Department of Toxic Substances Control

Official Policy

CONDUCTING INSPECTIONS DTSC-OP-0005 Subject/Title of Policy Official Policy Number

E0-02-006-PP and DTSC-OP-0005 ( 1 /30/2009) 06/29/2017

Supersedes Number(s) Date Issued/Effective Date

All Staff Hazardous Waste Management Program

Target Audience Issuing Unit

Director

Title of Approving Authority

Date Signed

Statutory Reference( s ):

Health and Safety Code section 25001, et seq ., and Health and Safety Code 25185 and their implementing regulations.

This Policy and any internal procedures adopted for its implementation are intended solely as guidance. This policy does not constitute a rulemaking by the Department and may not be relied upon to create a specific right or benefit, substantive or procedural, enforceable at Jaw or in equity, by any person. The Department may take action at variance with this policy or any internal implementing procedures.

This policy expires five years from the date of signature.

CONTACT: Department of Toxic Substances Control Hazardous Waste Management Program Enforcement and Emergency Response Division 1001 "I" Street, 23rd Floor P.O. Box 806 Sacramento, California 95812-0806 (916) 324-6809

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DTSC-OP-0005

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Acronyms

AED Automatic External Defibrillator AG Attorney General APCD Air Pollution Control District AQMD Air Quality Management District ARF Authorization Request Form CCR California Code of Regulations CEI Compliance Evaluation Inspection CERCLA Comprehensive Environmental Response, Compensation, and Liability Act CERS California Environmental Reporting System CESQG Conditionally Exempt Small Quantity Generator CPR Cardiopulmonary Resuscitation CUPA Certified Unified Program Agency DTSC Department of Toxic Substances Control ECL Environmental Chemistry Lab EERD Enforcement and Emergency Response Division EPA Environmental Protection Agency FCI Focused Compliance Inspection FR Financial Responsibility FRR Financial Responsibility Review HARP Hazard Appraisal and Recognition Plan HAZWOPER Hazardous Waste Operations and Emergency Response HSC Health and Safety Code HWTS Hazardous waste Tracking System IH Industrial Hygienist LAN Local Area Network LDR Land Disposal Restrictions LQG Large Quantity Generator OAM Operation and Maintenance OCI Office of Criminal Investigation OG Office of Geology OLC Office of Legal Counsel OSHA Occupational Safety and Health Administration PPE Personal Protective Equipment

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RCRA Resource Conservation and Recovery Act RWQCB Regional Water Quality Control Board SAR Sampling Analysis Request SEP Supplemental Environmental Project SOO Summary of Observations SOV Summary of Violations SQG Small Quantity Generator TQR Transporter Quarterly Report TSDF Treatment, Storage, and Disposal Facility WAP Waste Analysis Plan

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TABLE OF CONTENTS

I. PURPOSE .......................................................................................................... 1

II. BACKGROUND ................................................................................. 1 III. STATUTORY AUTHORITY ................................................................ 1 IV. POLICY………… ................................................................................ 1 V. RELATIONSHIP TO OTHER POLICIES ............................................ 2 VI. CONFIDENTIALITY ........................................................................... 2

a. Documents Associated with an Enforcement Action .................................................... 2 b. Draft Documents ...................................................................................................... 2 c. Attorney-Client Privilege ........................................................................................... 3 d. Attorney Work Product Doctrine ................................................................................ 3 e. Trade Secrets .......................................................................................................... 3

VII. INSPECTION TYPES ......................................................................... 3 a. Compliance Evaluation Inspection ............................................................................. 3 b. Focused Compliance Inspection ................................................................................ 3 c. Follow Up Inspection ................................................................................................ 4 d. Financial Records Review ........................................................................................ 4 e. Facility Self Disclosure ............................................................................................. 4 f. Groundwater Audit Review ....................................................................................... 4 g. Groundwater Monitoring Evaluation ........................................................................... 4 h. Non-Financial Records Review ................................................................................. 4 i. Operations and Maintenance .................................................................................... 4 j. Complaint Inspection ................................................................................................ 4

VIII. PRE-INSPECTION ACTIVITIES......................................................... 4 a. Preparing for an Inspection ....................................................................................... 5

1. Regulatory Status ................................................................................................. 5 2. File Review .......................................................................................................... 5 3. Hazardous Waste Tracking System Review ............................................................ 5 4. Coordination ........................................................................................................ 6

A. Permitting Division ............................................................................................. 6 B. Financial Responsibility...................................................................................... 6

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C. Office of Criminal Investigations .......................................................................... 6 D. Other Programs within DTSC ............................................................................. 6 E. Outside Agencies .............................................................................................. 7

5. Hazard Appraisal Recognition Plan ........................................................................ 7 6. Equipment and Supplies ....................................................................................... 7 7. Pre-Sampling Activities ......................................................................................... 7 8. Mapping .............................................................................................................. 8

IX. ON SITE INSPECTION ACTIVITIES .................................................. 8 a. Arrival ..................................................................................................................... 8

1. Opening Conference ............................................................................................. 8 A. Consent Denied ................................................................................................ 8 B. Documents ....................................................................................................... 8 C. Verification of Operations ................................................................................... 9 D. Health and Safety .............................................................................................. 9 E. Taking Photographs .......................................................................................... 9

b. Walkthrough .......................................................................................................... 10 1. General ............................................................................................................. 10

Proving Violations............................................................................................ 10 Sampling to Document Violations...................................................................... 11

2. Document Review .............................................................................................. 12 A. Operating Record ............................................................................................ 13 B. Annual and Biennial Reports ............................................................................ 13 C. Groundwater Monitoring Reports ...................................................................... 13 D. Waste Analysis Records .................................................................................. 13 E. Training Records ............................................................................................. 13 F. Closure/Post-Closure Documents ..................................................................... 14 G. Contingency Plan and Implementation Records ................................................. 14 H. Inspection Records .......................................................................................... 14 I. Tank Systems ................................................................................................. 14 J. Manifest and Land Disposal Restrictions Records .............................................. 15 K. Source Reduction Document Verification ........................................................... 15 L. Copies ............................................................................................................ 15 M. Generator ....................................................................................................... 15

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c. Closeout Conference with Facility Operator .............................................................. 15 1. Summary of Observations ................................................................................... 16 2. Summary of Violations ........................................................................................ 16

X. POST-INSPECTION ACTIVITIES .................................................... 17 a. Brief Supervisor ..................................................................................................... 17 b. Complete Financial Responsibility Review Work Request in EnviroStor ...................... 17 c. Post-HARP............................................................................................................ 17 d. Write Observation .................................................................................................. 17 e. Photographs .......................................................................................................... 18 f. Inspection Report ................................................................................................... 18 g. Field Notes ............................................................................................................ 20 h. Tracking ................................................................................................................ 20 i. Sending Inspection Report to the Facility ................................................................. 20 j. Report of Violation ................................................................................................. 20

XI. ROLES AND RESPONSIBILITIES .................................................. 21 a. Inspector ............................................................................................................... 21 b. Supervisor ............................................................................................................. 22 c. Environmental Program Manager (Branch Chief) ................................................. 22 d. Office of Legal Council ........................................................................................... 22 e. Office of Criminal Investigations .............................................................................. 23 f. Health and Safety Program ..................................................................................... 23 g. Administrative Support Staff .................................................................................... 23

XII. REFERENCES ................................................................................. 24 Attachment 1 Inspection Report Instructions and Template .......................................... 25 Attachment 2 Inspection Report Cover Letter .......................................................... 32 Attachment 3 Inspection Timeline Checklist ............................................................ 34 Attachment 4 Administrative Goal Timeline ............................................................. 37

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I. PURPOSE The Department of Toxic Substances Control (DTSC) regulates the generation, transportation, treatment, storage, and disposal of hazardous wastes. DTSC monitors compliance with state and federal hazardous waste requirements by conducting inspections. This document sets forth DTSC’s policy for conducting inspections and preparing inspection reports. DTSC facilitates compliance with state and federal hazardous waste laws by developing inspection guidance documents, policies, inspection checklists, fact sheets, and regulatory interpretations. Inspectors also discuss compliance requirements with regulated entities during the inspection process. The objective of DTSC’s compliance assistance efforts is to create a level playing field for all businesses and to ensure that regulated entities have access to information needed to meet regulatory requirements and to address compliance issues in a timely manner.

II. BACKGROUND

This policy supersedes EO-02-006-PP and DTSC-OP-0005 (dated January 30, 2009).

III. STATUTORY AUTHORITY

Health and Safety Code (HSC) chapter 6.5 section 25185 provides DTSC’s authority to conduct inspections, conduct sampling activities, inspect and copy documents, and take photographs at sites or establishments where hazardous wastes are stored, handled, processed, treated, or disposed. Other more specific authorities include, without limitation, HSC sections 25159.21, 25244.18, and 25169.7.

IV. POLICY It is the policy of DTSC that its inspectors will conduct inspections and write inspection reports in accordance with this document. The lead inspector and his or her supervisor will determine the appropriate number of inspectors needed per inspection based on factors such as safety, inspection complexity, need for sampling, or other site-specific circumstances. The inspector is responsible for identifying and documenting all violations at the facility during the inspection. It is important to document all violations observed, including those corrected at the time of the inspection with sufficient detail to support future compliance and enforcement actions. DTSC will initiate appropriate enforcement action in accordance with DTSC’s Enforcement Response Policy DTSC-OP-0006. Facilities that are issued a Summary of Violations (SOV) will be re-inspected to verify compliance, to the extent possible.

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V. RELATIONSHIP TO OTHER POLICIES This document should be used in conjunction with other United States Environmental Protection Agency (U.S. EPA), California Environmental Protection Agency (CalEPA) and DTSC documents, including the following: Resource Conservation and Recovery Act (RCRA) Comprehensive Ground Water Monitoring Evaluation RCRA Operation and Maintenance Inspection (O&M) Referrals to California Compliance School DTSC-OP-0002 Hazardous Waste Complaints Policy DTSC-OP-0003 DTSC’s Enforcement Response Policy DTSC-OP-0006 Implementing Quarantine Authority DTSC-OP-0008

VI. CONFIDENTIALITY

a. Documents Associated with an Enforcement Action Preserving the confidentiality of documents related to enforcement actions is important; however, not all documents are confidential. See Administrative Directive DO 1-03-10 (Search for: “public records”), Public Records Act Policy, and/or subsequent amendments for more information. Documents obtained during the course of an inspection that are not part of the inspection report may be confidential. Documents are not subject to disclosure under the Public Records Act if they pertain to pending litigation and/or compromise the record of an investigation compiled for law enforcement purposes (Government Code section 6254(b) and (f)). After any litigation is complete or the case is settled, these documents may become public records. Inspectors with complex confidentiality concerns should consult with his/her supervisor and Office of Legal Counsel (OLC).

b. Draft Documents Preliminary draft documents are confidential under the Public Records Act, pursuant to Government Code section 6254(a). Documents lose their exemption from public disclosure when the documents are finalized or released to the facility. Draft copies shall be disposed when the document is finalized. See DO 1-03-10 (Search for: “public records”) and/or subsequent amendments for more information.

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c. Attorney-Client Privilege Attorney-client communications for the purpose of legal representation are not discoverable and are exempt from disclosure under the Public Records Act. Evidence Code section 954 sets forth the attorney-client privilege. See DO 1-03-10 (Search for: “public records”) and/or subsequent amendments for more information. Communications to and from attorneys in OLC or the Office of the Attorney General (AG) for the purpose of legal counsel, shall be marked "confidential" or "attorney-client privilege," and shall be kept in a confidential file. Documents subject to the attorney-client privilege will remain confidential even after an enforcement action is completed.

d. Attorney Work Product Doctrine The "work product" of an attorney is not discoverable, and is exempt from disclosure under the Public Records Act. Documents protected by the attorney work product doctrine shall be stamped "confidential" or "attorney work product" and shall be kept in a confidential file. Attorney work product documents remain confidential, even after enforcement is completed. See DO 1-03-10 (Search for: “public records”) and/or subsequent amendments for more information.

e. Trade Secrets "Trade secrets" are confidential. Within ten business days of receipt of the inspection report, the operator may submit a letter to DTSC identifying trade secret information revealed in the inspection report and request that such information be withheld from public disclosure. Failure to make a timely claim of confidentiality will waive their rights. There may be legal consequences to the DTSC employee if such information is improperly disclosed. See HSC, Section 25173, California Code of Regulations (CCR), title 22 section 66260.2 and the references contained therein.

VII. INSPECTION TYPES

a. Compliance Evaluation Inspection A Compliance Evaluation Inspection (CEI) is a rigorous, comprehensive inspection that checks all aspects of a facility’s hazardous waste operations for compliance. A CEI takes into account all applicable regulatory requirements, including points of generation, transporter requirements, tiered permitting authorizations, universal waste, and permit requirements.

b. Focused Compliance Inspection This type of inspection is focused on certain aspects of a facility’s hazardous waste operations for compliance with all applicable regulatory requirements. Examples include, electronic-waste inspections (E-waste), limited onsite review of manifests for a specific time period, and review of waste analysis profiles.

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c. Follow Up Inspection This is a re-inspection to verify compliance with a previously issued SOV.

d. Financial Records Review This inspection is a review of a permitted facility’s financial responsibility documents and is conducted in a DTSC office.

e. Facility Self Disclosure This type of inspection is in response to self-disclosure of violations by a regulated entity.

f. Groundwater Audit Review A Groundwater Audit Review (GAR) is a screening inspection conducted by DTSC’s Office of Geology (OG) and assisted by an EERD inspector. As a result of the GAR, a Groundwater Monitoring Evaluation inspection or an Operation and Maintenance (OAM) inspection may be scheduled in the future.

g. Groundwater Monitoring Evaluation This type of inspection is coordinated and conducted with a geologist and involves evaluation of groundwater. For this type of inspection, please contact and coordinate with the OG.

h. Non-Financial Records Review This inspection ensures record keeping is up to date and accurate by reviewing a facility’s contingency plan, training records, manifests, tank assessments, emergency coordinator check, etc.

i. Operations and Maintenance This type of inspection is similar in complexity to a Groundwater Monitoring Evaluation except that it focuses on facility operations and maintenance (contact and coordinate with the OG).

j. Complaint Inspection A complaint inspection is performed when a complaint is lodged. Complaint inspections vary greatly due to the nature and specifics of each situation. DTSC’s Hazardous Waste Administrative Complaints Policy DTSC-OP-0003 provides guidance on documenting and responding to hazardous waste complaints.

VIII. PRE-INSPECTION ACTIVITIES

The inspector should review the Inspection Report Instructions and Template (Attachment 1), so they are familiar with the information they need to gather before and during the course of the inspection. The inspector should have a blank copy of the Inspection Report Cover Letter (Attachment 2) in their possession for the

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operator during an inspection. The cover letter provides the operator with an understanding of what will come of the inspection, the timelines they need to follow (if any), and what they can do about privacy concerns. The inspector will use the Inspection Timeline Checklist (Attachment 3) as a general guide for inspection activities and their timelines. Reviewing each of these attachments will assist inspectors in understanding what is required before they actually begin an inspection.

a. Preparing for an Inspection Inspectors shall not notify facilities of planned inspections, except in cases where facility access requires prior notification (e.g. security pre-authorization, military bases, correctional facilities etc.). Any advance notification shall be approved by the supervisor. Adequate preparation prior to an inspection is essential to conducting a safe, effective, and efficient inspection. The inspector shall research available resources to become familiar with the facility’s hazardous waste activities, regulatory status, regulatory requirements, and health and safety requirements. As appropriate, the following areas shall be evaluated by the inspector prior to conducting an inspection.

1. Regulatory Status

Review the authorization status of the facility (e.g., variance, permit, registered transporter, or generator). The facility type establishes the regulatory standards that must be met and determines the criteria used for the inspection. The inspector shall review applicable laws, regulations, and authorization requirements.

2. File Review Review DTSC’s files and the EnviroStor database to determine the enforcement history and authorization status of the operator. At a minimum, the inspector shall review any pending or past enforcement actions taken against the facility and the three most recent inspection reports including any attachments. Any unresolved issues or violations noted in the previous inspection report(s) shall be investigated. Copies of applicable authorization and enforcement documents shall be used for reference during the inspection. The inspector should create a list of documents to request of the facility at the beginning of the inspection (e.g. manifests, inspection logs, training records, contingency plan, etc.).

3. Hazardous Waste Tracking System Review Review facility reports such as “EPA ID Profile” and manifesting reports for basic information, inconsistencies, and errors, using the Hazardous Waste Tracking System (HWTS) database. During an inspection, the inspector shall verify the accuracy of the profile information obtained from HWTS and review

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the “Disclaimer and Data Limitations Statements”. The inspector shall evaluate HWTS special reports that include: 10-day transfer facility exemption exceedances, use of unregistered transporters, unauthorized acceptance of waste codes, and review the Handler Summary Report to identify the hazardous wastes that are routinely or non-routinely generated and shipped offsite for further treatment or disposal. The inspector may provide the owner/operator copies of these reports. For hazardous waste transporter inspections, the inspector shall determine the transporter’s registration status by referencing HWTS and whether the transporter has notified DTSC of consolidated manifest activities and submitted a Transporter Quarterly Report (TQR) if applicable.

4. Coordination A. Permitting Division

Contact the DTSC Permit Project Manager to ensure the most current, active permit documents are clearly identified and available for review and discuss the status of the facility’s authorization, as applicable (permit, permit special conditions, permit modifications, variance, closure activities, approved closure cost estimate, etc.). The inspector will request that the Permit Project Manager participate in the inspection.

B. Financial Responsibility

A financial responsibility review shall be conducted for facilities required to provide financial assurance pursuant to CCR, title 22 sections 66264.140, 66265.140, 67800.5, 66273.76, and HSC section 25201.5(d)(8)(A). Once the inspector has verified the closure cost estimate with Permitting Division, and upon his/her return from the inspection, the inspector shall complete and submit the financial responsibility review request through EnviroStor. EnviroStor work request shall include the most recent approved closure cost estimate.

C. Office of Criminal Investigations

The inspector shall consult with the Office of Criminal Investigations (OCI) to determine if there are any pending enforcement actions or unresolved issues associated with the facility (e-mail the appropriate branch chiefs and supervisors of the upcoming inspection.).

D. Other Programs within DTSC

Other programs, such as Brownfields and Environmental Restoration (Cleanup), OLC, Policy and Program Support Division, and the Public Participation & Community Relations Program within DTSC may be consulted, as necessary during the pre and post-inspection process.

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E. Outside Agencies The Certified Unified Program Agency (CUPA) with jurisdiction to administer elements of the hazardous waste program may be contacted prior to the inspection to obtain information about any recent inspections or enforcement actions unless the branch chief directs otherwise. The CUPA inspector may be invited to accompany DTSC during the inspection, but the inspection shall not be postponed if the CUPA inspector is unable to attend, unless postponement is approved by the branch chief. In addition, other regulatory agencies such as the Regional Water Quality Control Boards (RWQCB) or Air Quality Management Districts (AQMD) / Air Pollution Control Districts (APCD) may be contacted, as appropriate. Outside agencies must be informed that DTSC does not announce inspections.

5. Hazard Appraisal Recognition Plan The lead inspector is responsible for preparing the Hazard Appraisal Recognition Plan (HARP) form for all inspections. The HARP shall be completed based on information obtained from previous inspection reports, research of the facility’s business activities and business plan inventories from the California Environmental Reporting System (CERS). The HARP form shall be submitted for approval to DTSC’s regional Industrial Hygienist (IH) and the inspector’s supervisor at least two business days prior to the planned inspection date. All DTSC personnel shall comply with all health and safety policies.

6. Equipment and Supplies The inspector shall gather all necessary equipment and reference materials needed for the inspection including, but not limited to, personal protective equipment (PPE), DTSC issued photo identification (credentials), camera, sampling supplies, monitoring equipment, statutes, regulations, copies of the permit and operation plan, checklists, forms, and compliance assistance information. Before leaving the office, the inspector shall verify that the camera and data card are functioning properly and the camera displays the correct time and date.

7. Pre-Sampling Activities To the extent possible, inspectors shall be prepared to collect environmental samples during the course of any inspection. If the inspection requires sampling, the inspector shall coordinate with DTSC’s Environmental Chemistry Laboratory (ECL) and an Authorization Request Form (ARF) and Sample Analysis Request (SAR) shall be completed. The inspector will prepare and submit the necessary paperwork to DTSC’s ECL and obtain the necessary sampling containers and equipment before the inspection begins.

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A quick reference guide for taking samples can be found at the ECL SharePoint.

8. Mapping

During the pre-inspection process the inspector shall verify the facilities location on a map. If inspecting an exempt transfer facility the shall ensure to the extent possible that all sensitive receptors are 500 feet away from the facility as per CCR section 66263.18(b)(2).

IX. ON SITE INSPECTION ACTIVITIES Prior to entering the facility, the inspector should drive completely around the facility or walk the fence line, if possible, looking for any anomalies that may be associated with the facility such as open, damaged, or leaking drums.

a. Arrival

1. Opening Conference Upon arrival at the facility or site, the inspector shall identify himself/herself, present credentials and ask to meet with the facility manager or environmental coordinator, hereafter referred to as the “operator”.

A. Consent Denied

If consent to conduct an inspection is denied or withdrawn at any time, the inspector shall leave the facility, notify his/her supervisor, and obtain an inspection warrant. The inspector may opt to tell the facility of the intent to obtain an inspection warrant but in doing so shall not attempt to intimidate the operator. If consent to conduct an inspection is denied or withdrawn, the inspector shall specifically note this fact in the inspection report. The note shall include the date and time at which consent was denied or withdrawn, and name and title or position of the person denying or withdrawing consent to conduct the inspection and any reason(s) given for denying or withdrawing consent.

There are specific procedures and criteria to obtain an inspection warrant. OLC will assist as necessary with the preparation of inspection warrants. If the operator has denied consent in the past, the inspector may obtain an inspection warrant in advance, although the inspector needs consent denied before requesting a warrant. An inspection warrant requires 24-hour notice to the operator, unless the notice period is waived by a court.

B. Documents

If applicable, at the beginning of the inspection, the inspector may supply the operator with a list of documents (e.g., manifests, inspection logs,

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training records, contingency plan, etc.) that need to be made available for review following the walkthrough portion of the inspection. The inspector should request a copy of the current site map prior to the walkthrough and use it to guide the walkthrough. The inspector shall not discuss any potential violations noted from pre-inspection preparation until those violations have been investigated during the inspection process.

C. Verification of Operations

The inspector shall discuss the following items with the operator: the facility’s current hazardous waste management activities, operations, and information obtained from HWTS to determine if there are discrepancies between information provided by the operator and DTSC or other agency records or databases. If there are discrepancies between information obtained from HWTS and information provided by the operator, the inspector shall refer the operator to those discrepancies, as appropriate. The inspector shall note all discrepancies in the inspection report and notify DTSC’s Permitting Division Chief or supervisor (for permitted facilities) and other agencies of those discrepancies, as appropriate.

D. Health and Safety Prior to conducting a walkthrough of the facility, the inspector shall discuss the facility’s health and safety requirements with the operator. The inspector shall comply with all reasonable security, safety, and precautionary measures specified by the operator (e.g., wearing of non-static clothing, hard hats, hearing protection and/or safety glasses). The inspector shall adhere to the approved HARP form and shall use the appropriate level of PPE.

E. Taking Photographs

If the operator refuses to allow the inspector to take photographs, the inspector may end the inspection and obtain an inspection warrant as described previously. Under no circumstances shall the inspector surrender his or her camera to the operator.

If the inspector believes that the inspection is likely to result in an enforcement action or DTSC’s files do not already contain adequate photographs of the facility, the inspector shall take photographs of the facility showing its layout, condition, and location of all hazardous waste handling areas. The inspector shall verify that the camera is set to the correct date prior to taking photographs.

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b. Walkthrough

1. General The inspector should determine in advance the order in which hazardous waste units, activities, or processes will be inspected. During an inspection, it is important that an inspector conduct a “process-based” inspection that focuses on a comprehensive understanding of the facility processes. This includes tracking raw materials through the industrial operations, identifying by-products, co-products, and finished products. Ultimately the inspector must identify all wastes generated (hazardous or not) and determine how these wastes are being managed. The inspector may refer to and use the appropriate inspection checklists during an inspection. All permitted units shall be inspected. If there are multiple points of generation, the inspector may inspect a representative number of those points of generation. If a facility does not have a good compliance history, then a significant number of generating locations shall be inspected. The visual inspection of each unit or area shall include an assessment of potential major problems, such as: releases or leaking containment systems; improper storage of incompatible wastes; container management: labeling deficiencies, damaged, leaking or open containers; tank management such as labeling, potential visual shell integrity deficiencies, spillage; safety equipment deficiencies or changes from past operating conditions, as applicable. Based on the observations made during the walkthrough, the inspector shall determine which additional documents to request and concentrate on. Suggested documents to be requested are: weekly inspection reports, manifests, tank assessments, and employee training records. The inspector shall investigate violations identified in previous inspection reports and ensure those violations have been corrected. The inspector shall identify waste minimization opportunities that could reduce hazardous waste generation, such as housekeeping, segregating waste streams, or recycling. The inspector may refer the operator to DTSC’s pollution prevention website for hazardous waste source reduction and compliance assistance information (i.e. fact sheets, guides, checklists, etc.). The inspector may also refer the operator to the Industry Assistance, Training, and Outreach Unit.

Proving Violations The inspector shall identify all violations and collect evidence to prove those violations by documenting observations/statements, discussions and statements from the operator, obtaining copies of relevant records, collecting samples, and taking photographs, as appropriate. The evidence

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collected must adequately support the potential for harm, extent of deviation, and the duration of violations. To determine whether a violation has been committed, the inspector shall identify the elements of each relevant statute, regulation and permit condition. Each of the individual elements shall be supported by evidence to establish that a violation has occurred. Observations by the inspector, admissions or statements by the operator and employees, relevant documents, photographs of the facility or site, and samples taken by the inspector are evidence to support the elements of the violation. Statements made by the operator and employees during the inspection related to violations or possible violations should be discussed with the inspector’s supervisor to determine relevance for inclusion in the inspection report. Quoted statements may be used in the inspection report only if they have been accurately recorded in field notes. As violations are observed, the inspector shall discuss with the operator the regulatory requirements and what is required to correct violation(s). The inspector shall request copies of all documents that support violations (manifests, training records, etc.). As documents are obtained, the inspector shall initial each document for authentication purposes. A copy of each relevant document shall be included in the inspection report with the time, date, and name of the person who provided the document. At a facility where parties may be difficult to locate, the inspector can ask for identifying information (name, physical description of the person, driver’s license number, date of birth, vehicle plates, etc.).

Sampling to Document Violations Sampling results can be the best evidence to substantiate that a waste is hazardous. If the inspector conducts sampling, co-located or duplicate samples shall be offered and provided to the operator upon request. DTSC’s ECL SharePoint site has additional information and guidance on how to collect and submit samples. The inspector shall follow proper sampling procedures and methods. The inspector shall, to the extent possible, coordinate with ECL and his/her supervisor for technical support and ensure adequate laboratory support prior to the sampling event. The inspector may consult with the regional IH if additional support is needed for sampling. If sampling cannot be performed immediately due to lack of personnel or equipment and all criteria in the Implementing Quarantine Authority DTSC-OP-0008 policy are met, the inspector may quarantine hazardous wastes or materials reasonably suspected to be hazardous wastes. If the criteria for quarantine authority do not exist, the inspector may request the facility operator to hold materials up to 30 days in accordance with CCR, title 22 section 66272.1(e). This request shall be in writing for retention of evidence. The primary reasons for sampling are to

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determine whether a waste is hazardous and to provide supporting evidence for violations. Sampling can also help determine whether there has been a release into the environment. The inspector’s training, experience, and judgment will help determine when and where to sample. The following questions may also help determine when sampling is appropriate:

• Is there sufficient objective evidence to prove that a waste is hazardous without sampling? If yes, don’t sample.

• Will taking a sample help support an allegation of unlawful activity

or a violation? If yes, sample.

2. Document Review The extent of document review depends on the type of inspection and the site’s compliance status. For CEIs at permitted facilities, hazardous waste documents and operating records shall be reviewed. A representative number of documents such as manifests, manifest discrepancy reports, bills of lading, land disposal restriction (LDR) notifications, exception reports, import/export reports, contingency plan, training plan, records, incident reports, waste analysis plan, operation plan, inspection records, tiered permitting applications and authorization letter(s), annual/biennial reports, hazardous waste source reduction plans, closure cost estimates and updates, permit (Part A and B), tank and/or containment assessments, variances, recycling records, or any other records relating to the management of hazardous waste shall be reviewed, as appropriate. The inspector shall summarize the findings of documents reviewed and provide an explanation for any documents that were not reviewed (not applicable, not available, etc.). The inspector shall determine the number of documents to review based on the size and complexity of the facility, and their record keeping compliance history. The facility’s hazardous waste processes shall be examined and compared to the approved permit and operation plan. This includes the examination of co-products, byproducts, and finished products (whether hazardous or not) to ensure all wastes are being disposed of properly.

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All documents that are required to be provided at the time of the inspection shall be made available on-site at the time of the inspection. There is a potential violation for not having records available during the inspection. Documents for a standardized permit shall be reviewed in more detail because many of the documents for a standardized permit facility are not approved by DTSC prior to commencement of operations.

If a facility has good compliance history or poses low risk to public health or the environment, a representative sample of each type of document may be reviewed when conducting a full CEI. A reduced document review for those facilities with a good compliance history should include the following:

A. Operating Record

The inspector shall follow at least one specific major waste stream that was received or managed and determine its final disposition based upon the information in the operating record.

B. Annual and Biennial Reports

The inspector shall confirm that the various annual and/or biennial reports have been submitted as required by regulation.

C. Groundwater Monitoring Reports The inspector shall determine whether groundwater monitoring reports are maintained in the operating record.

D. Waste Analysis Records

A Waste Analysis Plan (WAP) shall be reviewed for completeness and appropriate procedures. The inspector shall select at least one specific characteristic waste stream and determine if that waste was tested correctly, the test method(s) used, the sampling method(s) used, and the frequency of analyses to determine compliance with the WAP. For off-site facilities, the inspector shall review analytical results provided by the generator and how the off-site facility controls the acceptance and movement of wastes through the facility.

E. Training Records

The inspector shall review the training records for employees handling hazardous waste to verify CCR, title 8, section 5192 Hazardous Waste Operations and Emergency Response (HAZWOPER) initial and annual refresher training was conducted pursuant to the training plan as approved in the permit. Employees of a permitted facility must be trained on the regulatory requirements of the permit. Training records for new employees (less than one year with facility) must be reviewed to determine if

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training was received within the first six months of employment.

F. Closure/Post-Closure Documents The inspector shall review the facility’s most recently approved closure/post-closure plan, and closure cost estimates to assess the completeness and accuracy of the facility’s current hazardous waste activities. The inspector shall compare the current closure/post-closure activities to the approved closure/post-closure plan to ensure these activities are included in the plan. The inspector shall obtain the closure cost estimate from EnviroStor or from the permit, and confirm it with DTSC’s Permitting Division. The estimate shall then be submitted to DTSC’s Financial Review analysts via EnviroStor Financial Review Request.

G. Contingency Plan and Implementation Records

The inspector shall determine that the contingency plan lists the name, address, and phone number (office and home) of the emergency coordinator(s). The inspector shall also check the operating record for incident reports to affirm that the contingency plan has been implemented, appropriate actions are taken, and whether notification reports were submitted to DTSC.

H. Inspection Records

At a minimum, the inspector shall review the facility’s inspection records for the week prior to the inspection. For each year that has passed since the last DTSC or CUPA inspection, the inspector should review one additional week of inspection records. The inspector will review and establish that the facility regularly conducts its own inspections, documents results, and resolves issues properly. It is suggested that additional records reviewed should be from different times of the year due to seasonal differences. If the inspector observes a pattern of noncompliance, additional inspection records shall be reviewed. The inspector shall verify that all the required elements are documented in inspection records.

I. Tank Systems

If the facility manages hazardous waste in tanks, the inspector shall verify that the facility has installed adequate secondary containment. The inspector shall review integrity assessments certifications and records, including the California license of the Professional Engineer.

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The inspector shall determine if the tanks were modified, which may invalidate the tank’s certification. The inspector should also obtain a copy of the tank assessment(s) and submit it to DTSC’s Engineering and Special Projects Office for review. For permitted facilities, the inspector shall also ensure that the facility has a plan and schedule for ongoing assessment of tank integrity, as required pursuant to CCR, title 22 section 66264.195(e).

J. Manifest and Land Disposal Restrictions Records

The inspector shall review manifests and LDR notifications and certifications prepared since the last inspection for proper completion, use, and maintenance. Information initially obtained during the pre-inspection preparation shall be compared to manifesting information found during the site visit.

K. Source Reduction Document Verification

The inspector shall check availability of all SB14 documents as required pursuant to HSC Article 11.9 of Chapter 6.5 and Certification of Information as required pursuant to CCR, title 22 section 66264.73(b)(9) or HSC section 25202.9 (permitted facilities). The inspector shall verify that the Source Reduction Evaluation Review and Plan, the Performance Report, and the Summary Progress Report are available for review.

L. Copies

Copies of documents that support violations shall be included in the inspection report regardless of the type of inspection. As documents are obtained by the inspector, the inspector shall label the document with the date and name of the individual who provided the document. For authentication purposes, the inspector must initial and date any copies of documents obtained during the inspection.

M. Generator

When inspecting a generator, it is important to determine if they are a conditionally exempt small quantity generator (CESQG), small quantity generator (SQG), or large quantity generator (LQG). For more information on generator types, see the EPA page for Categorizing Hazardous Waste Generators. Documents required for generators shall be reviewed for compliance as part of a CEI. The inspector shall determine if the generator has prepared a waste minimization plan and other documents as required.

c. Closeout Conference with Facility Operator

On the final day of the inspection the inspector shall discuss all violations, observations, and unresolved issues with the facility operator. If the operator

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provides convincing information or evidence that an apparent violation did not occur and the inspector concludes that it is not a violation, it shall be deleted from the SOV.

For any Class I or Class II Violations (defined in HSC section 25110.8.5 and CCR, title 22 section 66260.10 respectively) observed, the inspector shall describe the enforcement process and inform the operator that DTSC may pursue enforcement action. The inspector shall inform the operator that a copy of the inspection report will be sent to the facility within 65 days of the inspection, that the operator may request a meeting to discuss the violations and proposed corrective actions described in the report, and that the operator will be required to submit a written response to DTSC describing the corrective action(s) taken. If no violations were observed, the Summary of Observations (SOO) shall indicate that no violations were observed during the inspection for that date and the areas evaluated (i.e., the inspector cannot state there were no violations in areas not evaluated). The inspector shall provide the SOO to the operator at the conclusion of the inspection. If there are any issues that require further investigation, the inspector shall discuss the issues with the operator and document the issues in the SOO or SOV. The inspector shall inform the operator that additional violations may be identified after additional information is reviewed and pending issues are resolved. The inspector may inform the operator about the availability of California Compliance School and refer them in accordance with the Referrals to California Compliance School DTSC-OP-0002.

1. Summary of Observations

At the conclusion of the inspection, the inspector shall complete and give the operator a written SOO if no violations were observed.

2. Summary of Violations

At the conclusion of the inspection, the inspector shall provide the operator of the facility or site a written summary of all observations and/or violations alleged by the inspector. The inspector shall, prior to leaving the facility, discuss any questions or observations that the operator has concerning the inspection. Minor violations corrected during the inspection shall be documented in the Narrative of Observations section of the inspection report and shall be noted as having been corrected during the inspection in the SOV.

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In the SOV the inspector shall cite the statute, regulation, permit section or condition, variance section, or administrative/civil settlements section that was violated and reference the appropriate statutory and/or regulatory language. In a separate paragraph, the inspector shall state the actions necessary to correct each violation. The inspector shall discuss the SOV with the operator. Under certain circumstances and with the concurrence of the supervisor, the inspector may delay the issuance of the SOV pending internal discussions due to the complexity of the violation(s), or other unresolved issues. The discussion with the facility operator about the violations and the SOV shall be issued as soon as reasonably possible.

Violations discovered after the onsite inspection shall be included in a supplemental SOO or SOV and included in inspection report, as appropriate.

X. POST-INSPECTION ACTIVITIES

Inspectors can refer to the Administrative Goal Timeline Template (Attachment 4), to assist with project management and meeting established timelines for completion of inspection work. a. Brief Supervisor

The inspector shall, at the earliest opportunity, brief his/her supervisor concerning the results of the inspection, including unresolved issues or health and safety concerns.

b. Complete Financial Responsibility Review Work Request in EnviroStor

A financial responsibility review shall be conducted for facilities required to provide financial assurance pursuant to CCR, title 22 sections 66264.140, et seq., 66265.140, et seq., 67800.5, 66273.76,.or 67450.13. The inspector shall complete a work request through EnviroStor, which shall include the most currently approved closure and/or post-closure cost estimate. The inspector shall submit the FRR request upon return from the facility inspection.

c. Post-HARP The inspector shall complete a Post-HARP form within five business days after completing an inspection, and submit copies to the regional IH and the inspector’s supervisor.

d. Write Observation The inspector shall begin to write the Narrative of Observations section of the inspection report immediately after completing the inspection.

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e. Photographs Digital pictures shall be printed and/or written to a Compact Disc (CD) or Local Network drive promptly upon return to the office. The inspector shall not alter digital pictures or change the name of the original digital picture file. Photographs included in the inspection report shall be identified with the date of the inspection (if not date-stamped by the camera), the name of facility, name of the photographer, and a brief caption identifying specifically what the photograph depicts. Photographs may be inserted into the text of the report or may be included as an attachment. All photographs shall be made available to the inspector’s supervisor. Copies of the photographs must be given to the operator pursuant to HSC section 25185(d) for review, so a trade secret claim can be pursued, as appropriate, Further guidelines on photographs can be found at the California Environmental Protection Agency (CalEPA) website link: www.calepa.ca.gov/Enforcement/Policy/Photos.htm.

f. Inspection Report

HSC section 25185(c)(2)(A) states: the department or the local officer or agency shall provide a copy of the inspection report to the operator within five days from the date of the preparation of the inspection report, and, in any event, not later than 65 days from the date of the inspection. However, it is DTSC policy to provide the inspection report (Template and Instructions can be found in Attachment 1) to the facility within 50 days of the first day of inspection. Prior written approval from the inspector’s supervisor is required if this time is exceeded. If the report cannot be provided to the facility within 65 days, the inspector should inform the facility and give a date by which the report will be provided, pursuant to HSC section 25185 (c)(2)(B). For all inspections, the first day of inspection will constitute the date of the inspection as per U.S. Environmental Protection Agency Hazardous Waste Civil Enforcement Response Policy, December 2003 (See Attachment 4 for further details on inspection timelines). The inspector shall submit a final draft of the inspection report with all attachments and the associated draft cover letter (Attachment 2) to his/her supervisor and backup inspector, within 40 days of the first day of the inspection or as soon as reasonably possible. After the supervisor’s review, the inspection report including all violations may be peer reviewed by senior staff in another branch.

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All violations described in the SOV shall be cross-referenced in the inspection report. Any violations in the SOV that were determined not to be violations shall be explained in the inspection report. All violations corrected by the facility during an inspection shall be noted in the inspection report. If the inspector determines that the violations will likely exceed $30,000 in administrative penalties and a formal enforcement action will be taken, an EnviroStor work request for legal assistance shall be sent to OLC. If the facility’s response to the SOV is received in sufficient time prior to completion of the inspection report, the response shall be reviewed and included in the inspection report. If sampling or laboratory results are not available at the time the inspection report is prepared, the inspector shall note it in the report. Those results shall be provided to the operator in an addendum report within ten business days of receipt by the inspector. If additional violations are determined based on the sampling results, a cover letter detailing the additional violations and required corrective action(s) shall be prepared and sent to the facility with the addendum report. Addendum reports must be used to supplement inspection reports, for example, an addendum report would be appropriate to report sampling results, follow-up interviews, enhanced surveillance, and a facility revisit. Because the purpose of an addendum report is simply to add information to an existing inspection report, it is not necessary to repeat all of the prior inspection information in the supplemental report. It is only necessary to complete section I. (General Information) of the addendum report to identify the facility (i.e., company name, facility address, telephone number, and identification number) and the type of inspection (i.e., addendum). Use the other sections of the inspection report to document additional information as appropriate. If additional violations are determined subsequent to the inspection, those violations and the corrective actions shall be included in the cover letter associated with the supplemental report. A streamlined inspection report may be prepared for re-inspections, compliance initiative inspections, generator inspections, follow-up inspections, and enhanced surveillance inspections, as appropriate. An inspector can generate a streamlined inspection report by omitting unnecessary sections from the full inspection template. As with the full inspection report, the streamlined inspection report shall adequately document and support the results of the inspection. The inspection report shall always include Sections I, II, IV, V, VI, VIII, and IX of the inspection report template.

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g. Field Notes All relevant information from field notes shall be included in the inspection report. After the inspection report is finalized, field notes and all drafts of the inspection report shall be shredded. The final inspection report is the official record of the inspection.

h. Tracking

The inspector shall update EnviroStor within two days after the inspection with the following information: the date of the inspection, the date of the SOO/SOV, and all violations noted. The violation description shall include the regulatory citation in enough detail to clearly describe and classify the violation(s).

i. Sending Inspection Report to the Facility HSC section 25185(c)(2)(A) states that within five days after finalizing the report, and no later than 65 days from the date of the inspection, the inspector shall send a copy of the inspection report to the facility. If the report cannot be provided to the facility within 65 days, DTSC shall so inform the operator via letter within 70 days from the first day of the inspection and give an estimated date by which the report will be provided. However, it is DTSC policy to provide the inspection report to the facility within 50 days from the first date of inspection. Prior written approval from the inspector’s supervisor is required if this time is to be exceeded. For all inspections, the first day of inspection will constitute the date of the inspection as per U.S. Environmental Protection Agency Hazardous Waste Civil Enforcement Response Policy, December 2003 (See Attachment 4 for more details on Inspection timelines). The report shall contain all pertinent information, including documentation, and other attachments that support violations, sample results, and photographs. The inspector shall send a cover letter with the report describing the operator’s rights and responsibilities under HSC section 25185(c). The cover letter can include an acknowledgement of any submittal by the facility in response to the SOV and address the adequacy of response to the violations. HSC section 25185(c)(2)(C) states , “Information from the inspection report, or the report itself, may be withheld by the department or the local officer or agency if necessary to a criminal investigation or other ongoing investigation in which the department or the local officer or agency determines, in writing, that disclosure of the information will result in a substantial probability of destruction of evidence, intimidation of witnesses, or other obstruction of justice.” This determination shall be made by a branch chief after consulting with the EERD division chief.

j. Report of Violation

The operator has 30 days, from the date of receipt of the inspection report, to respond to violations contained in the inspection report. The operator’s response

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must be in writing and include a statement of the corrective action(s) they will take to come into compliance or any dispute(s) the operator has with the violation(s). The inspector shall respond to the operator’s letter within 30 business days by issuing a “report of violation or other appropriate document,” stating whether the corrective actions documented or proposed to be taken by the operator will achieve compliance or DTSC determines the violation(s) still exist (HSC section 25185 (c)(3)). “Other appropriate document” includes a letter responding to the facility in response to their submittal that describes the status of each violation contained in the original SOV and/or the violation section from the inspection report would suffice for this statutory requirement.

XI. ROLES AND RESPONSIBILITIES

a. Inspector

• Prepares for inspections. See Preparing for an Inspection section above.

• Completes and submits a HARP Pre-Site Visit Form to DTSC’s IH staff at least two days before the inspection for review and to the supervisor for approval prior to each inspection, pursuant to the HARP policy. After each inspection, completes and submits a HARP Daily Site Visit Document (Post-HARP) to supervisor and IH staff within five days.

• Conducts inspections and notifies supervisor of exposures immediately.

• Completes the SOV if violations are observed, or the SOO if no violations are observed, and provides them to the operator at the conclusion of the inspection. The SOV or SOO shall be uploaded and the violation details entered into EnviroStor within two days upon completion of the inspection.

• If necessary the inspector consults with his/her supervisor regarding

inspection and whether an SOO or SOV will be issued.

• Completes inspection reports and inspection report cover letter. Inspection report and cover letter shall be uploaded into EnviroStor within two days of completion of the report.

• Communicates with facility as necessary. E-mail communication with facilities becomes part of the public record and must be printed and placed into the file by the inspector.

• Recommends appropriate enforcement action.

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• Assist other inspectors with inspections and conducts peer review, as needed.

• Begin enforcement actions (penalty work group, consent order, requesting

OLC assistance, meet with facility) if necessary.

b. Supervisor • Ensures inspectors receive required training and equipment prior to

conducting inspections, and are current on HAZWOPER, medical monitoring, respirator fit testing, and Cardiopulmonary Resuscitation (CPR)/Automatic External Defibrillator (AED)/First Aid training, as appropriate.

• Assigns inspections to inspectors.

• Accompanies inspectors on inspections at least once each year.

• Reviews and approves a HARP prior to each inspection and reviews a post-HARP after each inspection.

• Coordinates with inspectors to ensure that all work associated with an inspection, including uploads and data entry to EnviroStor is done in a timely and effective manner.

• Ensure that inspection reports and attachments, SOVs, and SOOs are uploaded onto the public side of EnviroStor.

• Follow up with inspector’s timelines and deliverables. • Assist inspector with any enforcement actions, if necessary.

c. Environmental Program Manager (Branch Chief)

• Coordinate and manage the development and implementation of the annual work plan and inspection schedule. Work with data managers to ensure timely, accurate, and complete data entry.

• Peer review inspection reports as needed.

• Assist inspectors and supervisors with enforcement actions as needed.

d. Office of Legal Council • Provides timely legal guidance, clarification, and support as requested and

needed through EnviroStor.

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• Assists as necessary with the preparation of inspection warrants.

e. Office of Criminal Investigations • Investigates alleged criminal violations of the Hazardous Waste Control Law

and assists inspectors with the development and issuance of inspection warrants.

• On an as-needed basis, provides consultation on unique inspections/ investigation issues.

f. Health and Safety Program

• Reviews and files HARP and Post-HARP forms, provides and maintains health and safety equipment and guidance to inspectors and monitors sampling and mixed waste inspection activities as needed, or if requested.

g. Administrative Support Staff • Formats inspection documents, makes copies, disseminates copies, and files

documents.

• Uploads documents and enters data into EnviroStor, generates reports, performs quality assurance and quality control review of the data. (Data Manager).

• Assist with project deadline tracking.

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XII. REFERENCES Authorization Request Form

California Compliance School

California Environmental Reporting System

California Health and Safety Code Categorizing Hazardous Waste Generators Certified Unified Program Agency

DO 1-03-10 (Search for: “public records”)

Hazardous Waste Administrative Complaint Policy DTSC-OP-0003 Enforcement Response Policy DTSC-OP-0006 Environmental Chemistry Lab Quick Reference Guide

Environmental Chemistry Laboratory

EnviroStor EPA Process Based Inspection Guide Evidence Code section 954

Government Code, sections 6254(b) and (f)

Hazard Appraisal Recognition Plan

Hazardous Waste Administrative Complaints Policy DTSC-OP-0003 Hazardous Waste Tracking System database

Implementing Quarantine Authority DTSC-OP-0008 Inspection Report Cover Letter

Office of Criminal Investigations

Pollution Prevention

Post-Hazard Appraisal Recognition Plan

RCRA Operation and Maintenance Inspection (O&M)

Referrals to California Compliance School, DTSC-OP-0002 Regional Water Quality Control Board Retention of Evidence

Sample Analysis Request

Senate Bill 14

Statement of Violations

Summary of Observations

Transporter Quarterly Report System

U.S. Environmental Protection Agency Hazardous Waste Civil Enforcement Response Policy

Note: Some of the links listed in this document are only available internally.

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Attachment 1 Inspection Report Instructions and

Inspection Report Template

The detail in an inspection report must reflect the complexity and number of violations found at the facility.

I. General Information

Facility Name: Use the complete name of the facility or business. If the site is not a business, use the best description to identify that particular site. Facility Address: Use the business address. If there is no business address, then use the site’s physical address unless the facility has a different specific mailing address. Facility Telephone Number: List the facility telephone number. Identification Number (ID) Number: Use the identification number listed in HWTS. If the facility or site does not have a number, then indicate "No ID Number." Facility Type: Treatment, storage, disposal facility, post closure, generator, transporter, electronic waste collector or recycler, certified appliance recycler or other (e.g., hazardous waste broker). Regulated Units: Type and number of regulated units at the facility. Identify the units using the facility’s nomenclature and numbering sequence, if specified in its Permit. Waste streams: List the wastes handled, including their respective quantities and properties. Describe whether each waste is RCRA or non-RCRA regulated hazardous waste. Regulatory Status: Permitted, interim status, tiered permitting, generator, registered transporter, E-waste collector/recycler, certified appliance recycler, variance, illegal operator, other.

Inspected By: List name(s) of the inspector(s). If there is more than one inspector, then identify the lead inspector. Include all DTSC employees present and the days of their involvement. If accompanied by another agency, the inspector shall include the

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name of the agency and the name, title, date(s) they were present and contact information for that person. Date of Inspection: List date(s) inspection was conducted. Type of Inspection: Indicate type of inspection (e.g., CEI, e-waste recycler, transporter or O&M). Facility Representative: List all other persons present during the inspection, and their respective positions and/or titles. Type of Business: State the type of business (e.g., military base, transporter, solvent distributor). Owner/Operator and Management:

Describe who owns and operates the facility and/or site. List the names of persons directly responsible for hazardous waste management. Different entities may own the facility, the business, and/or property on which the facility is located, or the operator may rent the facility. List all owners and operators. The owners and operators may be corporations, partnerships, or individuals. If it is a corporation, list the state of incorporation, which can be obtained from the California Secretary of State’s website.

II. Consent:

Document the name and title of the company representative that granted or refused consent. Document the date and time at which consent was granted or refused.

III. Background: • A general description of the business and the activities conducted at the

facility. • The inspector shall provide quantitative data such as number and volume of

containers, tanks, sumps, and other equipment. • A physical description of the site, including size and surrounding land use. • The age and size of the business. • Is this the only site for this business?

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• A brief summary of previous contacts with the facility and pertinent historical information, e.g., a review of the company manifest history and what volumes and types of wastes were received from off-site, or generated and shipped from the site.

• A list of inspections during the previous five years, including: • Date; • Number and type of violations; • Enforcement action taken; and result • A list of any other environmental agencies that regulate the facility, the permit

status of the facility with the other agencies, and any pending enforcement actions brought against the facility by other agencies. Other information, as appropriate.

IV. Documents Reviewed:

As appropriate, a representative number of the following documents shall be reviewed: Manifests, manifest discrepancy reports, bills of lading, land disposal restriction notifications, exception reports, import/export reports, contingency plan, training plan and records, incident reports, waste analysis plan and records, operation plan, inspection records, tiered permitting applications and authorization letter, annual/biennial reports, hazardous waste source reduction plans, closure cost estimates and updates, permit (Part A and B), tank and/or containment certifications, variances, recycling records, or any other record relating to the management of hazardous waste. The inspector shall document the findings for all documents reviewed and document an explanation (not applicable, not available, etc.) for documents not reviewed.

V. Narrative of Observations:

The inspector shall describe observations, occurrences, and information obtained during the inspection. This shall include a brief chronological narrative of the inspection, additional safety measures the facility may have required of the inspector, indications of potential or actual violations by other companies (transporters, generators, or facilities), possible conflicting information in a permit, or any other information to be included in the report. If digital photos were taken, photos may be inserted throughout the text to document

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observations, facility conditions, and violations or may be included as an attachment. Information provided in this section becomes of great value during an enforcement action. When there are subsequent changes to the facility, it is helpful to go back to review the details of previous inspection reports to determine what is different and when the change may have occurred. It is not necessary to repeat observations that are noted elsewhere in the report.

VI. Violations: Is the Summary of Violations attached? –Yes or No? If no violations were detected or violations cannot be determined until sample results or other evidence are received, then the inspector may state as follows: 1) "No violations observed as a result of this inspection

Or

2) "Violation determination pending ..." Do not make a statement that the facility has no violations.

VII. Sampling Activities:

The inspector shall thoroughly describe all sampling activities during the inspection. Photos taken shall document sampling activities and samples in this section. Indicate if field replicate samples were requested and given to the operator. If so, have the operator sign a sample receipt and refer to the sample receipt forms we have or an example of a sample receipt.

VIII. Discussion with Operator:

The inspector shall summarize the operator's response to the inspection and alleged violations. If the operator refuses to correct the violations, the inspector shall document the stated reasons. The inspector shall indicate both negative and positive responses on the part of the operator during all discussions. If an SOV was issued at the time of the inspection, the inspector shall state whether the operator disagreed with any of the alleged violations.

The inspector shall summarize any issues that remain unresolved. For each issue, the inspector shall indicate the known facts, the questions, and the reason(s) why the issue is not resolved and appropriate follow-up actions.

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Documentation of any subsequent conversations held with the operator regarding violations, submittals from the operator, documents received during the inspection, or while evaluating issues observed during the inspection, may be included in this section.

IX. Attachments:

Any attachments shall be preceded by a List of Attachments indicating the attachment number as it is referenced in the inspection report, its title or description, and the number of pages in the attachment. Items that shall be attached to the inspection report include the SOV or SOO, ECL Sample Analysis Request, sample analysis reports and summaries, sample receipts, photos, logs, drawings, maps, diagrams, and copies of operating records/documents.

Department of Toxic Substances Control

Matthew Rodriquez Secretary for

Environmental Protection

Barbara A. Lee, Director (Insert the address of your office here)

Edmund G. Brown Jr.

Governor

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INSPECTION REPORT TEMPLATE

I. General Information Facility Name: Facility Address: Telephone Number: EPA ID Number: Facility Type: Type of Business: Waste streams (Be Specific): Regulated Units: Regulatory Status: Owner/Operator: Facility Representative(s): Type of Inspection: Inspected By: Date(s) of Inspection:

II. Consent Consent to conduct an inspection includes: inspecting hazardous waste handling areas, taking photographs, conducting sampling activities, and reviewing and obtaining copies of documents. Consent given by (Name, title, and time): ____________________________________ Consent refused or withdrawn by (Name, title, and time): ____________________________________

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III. Background

IV. Documents Reviewed

V. Narrative of Observations

VI. Violations Summary of Violations Attached? Yes? No?

VII. Sampling Activities

VIII. Discussion with Operator

IX. List of Attachments Inspector (Print Name and Title) Date ________________________________________________________________ Inspector (Signature) Date

Department of Toxic Substances Control

Matthew Rodriquez Secretary for

Environmental Protection

Barbara A. Lee, Director (Insert the address of your office here)

Edmund G. Brown Jr.

Governor

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Attachment 2 Template Cover Letter for Inspection Report

Department of Toxic Substances Control

__________________________________________________

Date: [Current Date]

[Address Block]

Dear Mr./Ms. [Respondent Name]:

On [Inspection Date], the California Environmental Protection Agency, Department of Toxic Substances Control (DTSC), conducted an inspection of [Facility Name and Address]. The enclosed report describes the findings of that inspection, including all violations and any actions that should be taken by the facility to correct the violations.

You are required to submit a written response to DTSC within 30 days describing the corrective actions that you have taken or propose to take to bring your facility into compliance (Health & Safety Code section 25185(c)(3)). If you dispute any of the violations, you should explain your disagreement in this written response. The issuance of this letter and report does not preclude DTSC from taking administrative, civil, or criminal action as a result of the violations noted in the report. All pertinent information derived from the inspection, including documents, photographs, and sampling results, are included as attachments to the report, except copies of documents provided by your facility at the time of the inspection. In order to reduce copying and mailing costs, these have not been returned to you with the report; copies will be provided if you request them.

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This report will become a public document; you may request that any trade secret or facility security information be withheld from public disclosure. (See Health & Safety Code section 25173, attached). If you wish to assert the trade secret privilege, please provide DTSC specific written answers to each of the following questions within 10 business days of receipt of the inspection report:

• To what extent is there knowledge of the information conveyed by the photograph/document outside of your business?

• To what extent is there knowledge of the information conveyed by the photograph/document, by employees and others in your business?

• To what extent have measures been taken to guard the secrecy of the information?

• Is the information valuable to competitors? If so, why?

• Has there been substantial monetary expenditure in the development of the

information?

• Could the information be easily and properly acquired or duplicated by others?

DTSC will review your response to these questions to determine if the information should be treated as trade secret and will notify you of its decision within 30 days. If you have any questions regarding this letter, or if you wish to meet with DTSC to discuss any questions or concerns you have with the inspection, the report, the violations, or the required corrective action, please call me [Supervisor Name] at [Phone Number].

Sincerely,

[Supervisor Signature Block]

Enclosure

cc: [Inspector]

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Attachment 3 Inspection Timeline Checklist

Check box

Six weeks to one month before inspection

Schedule inspection date(s)

Make hotel reservation

Complete outlook calendar

Four to three weeks before inspection or earlier

E-mail notify DTSC supervisors listed on SharePoint Add E-Waste Coordinator if an E-waste or U-waste inspection

Contact Branch Data Manager and inform analyst to do the e-waste inspection and inspection date entries on EnviroStor

Two to three weeks before inspection

If a permitted site: submit work request on EnviroStor inviting permit project

manager go on the inspection Send notification e-mail to CUPA supervisor and cc DTSC supervisor

For over-night stays

Submit the following travel forms to your supervisor:

1106 – only if requesting $ travel advance

E-mail notify supervisor for travel approval and complete a 1474b Or Submit a 1474, 1474a, & 1474b to supervisor

Submit a 255c to supervisor – only if excess lodging justification needed

Two weeks before inspection or earlier

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Complete and submit a HARP to IH

When the IH returns the IH signed HARP – for review & signature - Submit HARP to your supervisor - Submit HARP to other regional supervisor(s) as necessary

If a permitted facility: review permitting EnviroStor site and/or permit Review facility file for inspection and compliance history

Review the HWTS for manifest history

Review CERS for tiered permit units and compliance history

Review USEPA website for inspection information

Pre-brief with inspection partner(s), i.e.: assisting inspector(s), IH, OCI &

supervisor, permit writer, CUPA, USEPA, etc.

When leaving the office to travel to the inspection site

Do auto response notification function on your work computer that you’ll be

away from the office and provide the dates you expect to be away/return?

Sign out on the attendance board

Enter initial leaving mileage in state vehicle auto log

Within 5 days after the inspection

Submit a work request on EnviroStor to the permit project manager. In the

comments section specifically request they send you an e-mail with the current, updated, approved, and correct closure cost estimate dollar amount

Submit a work request on EnviroStor to the financial review unit requesting a financial assurance review be done on the dollar amount you’ve inputted on the work request. Only enter the dollar amount the permit project manager provided you

Make inspection date entry on EnviroStor and type in violation information

Complete and e-mail a draft weekly report to supervisor

Post brief supervisor about the inspection

CONDUCTING INSPECTIONS DTSC-OP-0005 Rev. 06/29/2017 Page 36 of 37

Begin writing draft inspection report

Complete and submit travel expense claim

25 days after inspection begin date or earlier

E-mail draft inspection report to supervisor within 30 days including attachments

Supervisor will review within one week and e-mail the inspection report back to the staff member to finalize

One week before deadline (40 days) e-mail your final draft inspection report back to supervisor including attachments

Supervisor will review and then e-mail the report to branch chief for 10-day peer review (applies to inspections with Class I violations or is a high profile facility)

After supervisor receives the peer reviewed report back, he / she will review and e-mail it to the staff member to finalize

50 days after inspection or earlier

Finalize the inspection report and work with supervisor in finalizing inspection

packet in sending the report to the facility within 50 days after inspection begin date

An extension letter will only be considered for extenuating circumstances. When this occurs, the staff member, supervisor, and branch chief will discuss beforehand

70 plus days after inspection or earlier

Check EnviroStor uploads and hard file copies to confirm that all documents

have been uploaded and filed, i.e.: cover letter, inspection report, attachments, corrective action response documents, return to compliance letters, etc.

CONDUCTING INSPECTIONS DTSC-OP-0005 Rev. 06/29/2017 Page 37 of 37

Attachment 4 Administrative Goal Timeline

Policy Goal Milestones Activity Days to

Complete - Inspection Phase: Inspection, Inspection Report and

SOO/SOV -

- -Debrief with management -Decide whether if enforcement will be pursued -Update EnviroStor (Inspection date, Violations section, SOO/SOV date)

5

- -Draft Inspection Report (initial draft) 15 - Enforcement Phase: Begin Penalty Matrix -

- -Initiate Enforcement (Draft Penalty Matrix/Request Enforcement Site Code) -Continue drafting Inspection Report

10

-

-Supervisor review of Inspection Report -Work Meeting for Inspection Report -Request attorney if penalty is >$30K -Continue drafting Penalty Matrix

10

Day 50

-Finalize Inspection Report and send it to the facility -Continue drafting Penalty Matrix -Update EnviroStor and upload documents -Code for file room and file original hardcopies

10

Day 65 Required to Provide Inspection Report to Facility (HSC 25185) - Day 70 Notification of Exception to Day 65 requirement (HSC 25185) -

- Enforcement Phase: Penalty Matrix -

- -Penalty Matrix Review -Work Meetings to finalize Penalty Matrix 25

Day 90 -Present to Penalty Work Group OR Review by Small Penalty Case Reviewer (≤$30k) -Draft Enforcement Order

15

- Enforcement Phase: Settlement -

- -Continue Drafting Enforcement Order to include Penalty Amount -Review and finalize Enforcement Order or Consent Order 15

- -Start Negotiations -Present Finalized Enforcement Order Draft 15

- -Negotiations and Settlement Meetings 45 Day 180 -Issue Enforcement Order or Settle With Consent Order 15

- Settlement with Consent Order and update EnviroStor OR Enforcement Phase: Administrative Case -

Day 240 -Comply with Office of Administrative Hearings Procedure -Hearings -Settle with Stipulation and Order -Notice of Final Order

60

- Settlement and update EnviroStor 0