Division of Environmental Quality

Operations Manual

CHAPTER 3 – INSPECTIONS

3.2. Hazardous Waste Inspections (Revised 12/11)

3.2.1 Inspection Types | 3.2.2 Compliance Assistance Visits | 3.2.3 Small Quantity Generators |
3.2.4 Large Quantity Generators
| 3.2.5 Resource Recovery | 3.2.6 Used Oil |
3.2.7 Registry Sites
| 3.2.8 Electronic Scrap | 3.2.9 Handler Evaluation Logs |
3.2.10 Report Writing
| 3.2.11 Violation Classifications and Examples | 3.2.12 Forms and Checklists

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:

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.

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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:

Note icon.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.

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:

Examples of High Priority Violations include:

Non-acute Significant Violations

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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 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:

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 icon.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:

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 icon.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:

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.

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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:

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 icon.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.

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

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:

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.

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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:

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 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:

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 icon.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:

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:

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.

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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:

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

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.

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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 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:

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

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 icon.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:

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 icon.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:

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.

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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:

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 icon.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

Note icon.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

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.

F. Enforcement Section

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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

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:

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:

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.                                                    EPA ID#:  000000000000
          RR 0, Box 000                                          MO Generator ID#:  000000
          Overland Road                                         MO Transporter ID#:  H-0000
          Anywhere, Missouri 00000                   MO Resource Recovery ID#:  RR0000
          (573) 000‑0000
                                     

C.  Participants

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

Note icon.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 40 CFR 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:                                 REPORT APPROVED BY:

                                                                          ___________________________                                                       
Joe Inspector                                                     Steve Supervisor, Chief
Environmental Specialist                                     Hazardous Waste Unit
St. Louis Regional Office                                   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.

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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 icon.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:

Examples of high priority violations include:

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 icon.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:

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:

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 icon.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:

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3.2.12 Forms and Checklists

Forms and checklists referred to in this chapter are listed below. All department forms are available in Adobe® Acrobat® format on the department’s Forms, Applications and Permits webpage. The form numbers below are individually linked to online PDF copies of the form (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.