of the inspection. Budget and Planning will provide a number to you to enter on the Handler Evaluation Log or an explanation for the proper course of action for obtaining one.
  • Check the appropriate box or boxes for the type of facility using the computer mouse.
  • LDF – Landfill.
  • LQG - Large quantity generator.
  • SQG - Small quantity generator.
  • SQG-SUPP – Small quantity generator storing large quantity generator quantities.
  • CESQG - Conditionally exempt small quantity generator.
  • ESR - Electronics scrap recycler.
  • PTSF – Permitted treatment storage facility.
  • TSP – Transporters.
  • Name - Enter the name of the handler (exactly as it is shown in Fees and Taxes).
  • Address - Enter the facility address of the handler as it appears in Fees and Taxes.
  • City - Enter the city of the handler.
  • State - Enter the state of the handler.

Note: Name, address, city and state should be the same as on the latest notification of Hazardous Waste Activity. If not, please note this in "Evaluation Comments" and explain the discrepancies in your inspection report or checklist.

C. Evaluation Section

  • Type – Enter the appropriate type code by clicking on the down arrow and choosing the appropriate type.

Compliance Assistance Visit
A compliance assistance visit does not include evaluation events that would qualify as another inspection type such as a Compliance Evaluation Inspection. Compliance assistance visit include technical site-specific compliance assistance and are conducted without the threat of enforcement. Therefore, compliance assistance visits cannot be linked to enforcement actions. However, compliance assistance is not a substitute for the regulated industries’ responsibility to learn and comply with laws and regulations. Compliance assistance complements but does not replace appropriate enforcement.

Compliance Assistance Visits may be performed at conditionally exempt and small quantity hazardous waste generators, large quantity generators that have come under new management or have never been inspected before, or new businesses that have never registered. Compliance assistance visits may also be conducted when there are transfers of ownership; a change in manager, operator or other key persons at a facility; or significant changes in operational status (e.g., moving from small to large quantity hazardous waste generator status).

Typically, compliance assistance visit are conducted upon request from the facility; however, at times there may be compliance assistance initiatives proposed by the department to address emerging waste streams, (e,g., pharmaceutical wastes). Choose “CAV – Compliance Assistance Visit” as the type.

Case Development Inspection
A Case Development Inspection is an on-site inspection conducted for the sole purpose of gathering additional information that supports the evidence (e.g., on-site record review, interview) for a potential or pending enforcement case. A Case Development Inspection is performed only after an initial evaluation has resulted in the observation of potential violations. Case Development Inspections are conducted by both regional inspectors and enforcement case managers. Choose “CDI – Case Development Inspection” as the type.

Compliance Evaluation Inspection
A Compliance Evaluation Inspection is an on-site evaluation of the compliance status of the handler. A Compliance Evaluation Inspection includes an on-site examination of records and an evaluation of the handler's compliance with all applicable RCRA requirements. Where appropriate, it includes evaluation of groundwater monitoring activities, closure/post-closure activities, contingency plans, waste analysis plans and preparedness and prevention plans. Upon completion of a Compliance Evaluation Inspection, the inspector completes a report that documents the conditions at the facility during the inspection. A reinspection of the handler or a "special request" by the Hazardous Waste Program may be coded as a Compliance Evaluation Inspection. Compliance Evaluation Inspections are conducted by regional and hazardous waste program inspectors. Choose “CEI – Compliance Evaluation Inspection” as the type.

Compliance Schedule Evaluation
A compliance schedule evaluation is an evaluation conducted to verify compliance with an enforceable compliance schedule associated with a formal enforcement action. Compliance Schedule Evaluations are conducted by both regional inspectors and enforcement case managers. Choose “CSE – Compliance Schedule Inspection” as the type.

Focused Compliance Inspection
A Focused Compliance Inspection is an on-site inspection that addresses only a specific portion or Subpart of the Missouri Hazardous Waste Management Law and Regulations. Permits staff also perform closure/post closure inspections and resource Recovery inspections which may be counted as Focused Compliance Inspections. Focused Compliance Inspections are conducted by regional inspectors, Hazardous Waste Program inspectors and hazardous waste enforcement case managers. Choose “FCI – Focused Compliance Inspection” as the type and choose one of the following types of focus area inspections:

E-Scrap Recycler
An inspection focused on compliance with regulations associated with E-Scrap Recyclers. Choose “ESR – E-Scrap Recycler” as the focus area.

Used Oil Inspection
An inspection focused on compliance with the used oil regulations. Choose “UOI -- Used Oil Inspection” as the focus area.

Universal Waste Rule Inspection
An inspection focused on compliance with the Universal Waste Rule. Choose “UWR – Universal Waste Rule Inspection” as the focus area.

Financial Ability to Pay
A review of a facility’s financial documents to determine whether it has an ability to pay penalties. Compliance and Enforcement case managers perform this record review in the office and not on-site. Choose “FAP – Financial Ability to Pay” as the focus area.

Financial Record Review
A financial record review is an extensive detailed review of a site’s compliance with financial responsibility requirements. Financial record reviews are conducted in the office and not on-site. Financial record reviews are conducted by hazardous waste enforcement case managers and permits financial planners. Choose “FRR –Financial Record Review” as the type.

Follow Up Inspection
A Follow Up Inspection is a partial on-site inspection to verify status of violations cited during a previous inspection. Follow Up Inspections are conducted by regional inspectors and hazardous waste enforcement case managers. Choose “FUI – Follow Up Inspection” as the type.

Non-Financial Record Review
A non-financial record review is a detailed evaluation of non-financial records conducted in one of the department’s offices. A non-financial record review should be used as the type only when the non-financial records are reviewed independently of another inspection. An example would be correlating analytical data received from the Environmental Services Program or evaluating Confidential Business Information Requests. Non-financial record reviews are conducted by regional inspectors and hazardous waste enforcement case managers. Choose “NRR – Non-Financial Record Review” as the type.

Significant Non-Complier
Significant non-compliers are those violators that have caused actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous waste constituents; are chronic or recalcitrant violators; or deviate substantially from the terms of a permit, order, agreement or from RCRA statutory or regulatory requirements. In evaluating whether there has been actual or likely exposure to hazardous waste or hazardous waste constituents, inspectors should consider both environmental and human health concerns. Environmental impact or a substantial likelihood of impact alone is sufficient to cause a violator to be a significant non-complier, particularly when the environmental media affected requires special protection (e.g., wetlands or underground sources of drinking water). Additionally, when deciding whether a violator meets this criterion, inspectors should consider the potential exposure of workers to hazardous waste or hazardous waste constituents. Many of RCRA’s hazardous waste requirements are designed to protect the individuals who work with or near hazardous waste. Therefore, the protection of these workers should be valued as highly as the protection of the general public.

The department is obligated to complete a separate Handler Evaluation Log reflecting the facility is a significant non-complier and to complete data entry of the Handler Evaluation Log. When an inspection reveals a facility is a significant non-complier, after consultation with the Enforcement Unit Chief and agreement on the status, the inspector will complete one Handler Evaluation Log documenting the inspection and the Hazardous Waste Unit Chief will complete one Handler Evaluation Log stating the facility is a significant non-complier.

To document the facility is a significant non-complier, complete only the handler and evaluation sections. Choosing "SNY – Significant Non-Complier" as the type of evaluation and providing a date on which the determination was made indicates the facility is a significant non-complier. The date of determination is typically the date when regional office and central office staff have a teleconference and decide the handler is a significant non-complier.

Not a Significant Non-Complier
When the facility returns to compliance and is no longer a significant non-complier, the individual with the case lead must complete the Handler and Evaluation sections of a new Handler Evaluation Log to indicate the facility is no longer a significant non-complier.

To document the facility is no longer a significant non-complier, complete only the Handler and Evaluation sections. Using "SNNNot a Significant Non-Complier" as the type of evaluation and providing a date on which the determination was made indicates the facility is no longer a significant non-complier. The date of determination is typically the date the department received a submittal that demonstrated a return to compliance or the department otherwise determined the facility returned to compliance.

Date
Enter the date of the evaluation. This should reflect the date the on-site inspection or off-site records review was completed. When completing a Handler Evaluation Log to designate a handler as a significant non-complier, enter the date that regional office and central office staff determined through a teleconference the facility was a significant non-complier. When completing a Handler Evaluation Log to designate a handler as not a significant non-complier, enter the date on which the handler demonstrated a return to compliance.

Inspector
Enter the inspector’s last name and first initial (Doe, J.).

Comments
Enter any applicable comments, in the Evaluation Comments field. An example follows:

If the generator status of the handler has changed from a Large Quantity Generator to a Small Quantity Generator, then enter "Registered as LQG. Generation rate indicates SQG."

D. Covered Violations
Include only those violations covered in the current enforcement action. This information must be provided for all kinds of inspections, including Compliance Evaluation Inspections, Case Development Inspections, Focused Compliance Inspections, Follow-up Inspections and compliance assistance visits.

  • Violation Type – Enter the appropriate violation type code by clicking on the down arrow and choosing the appropriate type. The code chosen should correspond to the code associated with the violation cited on the checklist.
  • Date Determined – The form uses the evaluation date as the date determined, but the date determined may be changed, if appropriate. For Compliance Evaluation Inspections and compliance assistance visits, enter the date of the inspection or visit. For non-financial record reviews, enter the date the review was completed.
  • Actual Compliance Date (Qualifier) - Enter the date on which the facility actually returned to compliance regarding the violation. In most cases, this is the date of the “no further action needed” letter sent by the region to the facility after they have provided documentation that demonstrated the violation had been corrected. This would also apply in cases where a follow-up inspection is required to verify a return to compliance.

F. Enforcement Section

  • Type – Enter the appropriate enforcement type code by clicking on the down arrow and choosing the appropriate type.
  • Date - Enter the date the enforcement action was issued (e.g., the date issued in person, or the date of the letter transmitting the notice of violation or the order final signature date).
  • Responsible Person – Enter the last name and first initial (Doe, J.) of the person responsible for the enforcement action.
  • Hazardous Waste Program Compliance and Enforcement Section staff enters the Calculated Penalty and the Settlement Amount. If penalties have been collected, then enter the amounts in the Calculated Penalty and Settlement Amount fields. The calculated penalty is the total penalty from the original penalty calculation. The settlement amount is the total penalty a facility must pay according to a signed formal document, such as a Settlement Agreement, Consent Judgment, or Court Order.
  • The Hazardous Waste Program enforcement staff enters the SEP Code and SEP Amount Spent. When the terms of a Settlement Agreement or Consent Judgment include a Supplemental Environmental Project, enter the appropriate SEP Code and enter the dollar amount to be expended on the project.
  • Enforcement Comments - Enter any comments in this area to give detail to further describe the enforcement action. Letter of warning numbers and notice of violation numbers should be listed in the comments.

3.2.10 Report Writing

The inspection report is an extremely important part of the compliance and enforcement process. The facts, observations and statements documented in the inspection report are evidence. Every inspection report should be written with detail and clarity. Almost any case initiated by an inspection may result in court action. The success of litigation or settlement depends greatly on the quality of the inspection, the report details regarding the violations and on the supporting evidence.

General Report Writing Tips

  • Write the report to meet the needs of the regulated community, the public, the Hazardous Waste Program and an administrative or judicial law judge.
  • State the violations, required actions and recommendations accurately. Provide detail to support the violations and other problems, so that the facility can easily understand how to correct the problems.
  • Make factual statements and support any conclusions with evidence.
  • Provide details to completely describe the facility processes, products, waste management practices, inspection procedures and the violations noted, regardless of facility complexity.
  • Write your personal observations in first person.
  • Use your field notes, checklists and evidentiary documentation collected to prepare the report.
  • Prepare the report shortly after the inspection while the details are still fresh.
  • Avoid any personal comments, especially those of a prejudicial or derogatory nature when taking notes.
  • Destroy notes after the report is completed, except for any part(s) considered necessary report attachments.
  • Complete inspection checklists for every inspection, even if the facility has no violations or is conditionally exempt from regulation. The checklist is an integral part of the inspection report.

Checklist Reports

Checklist reports consist of a cover letter (or letter of warning if applicable) and applicable inspection checklist. This type of report is prepared for the following types of inspections:

  • Inspections of conditionally exempt small quantity generators, or CESQGs, and small quantity generators, or SQGs, during which no violations are observed. The completed checklist, transmitted to the facility with a cover letter, constitutes the report.
  • Attempted inspections of CESQGs, SQGs and LQGs that are closed. Submit appropriate memo to the HWP Compliance and Enforcement Unit Chief along with the first page of the checklist. Also include the addendum page of the checklist with the inspector’s signature and date. Note that the facility was closed along with circumstances, observations and information obtained about current site ownership. Assure that the GPS information is included along with a photograph or photographs of the site.
  • Inspections at CESQGs and SQGs where class I and/or class II violations are observed and all are corrected during the inspection. The completed checklist, transmitted to the facility with a cover letter (letter of warning), constitutes the report. The cover letter should list the violations as unsatisfactory features but comment that they were corrected at the time of the inspection. The violations should be listed on the HEL but with the same return to compliance date as the inspection.
  • Inspections of CESQGs and SQGs with only class I and/or class II violations that are not corrected during the inspection. The completed checklist, transmitted to the facility with a cover letter (letter of warning) constitutes the report. The cover letter should describe the violations noted during the inspection and provide recommendations to correct them. It is important that details regarding the facility operations and violations are described in the checklist and that follow-up is conducted by the inspector to assure that all violations are corrected. In the event that the facility does not correct the violations in a timely manner, a re-inspection should be conducted. If the re-inspection finds additional violations, then a narrative report is required and a notice of violation, or NOV, should be issued as described below. If there are any concerns regarding the appropriate action to take, the inspector should contact the HWP’s compliance and enforcement unit chief to discuss.

Narrative Reports

Narrative reports consist of a cover letter (letter of warning or notice of violation if applicable), narrative report and inspection checklist.

A narrative report is required for the following types of inspections:

  • Treatment, storage and disposal facility inspections.
  • Resource recovery facility inspections.
  • Large quantity generator inspections.
  • CESQG and SQG inspections where high priority violations, or HPV’s, are observed.

The narrative portion of the report should consist of the following sections in the following order:

A. Heading
B. Facility Information
C. Participants
D. Introduction
E. Facility Descripton (including generator status)
F. Violations and Required Actions
G. Comments (optional)
H. Signature Block
I. Copies
J. Attachments

A. Heading

The following standardized headings must be used for various types of hazardous waste compliance evaluation inspection reports:

MISSOURI DEPARTMENT OF NATURAL RESOURCES

COMPLIANCE EVALUATION INSPECTION

***

MISSOURI DEPARTMENT OF NATURAL RESOURCES

RESOURCE RECOVERY

COMPLIANCE EVALUATION INSPECTION

***

MISSOURI DEPARTMENT OF NATURAL RESOURCES

CLOSURE EVALUATION INSPECTION

***

Consult the HWP’s Enforcement Unit Chief for other appropriate report headings not listed above.

B. Facility information

The following format should be used for the FACILITY section of the inspection report:

XYZ, Inc.
RR 0, Box 000
Overland Road MO
Anywhere, Missouri 00000
(573) 000‑0000

EPA ID#: 000000000000
MO Generator ID#: 000000
Transporter ID#: H-0000
MO Resource Recovery ID#: RR0000

C. Participants

Listing all people who participated in the inspection with their job title as follows:

Note:
If others provided information during the inspection via phone or email, please note this was the form of communication.

Department of Natural Resources

Mr. Joe Inspector
Environmental Specialist
St. Louis Regional Office

XYZ, Inc.

Mr. Joe Facility
Plant Manager

D. Introduction

Include general information about the facility and inspection procedures in the following order:

  1. Type of inspection.
  2. Date of inspection.
  3. Purpose and scope of inspection.
  4. Citation of the department's authority (sections 260.375(9) and 260.377 rsmo.) to conduct inspections.

E. Facility Description

Provide detailed information about the facility’s generator status, processes and products, waste generation and on-site and off-site management of hazardous wastes, including the following categories.

  1. The facility's regulatory status or waste management classification as determined by its most recent notification of regulated waste activity using the fees and taxes database (CEG, SQG, LQG, TSD, etc.). Note and explain if the facility generates something other than what is currently registered. (See also #5 below.)
  2. Information on the number of employees and shifts, the length of time at the current location and a description of the physical size and layout of the operation and its buildings.
  3. Briefly note neighboring properties in each direction. Include the use of the property and the business names, if appropriate.
  4. A detailed description of the facility and facility operations, including specific production processes and equipment, raw materials used and the saleable products manufactured or services provided. Include a process flow diagram where appropriate.
  5. A detailed description of waste management practices, emphasizing the hazardous wastes generated with as much qualitative and quantitative data as possible. Use the waste stream analysis form found in Section 3.2.12 Forms and Checklists to record information about waste streams and their disposition.

    Discuss each hazardous waste stream observed individually in terms of the specific component materials comprising the waste, the process from which the waste is generated, the monthly generation rate in pounds or kilograms, EPA Waste Code, the basis for the company's characterization, on-site management of the waste, off-site disposition and ultimate disposal method for the waste, including the names of transporters and the designated facility.

    Other hazardous waste streams not properly characterized and non-hazardous waste streams should also be listed and discussed.

    Also note any contrasts between the hazardous waste management actually observed and what the facility has registered with or reported to the department and/or is permitted or otherwise authorized to perform. The inspector should include his/her determination of whether the facility is a CESQG, SQG or LQG along with justification for this determination.
  6. A brief discussion or outline of the facility's compliance history and past waste management practices, where appropriate or pertinent to possible enforcement action.
  7. A brief discussion of any other environmental permits possessed by the facility and any observations pertinent to other environmental programs.

F. Violations and Required Actions

List of the regulatory or statutory provisions the facility violated during the inspection. Report the specific information about each violation as follows:

  1. Always include the beginning statement: "For complete text of the statute or the regulation for which you are in violation, consult the references cited below."
  2. State the violation with the corresponding regulatory and/or statutory citation as completely and specifically as possible. Be complete, accurate and clear.

    For example: "The generator of more than 1,000 kg/month did not provide adequate aisle space. 10 CSR 25‑5.262(1), referencing 40 CFR 262.34(a)(4), further referencing 40CFR 265.35".
    Include additional wording from the statute or regulation if appropriate to guide compliance.

    Cite violations individually (do not combine violations).
  3. Include descriptions of your direct observations and quotes or brief statements made by facility personnel and the name of the person with the quote (e.g. Mr. Jones told me that the five drums had been stored since July 1, 2010). Quotes or statements may be paraphrased for purposes of this description as long as they are accurate and presented in the proper context.

    Describe evidence collected during the inspection, along with the facts it supports. This constitutes proof of the violation and its severity.

    Make clear reference in the narrative description of each violation to the supporting evidence. Evidence should be included in the ATTACHMENTS section of the report (see ATTACHMENTS, below).
  4. Required actions that would correct each violation. List these immediately following each violation. Make your required actions specific to your observations. The facility is responsible for implementing specific corrective actions.

G. Comments (Optional)

Document any information that is important but does not relate to the violations.

Examples include:

  1. You want to request information from the facility on environmental issues that do not constitute violations.
  2. You want to make additional general recommendations to correct problems that do not constitute violations.
  3. You want to report other observations that do not support any VIOLATION. These may include observations that may constitute violations upon further development of information or during subsequent inspections. These may also include observations pertinent to other environmental programs.

H. Signature Block

Sign the report. The appropriate unit chief or supervisor must also sign it, to ensure quality through the supervisory review process. If the unit chief or supervisor is the inspector, no further signature is unnecessary.

Example:

REPORT PREPARED BY:

___________________________________
___________________________________
Joe Inspector
Environmetnal Specialist
St. Louis Regional Office

REPORT APPROVED BY:

___________________________________
___________________________________
Steve Supervisor
Hazardous Waste Unit
St. Louis Regional Office

I. Copies

Copy the Compliance and Enforcement Section, or C&ES, of the HWP on all correspondence including the cover letter, inspection report, checklist and NOV (if one was issued), all relevant attachments, Missouri and EPA generation status verification sheets and a completed handler & evaluation log, or HEL, as described in Section 3.2.9. Send a copy of the inspection report to other sections, programs or divisions in the department if you detect violations in their media or if they are involved in any way, unless otherwise stated by specific request by the affected entity.

Send copies of the cover letter and inspection report to other company personnel as requested or if appropriate.

Copies of all correspondence received from facilities in response to any type of inspection should be forwarded to the HWP’s Compliance and Enforcement Section for the official file.

J. Attachments

Affix any attachment that is relevant to the inspection to the checklist or narrative report. Examples:

  1. Inspection checklists completed during the inspection.
  2. Clear reproductions of digital photographs taken during an inspection.

    Label digital photographs with the number of the photograph, the name of the facility, location, date of inspection, the name and affiliation of the photographer and a description of what the image shows. Use digital photographs to document physical violations and reference at the appropriate places in the narrative inspection report.
  3. Copies of sampling and analysis reports generated by the department's Environmental Services Program, if sampling was conducted in conjunction with the inspection and if such a report is available.
  4. Copies of written and signed statements taken by the inspector from facility personnel.
  5. Copies of documents supporting and illustrating statements made in the FACILITY DESCRIPTION section of the report about facility operations and waste management practices. Such might include facility diagrams, drawings made by the inspector, process flow diagrams, copies of analytical data, other information on hazardous waste determinations, pages from facility plans, Material Safety Data Sheets, etc. Include copies of documents demonstrating noncompliance, such as manifests and pages from facility plans.

Report Transmittal

A. High Priority Violations/Immediately Dangerous

Please notify the HWP Compliance and Enforcement Unit Chief of the violations by telephone immediately after the inspection. Strive to send the narrative report, NOV, checklist and attachments to the hazardous waste generator within 15 days of the inspection. Send via Email attachment a copy of this information to the HWP Compliance and Enforcement Unit Chief with the Missouri generator status verification sheets and a completed Handler Evaluation Log, or HEL, form. Follow up with a signed hard copy sent in the mail.

B. Inspection Reporting

For inspections that have no violations or where there are class 1 and/or class 2 violations (letter of warning), strive to send the checklist report and attachments to the hazardous waste generator within 30 days of the inspection. Send a complete copy of this information and a completed HEL form to the HWP Compliance and Enforcement Section.

3.2.11 Violation Classifications and Examples

Acute or High Priority Violations
Acute violations are imminently or immediately harmful to human health or the environment. High priority violations cause actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous constituents. Both types of violations are major deviations from the regulations and warrant issuance of a notice of violation.

Note: The items listed below are examples. Other situations may warrant these classifications. If the inspector or case manager is unsure about whether a situation warrants a notice of violation, consult the Hazardous Waste Program’s enforcement unit chief or section chief for guidance.

Examples of acute violations include:

  • Visible evidence hazardous waste is released onto the ground.
  • Hazardous waste released into waters of the state.
  • Hazardous waste burned on-site.
  • An ignition source in area that stores ignitable characteristic hazardous waste.
  • Incompatible hazardous wastes stored in the same container, tank or secondary containment structure.
  • Hazardous wastes not compatible with the containers that hold them.

Examples of high priority violations include:

  • Violation of any agreement condition or schedule (e.g., consent decree, settlement agreement, court judgment, enforcement compliance schedule).
  • Treatment, storage or disposal of hazardous waste at or by an unauthorized facility.
  • Violation of the “substantial” conditions of a permit or certification (e.g., facility capacity, unauthorized waste streams, unauthorized treatment or disposal methods or capacities, management in unauthorized areas).
  • Any situation where actual “imminent hazard” of fire, explosion or release concerning hazardous waste or hazardous constituents can be documented in a hazardous waste management area (e.g., unsafe condition or operation of storage tank or impoundment, open flames or sparks around ignitable waste).

Class I Violations
Class I Violations are deviations from statutes, regulations, permit conditions, administrative orders, consent agreements, or court decrees that could result in the hazardous waste generator being out of compliance.

Note: Several Class I violations may justify high priority status and issuance of an notice of violation. If the inspector or case manager is unsure of the action to take, contact the Hazardous Waste Program’s enforcement unit chief or section chief for guidance.

Examples of Class I violations include:

  • Failure to deliver hazardous waste to an authorized facility.
  • Failure to prevent releases of hazardous waste or constituents.
  • Failure to assure early detection of releases.
  • Failure to perform emergency clean-up operations or other corrective actions for releases.

Refer to the small quantity or large quantity generator checklist for additional Class I violation classifications. In determining a Class I violation for resource recovery, interim statuses, or permitted facilities, use the general violation classification definitions. Some examples of Class I violations for these facilities are:

  • Substantial failure to comply with requirements for ignitable, reactive and incompatible waste (e.g., separation, buffer zones, fire suppression systems).
  • Shipment of hazardous waste without the manifest system (or proper tolling agreement).
  • Violation of any interim status, certification or permit requirement which could produce an imminent threat of release to the environment or could eventually cause a release.
  • Shipment of hazardous waste to a facility which is not authorized to accept it.
  • Management of waste which is not authorized by certification, permit or interim status.
  • Spills not addressed in a timely fashion.
  • Approvals not obtained before substantial facility changes.
  • Treatment, storage and disposal security not provided.
  • Groundwater monitoring system not properly constructed, sampled or analyzed.
  • Financial assurance requirements not met.
  • Conducting treatment, storage or disposal of hazardous waste without a permit or interim status.
  • Freeboard in tanks or surface impoundments not maintained.
  • Quarterly facility reports not provided.
  • Violation of permit or certification conditions such that a release of hazardous waste has occurred or could occur.
  • Violation of the substantial conditions or schedule of the closure plan or post-closure plan (e.g., maintenance of final cover, installation and sampling/reporting of groundwater monitoring wells).
  • Violation of the waste analysis plan.
  • Violation of any schedule or condition of any written agreement, permit, license or certification entered between the inspected party and the state of Missouri (e.g., consent decree, consent agreement, permit, enforcement compliance schedule).
  • “Substantial” violations of requirements, such as the complete absence of a containment system, contingency plan or personnel training plan. If the item is present, but deficient in some ways, it does not meet this test.

Class II Violations
Class II violations are any that do not meet the definition of a high priority violation or Class I violation. They are violations that probably do not endanger public health or the environment. Refer to the small quantity or large quantity generator checklist for Class II violation classifications.

Note: In certain instances where entire sections of Class II violations are observed and the same violations were noted in previous inspections, a notice of violation may be warranted. In such cases, the inspector should require documentation proving a return to compliance on each Class II violation. If the inspector or case manager is unsure of the action to take, contact the Hazardous Waste Program’s enforcement unit chief or section chief for guidance.

In determining a Class II violations for resource recovery, interim status or permitted facilities, keep in mind the general violation classification definitions. Some examples of Class II violations for these facilities are:

  • Violation of “non-substantial” requirements. If items are present but have deficiencies or need updating (e.g., such as contingency plans, personnel training plans and documentation, closure plans and closure cost estimates).
  • Similar partial violations such as failure to provide all the correct information when filling out a manifest or to affix all the proper marks and labels to hazardous waste containers being stored.
  • Anything else not serious enough to be considered Class I.

3.2.12 Forms and Checklists

Forms and checklists referred to in this chapter can be found at http://dnr.mo.gov/env/opsmanual/ch3sec2.htm#forms3212 . All department forms are available in Adobe® Acrobat® format on the department’s Forms, Applications and Permits webpage. Please report any broken links to division Web staff.

Small Quantity Generator Inspection Checklist -- MO 780-1602
Small Quantity Generator Supplemental Inspection Checklist -- MO 780-2050
Large Quantity Generator Inspection Checklist -- MO 780-1525
Electronic Scrap Recycler Inspection Checklist -- MO 780-2097
Used Oil Aggregation Point Facility, Inspection and Record Checklist -- MO 780-1523
Used Oil Burners Who Burn Off-Specification Used Oil for Energy Recovery, Inspection and Record Checklist -- MO 780-1520
Used Oil Collection Center, Inspection and Record Checklist -- MO 780-1524
Used Oil Fuel Marketers, Inspection and Record Checklist -- MO 780-1526
Used Oil Generator, Inspection Record and Checklist -- MO 780-1890
Used Oil Processors and Re-Refiners, Inspection and Record Checklist, Form -- MO 780-1521
Used Oil Transporter and Transfer Facilities, Inspection and Record Checklist, Form -- MO 780-1522
Waste Stream Analysis Form -- MO 780-2219

Additional hazardous waste forms and checklists are available on the department's Forms, Applications and Permits webpage.